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POLICY TYPE: Human Resources
POLICY TITLE: Drug & Alcohol
______________________________________________________________________________
Responsible Administrator:
Vice President of Human Resources
Location of Related Procedures:
Office of Vice President of Human Resources
Employees are the valuable resource of the college, and for that reason their health and safety are of paramount concern. The college will not tolerate any drug or alcohol abuse which imperils the health and well-being of its employees or threatens its business. Employees who use illegal drugs or abuse other controlled substances or alcohol, on or off duty, tend to be less productive, less reliable, and prone to greater absenteeism resulting in the potential for increased cost, delay and risk in the college's business. Employees have the right to work in a safe and drug-free environment and to work with persons free from the effects of drugs and alcohol. The college is, therefore, committed to maintaining a safe workplace free from the effects of alcohol and illegal drugs. Accordingly, the college has promulgated this Drug & Alcohol policy. Compliance by all employees with this policy is mandatory.
A. Prohibited Conduct
1. Use, possession, manufacturing, distribution, dispensation or sale of unauthorized alcohol or controlled substances on college premises or college business, in college supplied vehicles, or during working hours.
2. Storing in a locker, desk, automobile or other repository on college premises any unauthorized alcohol or controlled substance.
3. Being other than drug- and alcohol-free on college premises, on college business, or during working hours.
4. Being impaired by alcohol, controlled substances or illegal drugs on college premises or at any college-sponsored activity or at any time while conducting college business, whether such business is on or off college premises.
5. Being in possession of any drug paraphernalia on college premises or at any collegesponsored activity or at any time while conducting college business, whether such business is on or off college premises.
6. Off-duty use of illegal drugs.
7. Switching or adulterating any urine sample submitted for testing.
8. Refusing consent to testing or to submit a breath, saliva and/or urine sample for testing when requested by management.
9. Refusing to submit to a search (as described in Section D) when requested by management.
B. Duty to Disclose Prescription Medication
An employee may inform the Human Resources Vice President or designee of his or her prescription or regular non-prescription drug use if the employee believes that such use may impact his or her compliance with this standard practice guide. An employee must inform the Human Resources Vice President or designee of any prescription or regular non-prescription drug use if such use will or reasonably could impair the employee's ability to perform the essential functions of the employee's job. The information supplied will be kept confidential except, where appropriate, the Human Resources Vice President or designee may share the information with the employee's supervisor and other appropriate administrators, including the President. The employee may be required to provide information necessary to confirm that the drug use will not prevent the employee from performing the essential functions of his or her job, with reasonable accommodations.
C. Duty to Provide Notice of Criminal Drug and/or Alcohol Convictions
Pursuant to the Drug-Free Workplace Act of 1988, an employee who occupies a position funded in whole or in part by federal grant funds must inform the Human Resources Vice President of any criminal drug and/or alcohol conviction related to the workplace within five (5) calendar days of the conviction. The college will notify the granting agency of such convictions, regardless of how the college obtained information about the convictions, as required by law.
D. Searches
Whenever the college has reasonable cause to believe that an employee's work performance or on-the-job behavior may have been affected in any way by alcohol or drugs, or that this Policy has otherwise been violated, the college may search the employee, the employee's locker, desk or other company property under the control of the employee, as well as the employee's personal effects or automobile on college property.
E. Motor Vehicles
Staff will not give permission for any person to operate a motor vehicle while impaired. If transportation is needed, arrangements for alternative transportation will be made, i.e., a ride with a friend, family member, cab, etc. Failure to cooperate with such arrangements will be documented and submitted to the appropriate vice president or division dean, campus administrator or regional center manager. In addition, the authorities will be contacted if staff believes the individual will operate a motor vehicle while impaired or is otherwise a danger to himself/herself or others.
F. Emergencies
Because of the potential dangers to the individual and others, the college will immediately call 911 on behalf of any individual exhibiting evidence of acute intoxication, incapacitation, or drug overdose on campus or at any college-sponsored activity. Following his/her return to campus, standard disciplinary procedures will be followed.
G. Consequences for Violation of this Policy
Violation of the college's Drub & Alcohol Policy may result in disciplinary action, up to and including immediate discharge, according to college procedures.
H. Reasonable Cause Testing
Drug and/or alcohol testing will be conducted when any employee's supervisor has "reasonable cause" to believe that an employee is impaired to any degree while at work because of alcohol use or at any time because of drug use. The determination that reasonable cause exists shall be based on any one or more of the following:
1. direct observation by a supervisor of an employee using or possessing drugs and/or alcohol;
2. observations of a pattern of abnormal and/or erratic behavior by an employee that is indicative of probable alcohol and/or drug use;
3. specific physical, behavioral, speech and/or performance indicators of probable alcohol and/or drug use or possession by an employee;
4. information about alcohol and/or drug use or possession by an employee obtained from a reliable and credible source and verified by the Human Resources Vice President or designee. Employees who, in good faith, report what they believe to be a workplace violation of this policy will have their reports treated as confidential to the extent reasonably possible;
5. information from a reliable and credible source and verified by the college that an employee has been arrested for and/or convicted of a drug offense.
As soon as possible following a determination that reasonable cause testing is warranted, the supervisor shall seek authorization from the Human Resources Vice President or designee to transport the subject employee to the testing facility.
Upon authorization by the Human Resources Vice President or designee, the supervisor or a member of the Human Resources staff shall immediately transport the subject employee to the testing facility and shall return the employee to his or her home after the testing is complete. The employee shall not transport himself or herself to or from the testing facility.
The supervisor shall promptly document in writing those facts observed by or made known to the supervisor that gave the supervisor reasonable cause for the testing and shall promptly deliver such documentation to the Human Resources Vice President or designee.
An employee identified for reasonable cause testing will be placed on leave with pay pending results of the drug and/or alcohol test(s).
I. Return-to-Duty and Follow-Up Testing
Before returning to duty, an employee who has engaged in misconduct involving alcohol misuse or drug use in violation of this policy shall undergo a return-to-duty test, which must indicate a concentration of less than 0.04 for breath alcohol in the case of alcohol testing and a negative result in the case of drug testing.
An employee who has been given the opportunity to undergo rehabilitation for drug and/or alcohol abuse will, as a condition of returning to duty, be required to agree to reasonable follow-up testing established by the Human Resources Vice President or designee. The extent and duration of the follow-up testing will depend on the nature and extent of the employee's prior substance abuse problem. There is no requirement of reasonable cause for follow-up testing. In no instance shall such follow-up testing be ordered by the Human Resources Vice President or designee more than one (1) time within a seventy-two (72) hour period or more than four times in a given fiscal year, or for more than 24 months following the employee's return to work. This limitation does not apply to any reasonable cause testing that may be ordered during a time period also covered by follow-up testing.
J. Referrals
The use of unlawful drugs and the abuse of alcohol may pose serious health risks to the user. Employees with a drug or alcohol problem are strongly encouraged to seek assistance. The college is committed to establishing educational awareness designed to affect positively the problems of irresponsible use of alcohol and the use and abuse of illegal substances.
Each employee who engages in the conduct prohibited by this policy shall be advised of resources available to the employee for evaluating and resolving problems associated with drug or alcohol use. Employees may contact the Employee Assistance Program (EAP) for counseling and treatment. The college's EAP is available as a resource for all regular employees. The employee's job security will not be jeopardized by the use of EAP services.
At the option of the Human Resources Vice President or designee, an employee who engages in the conduct prohibited by this policy may be required to undergo an initial evaluation by a substance abuse professional in order to determine what assistance, if any, the employee needs to resolve drug and/or alcohol problems. The cost of such initial evaluation shall be paid for by the college. The cost of any other type of evaluation (other than the initial evaluation) and the cost of any rehabilitation shall be paid for by the employee.
In appropriate circumstances, as determined by the Human Resources Vice President or designee, an employee may be allowed to undergo drug and/or alcohol rehabilitation treatment in lieu of being disciplined. The option to undergo rehabilitation treatment rather than discipline is more likely to be offered to employees who self-report a drug and/or alcohol problem than those who do not self-report. An employee who violates this policy does not have a right to substitute rehabilitation for discipline or dismissal.
Nothing in this section shall be interpreted to limit or restrict the college's ability to discipline or dismiss an employee who violates the terms of this policy.
K. Drug and Alcohol Abuse Testing Procedures
Sample testing shall comply with scientifically accepted analytical methods and procedures, and will be conducted at a certified laboratory.
The laboratory will report alcohol test results and any conduct indicating refusal to take or tampering with a drug and/or alcohol test directly to the Human Resources Vice President or designee.
L. Authorization to Test
When an employee reports to the laboratory, the drug and/or alcohol screening procedure will be explained and the employee will assist in completing any necessary forms. All persons subject to testing will sign the necessary authorization forms to allow the test to be performed and the test results and related information to be provided to the Human Resources Vice President or designee, as applicable. Refusal to cooperate or to authorize the testing may result in discipline up to and including termination.
M. Confidentiality and Record Retention
The Human Resource Department shall maintain all records received concerning test results in a secure fashion to insure confidentiality and privacy.
Records showing an employee passed a drug and/or alcohol test will be kept for at least one (1) year. Records showing that an employee failed a drug and/or alcohol test will be kept for at least five (5) years.
Other than as referenced above, information regarding an employee's test results will be released to third parties only upon the written consent of the individual tested, except that results may be released and relied upon by the college in any administrative or court action involving the drug test or any discipline resulting from a violation of this policy, including but not limited to, employment proceedings.
N. Cost of Drug and/or Alcohol Testing
The college shall be responsible for the cost of transporting an employee to and from the testing facility and for the cost of any drug and/or alcohol testing.
O. Miscellaneous
In determining an appropriate course of action when an employee has engaged in offcampus, non-college related drug use and/or alcohol abuse, the college will undertake a caseby-case analysis that will include consideration of individual circumstances and the impact of the employee's drug use and/or alcohol abuse on the employee's job and the college community.
Minor procedural errors in the implementation of this policy, as determined by the Human Resources Vice President or designee, do not cause actual prejudice to the employee, shall not be grounds for invalidating a drug test or overturning discipline imposed pursuant to this policy.
Each college employee who regularly supervises other employees shall receive training on alcohol misuse and drug use. The training shall cover the physical, behavioral, speech, and performance indicators of probable alcohol misuse and use of drugs. The Human Resources Vice President or designee will ensure initial and updated training is provided and will monitor attendance.
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ASSURED HEARTS BEFORE GOD AND PROMISED BLESSINGS IJNO.3:19-24 Ed Dye
I. INTRODUCTION
1. The confidence that we as professed believers have that we have passed from death unto life, the blessedness and reassurance of knowing that we are reconciled to God, and are in a gracious standing with him, is not only desirable, it is even necessary, if we are to live before God free from fret and worry of a continual uncertainty.
2. It is not "a point we should long to know"; it ought not to "cost us continuous anxious thought."
3. It should be a settled thing; the evidence of it should be clear and sufficient. It should keep on being a settled thing, for the evidence should be maintained, and should be effectively persuasive upon us day by day.
4. And it must be fully understood that assurance is attainable. And John delivers us from any mistaken idea we might have when he, in our text, sets before us the true grounds or basis upon which our hearts may be assured, reassured, and or persuaded, before God, and have confidence toward God.
5. There is no need for us to wonder and even express doubt about our present salvation and hope of future salvation as some professed Christians do when asked, "Are you saved?" by saying, "I don‟t know; I hope so!"
6. Compare Paul‟s confident statement in 2Tim.4:6-8.
7. Surely with Paul‟s statement properly understood and 1Jno.3:19-24 believed and practiced, we, too, can live in hope with assured hearts before God, and with confidence toward God. Cf. 1Jno.2:28.
8. Now let us examine the text of 1Jno.3:19-24, which tells us about assured hearts before God and promised blessings, which we have chosen as our topic.
9. Here John goes back or goes on to speak of the two things which are well-pleasing in God‟s sight – the two commandments and the obedience to which our approved, acceptable relationship to God depends (1) we must believe on the name of his Son Jesus Christ, and (2) love one another, V.23.
II. DISCUSSION
A. 1 ST , THE BASIS ON WHICH OUR HEARTS ARE ASSURED (REASSURED) BEFORE GOD, AND THUS HAVE CONFIDENCE TOWARD GOD, Vv.19-21.
1. V.19: "And hereby we know that we are of the truth, and shall assure our hearts before him."
a. "Hereby" – by this behavior – refers to what precedes, not to what follows; i.e., by what has just been said, we are enabled to know that we are of the truth, and have the means by which to assure (reassure) our hearts before God. Cf. Vv.14,16-18.
b. If our love of the brethren is not merely in word or in tongue, but truly in deed and truth, in this we shall know (come to possess, have the knowledge) that we are of the truth.
(1) Knowledge of our own spiritual condition and consequent assurance before God is the result.
(2) Not a reference to a smug self-righteous, but to a calm inner confidence which John calls boldness. See V.21.
c. "Of the truth" is, in significance, the equivalent of the phrase, "of God," so often occurring in the Epistle.
d. Possessed of, having this knowledge, we "shall assure (reassure, persuade, placate, convince, still or quiet any fears of) our hearts before him.
e. This love is the evidence, the proof, of being (standing) begotten of God; the evidence that we are of the truth; that we are of God.
f. The order of the original is "And before Him we shall assure our hearts."
(1) "Before Him" is put first for emphasis, and thus stresses the fact that it is in God‟s presence that the experience is enjoyed, a circumstance impossible for the one who refuses to exercise love and compassion toward a brother.
g. The heart here stands, not for the seat of affection, but for the conscience, as in Ac.2:37.
h. This is the blessed result of true brotherly love; it is "blessed assurance."
2. V.20: "For if our heart condemn us, God is greater than our heart, and knoweth all things."
a. First, the simple truth taught in this verse as I understand it.
(1) Macknight On The Epistles: "But if our conscience condemneth us as deficient in love to our needy brethren, certainly God, who is a more perfect and impartial judge than our conscience, and knoweth all our actions, will much more condemn us."
(2) E. M. Zerr, Comm.: "If we fail to do our known duty, we will have „a guilty conscience‟ and be self-condemned. If our own knowledge of neglect causes us to feel condemned, we may be sure that God will condemn us also because he knows our hearts."
(3) While our conscience sits in judgment on us condemning us when we fail to do what we believe to be right or do that which we believe to be wrong; God, even more so is in a position to properly and rightly judge us. He knows all things, even our hearts; he can‟t be deceived; "Your sins will find you out," Num.32:23; Gal.6:7,8; Psa.139:1-12.
b. 2 nd , a very common and popular, but, in my opinion, a very false explanation of V.20, both by our brethren and by others.
(1) Guy N. Woods: "If, in spite of the assurances provided, we yet suffer the uneasiness which springs from our own imperfections, let us remember that God is greater than our heart; he knows all things; and he will deal with us, not according to our conscience, but in harmony with the eternal and unchangeable principles of right. Knowing all things, he knows us better than we know ourselves, and he will deal with us accordingly. Let us then not be disturbed by the promptings of conscience, but conform, as far as possible, to the standard of right, with the assurance that he will approve our course at the last day." (emphasis mine, ejd)
(2) Strange that Woods goes on to make the following comment on V.21: "If, in addition to the assurance we have from God that we are approved of him, we thus experience even greater confidence of the fellowship that is ours."
(3) Gill, Bible Study Text Book, College Press: "No child of God has any right to a guilt complex. Even though he may hold in the recesses of his heart the remembrance of the
most heinous sin, one begotten of Him need not live in constant horror of death or terror of facing God.
"Even if our heart knows something real and terrible against us, God is greater than our hearts, God knows both the deed and the reason. He does not make excuses for our guilt, and neither should we. But he does make propitiation for our guilt in the blood of Christ, and w cannot but accept it. No matter how terrible the sin nor how far reaching the hurt, when it is given over to God to be washed away by the blood of Calvary, we have no right to hold it any longer as our own.
"…one of the greatest blessings of the Christians life is realized forgiveness. In V.20, we have come face to face with the reason this is so." (though much of way he say here is so, if not all of it; this is not what V.20 has reference to! Ejd)
(4) Vine, Comm.: "That is to say, if we have something upon our conscience by which we are self-condemned, such as failure to exercise love, „God is greater than our heart and knows all things,‟ and the Apostle has already shown how, through the efficacy of the blood of Christ, we may be cleansed from our sin and enjoy fellowship with God (1:7,9; 2:1)" (While this is true, this is not what John has reference to in V.20, ejd) … whether we are conscious of failure or not, God is greater than our heart and knows all things. This should lead us to remember that, even if we have a conscience void of offence, there may be something which God knows, and, on the other hand, if there is something upon our conscience, it can be put right before Him who knows about us. The great thing is to be happy in God's presence…That God is great than our heart probably means that He is greater in the matter of judgment, and that He knows the character of our sin absolutely. It may mean also that He is greater in the matter of compassion, and so we have the assurance that we are in the hands of One who deals with man in compassion as well as in His absolute knowledge." (emphasis mine, ejd)
(5) In reality, all of these men are actually saying: In spite of all the assurance we have, we can never be quiet sure, or
be free of fret or worry; that always we still have a lack of confidence or assurance before God; for, in reality, we are never really completely free of the guilt of sin. But, "If one is in Christ and his general life is one of godliness and whose motive principle is the light of the N.T., he is walking in the light. Thus, the blood of Christ is present to cleanse away the mistakes and incidental sins he commits. Hence, if this man is a worker in the Lord‟s vineyard and his life as a whole is one of obedience to the law of Christ, he does not need to worry about the mistakes he might make, or thinks he might have made, which he does not realize; for the blood of Christ will take care of it and wash them away.
(6) Some even use 2Tim.1:18 to try to justify mercy or forgiveness of sins being extended to us in the day of judgment.
(a) But "mercy" here refers to eternal reward at that day, not to forgiveness of sins at that time. Cf. Jude 21; Tit.1:2.
(b) There is no catholic doctrine taught here! No kind of 2 nd , chance doctrine taught here or elsewhere in the N.T.!
3. V.21: "Beloved, if our heart condemn us not, then have we confidence toward God."
a. Macknight On The Epistles: "Beloved, to shew you what an excellent virtue benevolence is, I tell you a second time, (v.19) that if our conscience doth not condemn us, as deficient in love to our needy brethren, we have confidence with God, that we have so far performed our duty to them."
b. Our works do not justify us; but they are witnesses that we are really in communion with Him who justifies; they seal our faith with the signet of sincerity. Thus they become for us a subject of confidence toward God.
c. That is, we are able to look up to God in freedom from dismay and terror, enjoying the consciousness of His approval, and that fellowship with Him which brings His peace and power into out lives.
d. For "boldness" see 1Jno.2:28. With the expression "toward God" Cf. Ac.24:16.
e. Boldness towards God is the effect of the assurance of heart mentioned in V.19. On the other hand, the effect of the boldness itself is given in V.22.
4. For emphasis, take note that Vv.19-21 deal with the judicial function of the conscience, revealing the fact:
a. In V.19, that conscience exercises a judicial function in man.
b. In V.20, that when, in the exercise of its judicial function, conscience condemns us, much more are we condemned by the Holy, Omniscient God.
c. In V.21, that when, in the exercise of its judicial function, conscience does not condemn us, we regard God with inspiring confidence or boldness.
B. 2 ND , THE BASIS UPON WHICH, WITH CONFIDENCE, WE KNOW WE CAN ASK AND RECEIVE OF GOD WHATSOEVER WE ASK, V.22.
1. Here is further proof that the assurance mentioned in Vv.19,21, and the basis upon which we may have this confidence or boldness before God and toward God, is well grounded.
2. The promise of V.22 is, of course, conditional: We may receive whatsoever we ask of God if or "because we keep his commandments, and do those things that are pleasing in his sight."
3. The promise of the passage is, of course, to be understood within the limitations of his promise regarding prayer elsewhere set forth. Cf. Jas.1:5-8; Jno.15:7; 14:13; Jas.1:25; Psa.66:18; Prov.28:9; Jno.9:31; Jas.4:2,3.
4. The verbs of the passage "ask," "receive," "keep," "do," are all in the present tense and emphasize continuous action:
a. Whatever we keep on asking.
b. We keep on receiving.
c. Because we keep on keeping (doing) his commandments.
d. And habitually practice the things that are pleasing in his sight.
5. Doing the things that are pleasing in his sight is more than keeping his commandment. The latter is included in the former.
a. The practice of God‟s will is a higher standard than mere obedience to precepts.
b. The believer must always seek to do that in which God delights as well as to overtly obey His commands.
c. The believer‟s obedience must be from the heart – a loving obedience – not merely a matter of subjection because commanded.
d. For obedience to his commands may be a matter merely of subjection without the heart being in it; while doing things that are pleasing to God is a matter of love. Cf. Jno.8:29; Mt.15:7,8; Col.3:22,23.
6. Where there is justified boldness or confidence toward God, there is, therefore, assurance in approaching him in petitionary prayer.
a. Confidence in salvation, being of the truth, being of God, must precede justified confidence in prayer.
b. Such assurance must come before assurance that God hears and answers prayer. Cf. Jno.9:31; 1Pet.3:21.
C. 3 RD , TWO SPECIFIC COMMANDMENTS, OR TWO PARTS OF ONE SPECIFIC COMMANDMENT, OF GOD TO WHICH JOHN REFERS, WHICH WE MUST KEEP IF WE EXPECT TO RECEIVE WHATSOEVER WE ASK OF HIM, V.23.
1. 1 st part, "That we should believe on the name of his Son Jesus Christ," V.23a.
a. Once again we are reminded of the antichrists who denied that Jesus Christ is the Son of God. As a result:
(1) They had gone out from the believers, 1Jno.2:18,19.
(2) They were branded as liars, 1Jno.2:22.
(3) They had not the Father, 1Jno.2:23.
(4) They were brander as seducers, 1Jno.2:26.
(5) They were branded as false prophets who were not of God, 1Jno.4:1-3.
(6) Their prayers could not be heard and answered, 1Jno.3:22,23.
(7) They did not dwell in God, nor God in them, 1Jno.3:24; 4:14,15.
(8) They did not stand born of God, 1Jno.5:1.
(9) They have not and cannot overcome the world, 1Jno.5:4,5.
(10) They can have no justified hope of eternal life, 1Jno.2:2225; 5:11-13.
(11) They have made a liar out of God, 1Jno.5:10-12.
b. The name of Christ here is put for him and for all for which he stands; to believe in his name is to accept him for what he is and
all that he does; it does not mean simply the name by which he is called; it means the whole nature and character and majesty and authority of him.
c. He who truly, sincerely believes in his name obeys him; he expresses that faith in obedience to him. Cf. Lk.6:46; Mt.16:24,25; Mt.7:21-23.
2. 2 nd part, "And love one another, as he gave us commandment," V.23a.
a. Faith in Jesus as the Son of God and brotherly love go hand-inhand; they fit together like hand and glove; the latter grows out of the former.
b. Note the emphasis and importance that Jesus placed on brotherly love in Jno.13:34,35.
(1) We must love the brethren with the same selfless, sacrificial, forgiving love with which Jesus loved us. Cf. Eph.5:1,2.
(2) Brotherly love is the badge of discipleship.
c. Note the emphasis and importance John places on brotherly love, 1Jno.2:9-11; 3:10,14,16,17; 4:7,11,12,20,21; 5:1.
3. Putting these two parts together, we find the great truth in Christianity, or a great principle often emphasized in the N.T.: that the life of the Christian depends on right belief and right conduct combined.
a. We can‟t have one without the other.
b. It is impossible to separate faith and practice, or dogma and duty, or faith and the obedience of faith, and still have a saving faith.
c. Faith is the ground not only of brotherly love, but of all obedience; it is that which leads to and produces it.
d. And obedience is that which perfects and validates faith. Cf. Jas.2:20.
D. 4 TH , THE BASIS UPON WHICH WE DWELL IN GODD AND GOD IN US, AND THE MEANS BY WHICH WE KNOW HE ABIDES IN US, V. 24.
1. "And he that keepeth his commandments dwelleth in him, and he in him," V.24a.
a. Obedience to God as summed up in believing on the name of his Son Jesus Christ, and loving one‟s brother in Christ (V.23) is the basis of continued fellowship with God. Cf. 1Jno.1:3.
b. God‟s dwelling in us and our dwelling in him, or continuing to enjoy fellowship with God, and living a righteous life are inseparable. Cf. 1Jno.1:6.
c. "He that keepeth" describes what is to be the characteristic habit of the believer; he that keeps on keeping his commandments. Cf. Jno.14:23; Jno.15:4-8; 17:20,21,23,26.
d. Here, obedience to his commandments is not simply the cause or the condition, but the proof or the evidence that the ones keeping his commandments are dwelling in Him, and He is dwelling in them. Cf. Jno.6:56.
e. Where there is habitual obedience to his commandments, there is a living, abiding, spiritual union between that soul and God.
2. "And hereby we know that he abideth in us, by the Spirit which he hath given us, V.24b.
a. This is the first actual mention of the Holy Spirit in the Epistle, though the "unction from the Holy One," and "the anointing which ye have received" mentioned in 1Jno.2:20,27 were references to his Person and work in believers by means of miraculous spiritual gifts.
b. This part of V.24 declares three things:
(1) God abides in us.
(2) We have actual knowledge of his abiding presence.
(3) We possess this knowledge by means of the Spirit which God has given us.
c. This verse does not reveal to us the manner of the entrance nor the mode of the Spirit‟s dwelling, but the fact of it being given to us whereby we known that God abides in us.
d. The assertion that the Spirit dwells in the faithful child of God does not justify the assumption that his indwelling is personal, immediate, direct, separate and apart from the word of God any more than the assertion that both the Father and the Son dwells in us and that we dwell in them justifies such a conclusion. Example:
(1) Both the Father and Son are said to come unto and make their abode with him that loves the Lord and keeps his words, Jno.14:23; Cf. 1Jno.3:24.
(a) Personal indwelling?
(b) Immediate indwelling?
(c) Direct indwelling?
(2) 2Cor.6:16, "As God has said, I will dwell in them, and walk in them."
(a) Personal indwelling?
(b) Immediate indwelling, apart from the word?
(c) Direct indwelling?
(3) "That Christ may dwell in your hearts," Eph.3:17; Cf. Col.1:27.
(a) Personal indwelling?
(b) Immediate, through no medium? Direct?
(c) How? "By faith." Cf. Rom.10:17; How was the word received? Rom.10:9-18; Jno.14,15,16; 17:20,21; Ac.1;2; Eph.3; Gal.1.
(4) Saints are said to be "in Christ," Phil.1:1; Col.1:2. How?
(5) God dwells in us, and we dwell in him, 1jn.3:24; 4:12,13,15,16. Again, how?
(6) From these, are we justified in inferring that God, in some mysterious, incomprehensible, direct way, has, in his own person, taken up his abode in us, or that we in the same kind of way have taken up our abode in him and his Son?
(7) Why, then, should we fall into similar error with reference to the Holy Spirit, the 3 rd Person of the Godhead?
(8) Furthermore, if we have either one of the Persons of the Godhead personally indwelling us, then we are inspired! Which, of course, is not and cannot be the case!
e. How, then, does the Holy Spirit indwell us by which we know that God abides in us when we keep his commandments? The answer is three-fold in nature from Pentecost to the present for you and me. The 1 st two applied to those of N.T. days, the 3 rd applies to us today.
(1) Through the spoken word of God personally preached by the Holy Spirit inspired and Spirit-guided apostles fulfilling their mission as Christ‟s sent ones, Jno.1426; 15:26,27; 16:7,13-15; 17:8,18,20,21;20:19-23; Mt.28:1820; Mk.16:14-19; Lk.24:45-49; Ac.1:1-8; 2:1-4; 1Jno.1:13; See Mt.16:16-19; 18:18; 2Cor.5:17-20.
(2) Through miraculous spiritual gifts given to believers in the early church through the laying on of the apostles‟ hands prior to the complete and fully written revelation of the word of God to be used by them in the application of the word, and to expose false teachers, when an apostle of
Christ was not present, 1Cor.12,13,14; 1Jno.2:20,27; 1Jno.4:1; See Ac.8:18; 19:5,6; Rom.1:11; 2Tim.1:6. Also, see 1Cor.13:8-10.
(3) Now it is through faith in and obedience to the word of God revealed through and written in the N.T. by the Spiritfilled and Spirit-guided apostles of Jesus Christ, the only motivating force in immediate contact with the individual believer, Eph.3:1-11; 5:17; 1Jno.1:1-4; 2:1-3.
(a) Cf. Jno.8:31,32;Col.3:16; Psa.19:11; Ac.11:14; Heb.4:12.
(b) This is true because:
(1) The apostles of Christ no longer live in person to continue their personal work here on earth.
(2) Spiritual gifts have ceased to be given or to function, having served their purpose and their time, 1Cor.13:8-10.
f. This fruitful indwelling of the Holy Spirit is the seal of God‟s life in the soul of the believer.
III. CONCLUSION
1. Once again it‟s evident that John is still emphasizing the absolute necessity of two specific things if we are to know that we stand begotten or born of God as his children; that we are of the truth; and in order to know that he abides in us and we abide in him.
a. That w believe on the name of his Son Jesus Christ.
(1) This, of course, the lying antichrists denied – refused to obey!
b. That we practice brotherly love, in order to abide in the light, without which we are in darkness and are walking in darkness where there is no fellowship with either the Father or the Son.
2. Remember:
a. If one does not believe in Jesus Christ as the Son of God:
(1) He shall die in his sins.
(2) He hath not the Father; he is not of God.
(3) He hath not life now; and hath no promise of eternal life.
b. If one does not practice brotherly love:
(1) The love of God does not abide in him.
(2) He abideth in death.
(3) He is not of God.
(4) He is not of the truth, and no genuine heart assurance or reassurance before God, or no genuine confidence before God.
c. If we don‟t obey these two commands of God, we cannot receive what we ask of God. Furthermore, we do not dwell in him, nor he in us!
d. Brotherly love in its beneficial results:
(1) Assurance of conscience before God, or the bliss of a heart that does that does not condemn, Vv.19,21.
(2) The privilege of being heard when we pray because we are keeping and doing that which is pleasing in God‟s sight, Vv.22,23.
(3) The privilege of communion with God – thus dwelling in him and he in us – the key not of the Epistle, V.24.
e. Remember also that practicing genuine brotherly love in deed and in truth is a form of doing righteousness which identifies us with being or standing begotten of God.
3. Assured hearts before God and promised blessings rests, not solely upon the grace of God, but also upon our faith in Jesus as God‟s Son and obedience to his commands, including brotherly love, which is a form of doing righteousness and therefore being righteous, 1Jno.3:7.
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SHERIFF'S DEPARTMENT
REQUEST FOR STATEMENT OF QUALIFICATIONS (RFSQ)
PSYCHOLOGICAL AND PSYCHIATRIC SERVICES
Prepared By
BETTY JACKSON, CONTRACTS ANALYST
REQUEST FOR STATEMENT OF QUALIFICATIONS (RFSQ) PSYCHOLOGICAL AND PSYCHIATRIC SERVICES TABLE OF CONTENTS
PART PAGE
1.0 GENERAL INFORMATION
1.1 Scope of Work
The County of Los Angeles Sheriff's Department is seeking several qualified Psychologists and Psychiatrists to enter into a Master Agreement with the County to provide as-needed Psychological and Psychiatric services for Employee Support Services Bureau.
The Vendor (Psychologist) will provide counseling and psychotherapy services to sworn and professional staff employed by the Los Angeles County Sheriff's Department and their family members/significant others, utilizing brief solution oriented psychological interventions.
The Vendor (Psychiatrist) will provide psychiatric evaluation; medication evaluation and medication follow-up services to sworn and professional staff employed by the Los Angeles County Sheriff's Department and their family members/significant others.
1.2 Overview of Solicitation Document
This Request for Statement of Qualifications (RFSQ) is composed of the following parts:
GENERAL INFORMATION: Specifies the Vendor's minimum qualifications, provides information regarding some of the requirements of the Master Agreement and explains the solicitation process.
INSTRUCTIONS TO VENDORS: Contains instructions to Vendors in how to prepare and submit their Statement of Qualifications (SOQ).
STATEMENT OF QUALIFICATIONS (SOQ) REVIEW/SELECTION/ QUALIFICATION PROCESS: Contains information on how the SOQ will be reviewed, qualified and selected.
APPENDICES:
A - MASTER AGREEMENT: This will be the Master Agreement used for this solicitation. The terms and conditions shown in the Master Agreement are not negotiable.
B - STATEMENT OF WORK: Explains in detail the work to be performed by the Vendor.
C - REQUIRED FORMS: Forms 1 through 10 contained in this Section must be completed and included in the SOQ.
D - TRANSMITTAL FORM TO REQUEST A SOLICITATION REQUIREMENTS REVIEW: Transmittal sent to department requesting a Solicitation Requirements Review.
E - COUNTY OF LOS ANGELES POLICY OF DOING BUSINESS WITH SMALL BUSINESS
F - LISTING OF CONTRACTORS DEBARRED IN LOS ANGELES
1.3 Terms and Definitions
1.3.1 Throughout this RFSQ, references are made to certain persons, groups, or department/agencies. For convenience, a description of specific definitions can be found in Appendix A, Master Agreement, Paragraph 2.0, (Definitions).
1.4 Vendor's Minimum Qualifications - PSYCHIATRIST
1.4.1 Vendor must have graduated from an accredited medical school. Vendor must provide a copy of the diploma, including name of medical school and year graduated.
1.4.2 Vendor must have completed an accredited psychiatric residency program. Vendor must provide a copy of the diploma, including the name and location of medical school and year graduated.
1.4.3 Vendor must be Board certified in psychiatric by the American Board of Psychiatry and Neurology. Vendor must provide a copy of the Board Certification and the year of Board Certification.
1.5 Vendor's Minimum Qualifications - PSYCHOLOGIST
1.5.1 Vendor must have one-year experience providing Psychological services for a public safety agency within Los Angeles County or adjoining counties. Vendor must submit references to verify experience.
1.5.2 Vendor must have a Doctorate in Psychology or related field from an accredited school. Vendor must provide a copy of the diploma, including the name of the graduate or professional school and the year graduated.
1.5.3 Vendor must be licensed as a Psychologist in the state of California. Vendor must provide license number and date issued.
1.6 Adherence to County Requirements
1.6.1 Vendor shall: 1) fully comply with all applicable State and Federal reporting requirements relating to employment reporting for its employees; and 2) comply with all lawfully served Wages and Earnings Assignment Orders and Notice of Assignment and continue to maintain compliance during the term of any Agreement that may be awarded pursuant to this solicitation. Failure to comply may be cause for termination of an Agreement or initiation of debarment proceedings against the non-compliant contractor (County Code Chapter 2.202).
1.6.2 The Vendor must certify its intent to comply with the following requirements:
* Gratuities [Reference Master Agreement Exhibit A, (Additional Terms and Conditions), Paragraph 7.0, (Termination for Gratuities)]
* Contractor's Responsibility and Debarment [Reference Master Agreement Exhibit A, (Additional Terms and Conditions), Paragraph 16.0, (Contractor's Responsibility and Debarment)]
* Conflict of Interest [Reference Master Agreement Exhibit A, (Additional Terms and Conditions), Paragraph 23.0, (Conflict of Interest) and Appendix C, Exhibit 2]
* County Lobbyist Ordinance [Reference Master Agreement Exhibit A, (Additional Terms and Conditions), Paragraph 25.0, (Restrictions on Lobbying) and Appendix C, Exhibit 5]
* GAIN/GROW Participants [Reference Master Agreement Exhibit A, (Additional Terms and Conditions) Paragraph 26.0, (Consideration of GAIN Program Participants for Employment) and Appendix C, Exhibit 8]
* Child Support Compliance Program [Reference Master Agreement Exhibit A, (Additional Terms and Conditions), Paragraph 30.0, (Contractor's Warranty of Adherence to County's Child Support Compliance Program]
* Recycle Bond Paper [Reference Master Agreement Exhibit A, (Additional Terms and Conditions), Paragraph 31.0, (RecycledContent Paper)]
* Jury Service Program [Reference Master Agreement Exhibit A, (Additional Terms and Conditions), Paragraph 32.0, (Compliance with the County's Jury Service Program)]
* Federal Earned Income Tax Credit [Reference Master Agreement Exhibit A, (Additional Terms and Conditions), Paragraph 36.0, (Federal Earned Income Tax Credit)]
* Safely Surrendered Baby Law [Reference Master Agreement Exhibit A, (Additional Terms and Conditions), Paragraph 47.0, (Safely Surrendered Baby Law)]
1.7 Master Agreement Process
The objective of this RFSQ process is to secure qualified Vendors to provide Psychological and/or Psychiatric services as described in Appendix B and Appendix B1, Statement of Work. This solicitation will remain open until the Sheriff's Department has executed sufficient Agreements to meet the Department's needs. The solicitation may be reopened any time during the term of the Master Agreement authorized by the County Board of Supervisors in order to meet the Sheriff's Department's needs. In the event the solicitation is reopened, it will be publicized on the County's website.
1.7.1 Master Agreements will be executed with Vendors determined to be qualified and meet the minimum requirements in Sections 1.4 and 1.5 of this RFSQ.
1.7.2 Upon the Sheriff's Department's execution of these Agreements, the qualified Vendors will become County Contractors and thereafter, will be required to provide Psychological and/or Psychiatric services for Employee Support Services Bureau. The County's Project Manager will assign the work by geographic area, as the need arise. The execution of a Master Agreement does not guarantee a Contractor any minimum amount of business.
1.8 Master Agreement Term
1.8.1 Prior to commencement of any Agreement, the form of the Master Agreement must be approved by the Los Angeles County Board of Supervisors. The termination date of each Agreement will be three (3) years from the date the Board of Supervisors approves the Master Agreement form. The County shall have the option to extend the initial contract term for up to two (2) one-year optional periods, and thereafter, for another six (6) months in any increments. Extension options will be at the Sheriff's discretion.
1.8.2 The Agreement will become effective upon the date of its execution by the Sheriff.
1.9 Master Agreement Rates
1.9.1 Payment for all work shall be on a fixed price per deliverable basis. PSYCHIATRISTS shall be paid $225 for initial Psychiatric Evaluation, Comprehensive session, $95 for Intermediate Medication Re-evaluation, (25-30 minutes) and $60 for Brief Medication Re-evaluation, (10-15 minutes). PSYCHOLOGISTS shall be paid $100 per session for Psychological Counseling.
All rates are fixed and shall remain firm for the term of the Agreement.
1.10 County Rights & Responsibilities
The County has the right to amend the RFSQ by written addendum. The County is responsible only for that which is expressly stated in the solicitation document and any authorized written addenda thereto. Such addendum shall be made available to each person or organization which County records indicate has received this RFSQ.
Should such addendum require additional information not previously requested, failure to address the requirements of such addendum may result in the SOQ not being considered, as determined at the sole discretion of the County. The County is not responsible for and shall not be bound by any representations otherwise made by any individual acting or purporting to act on its behalf.
1.11 Contact with County Personnel
Any contact regarding this RFSQ or any matter relating thereto must be in writing and may be mailed, e-mailed or faxed as follows:
Betty J. Jackson Los Angeles County Sheriff's Department Contracts Unit – Fiscal Administration 4700 Ramona Boulevard Monterey Park, California 91754
Email: firstname.lastname@example.org
Fax: (323) 415-1364
1.12 Mandatory Requirement to Register on County's WebVen
Prior to executing a Master Agreement, all potential Contractors must register in the County's WebVen. The WebVen contains the Vendor's business profile and identifies the goods/services the business provides. Registration can be accomplished online via the Internet by accessing the County's home page at http://lacounty.info/doing_business/main_db.htm. There are underscores in the address between the words 'doing business' and 'main db'.
1.13 Department Option To Reject SOQs
The Sheriff, at his sole discretion, may reject any or all SOQs submitted in response to this solicitation. The Sheriff's Department shall not be liable for any cost incurred by a Vendor in connection with preparation and submittal of any SOQ.
1.14 Protest Process
Any actual or prospective Vendor may file a protest in connection with the solicitation or award of a Board-approved service contract. It is generally accepted that the Vendor challenging the decision of a County department bears the burden of proof in its claim that the Sheriff's Department committed a sufficiently material error in the solicitation process to justify invalidation of a proposed award.
Throughout the review process, the County has no obligation to delay or otherwise postpone an award of contract based on a Vendor protest. In all cases, the County reserves the right to make an award when it is determined to be in the best interest of the County of Los Angeles to do so.
1.14.1 Grounds for Review
Unless state or federal statutes or regulations otherwise provide, the grounds for review of any departmental determination or action should be limited to a Solicitation Requirements Review (Reference Subparagraph 2.4).
1.15 Notice to Vendors Regarding Public Records Act
1.15.1 Responses to this RFSQ shall become the exclusive property of the County. At such time as when the County executes an Agreement with the qualified Vendor(s), all such SOQs submitted in response to this RFSQ, become a matter of public record, with the exception of those parts of each SOQ which are defined and identified by the Contractor as business or trade secrets, and plainly marked as "Trade Secret," "Confidential," or "Proprietary."
1.15.2 The County shall not, in any way, be liable or responsible for the disclosure of any such record or any parts thereof, if disclosure is required or permitted under the California Public Records Act or
otherwise by law. A blanket statement of confidentiality or the marking of each page of the SOQ as confidential shall not be deemed sufficient notice of exception and may subject the entire SOQ to disclosure. The Vendor must specifically label only those provisions of the SOQ which are "Trade Secrets," "Confidential," or "Proprietary" in nature.
1.16 Indemnification and Insurance
Vendor shall be required to comply with the Indemnification provisions contained in Exhibit A – Additional Terms and Conditions, Paragraph 12.0. Vendor shall procure, maintain, and provide to the County proof of insurance coverage for all the programs of insurance along with associated amounts specified in Exhibit A – Additional Terms and Conditions, Sub-paragraph 12.2.3.
1.17 SPARTA Program
A County program, known as 'SPARTA' (Service Providers, Artisan and Tradesman Activities) may be able to assist potential Contractors in obtaining affordable liability insurance. The SPARTA Program is administered by the County's insurance broker, Municipality Insurance Services, Inc.
For additional information, a Vendor may call (800) 420-0555 or contact them through their web-address: www.2sparta.com
1.18 Injury & Illness Prevention Program (IIPP)
Vendor shall be required to comply with the State of California's Cal OSHA's regulations. Section 3203 of title 8 in the California Code of Regulations requires all California employers to have a written, effective Injury and Illness Prevention Program (IIPP) that addresses hazards pertaining to the particular workplace covered by the program.
1.19 Background and Security Investigations
Background and security investigations of the Vendor will be required as a condition of beginning and continuing work under any resulting agreement. The background and security checks are the responsibility of the County. The County's Project Manager and/or Director will conduct background and security checks before work begins.
1.20 Employee Acknowledgement and Confidentiality Agreement
Vendor shall be required to comply with the Confidentiality provision contained in Exhibit A (Additional Terms and Conditions), Paragraph 2.0 (Confidentiality) and the Independent Contractor Status provision contained in Exhibit A (Additional Terms and Conditions), Paragraph 38.0 (Independent Contractor Status). Contractor shall ensure that it obtains and submits to the County, a signed "Contractor Employee Acknowledgement and Confidentiality Agreement" as specified in Master Agreement, Exhibit E, for each employee performing services under the Master Agreement, before work begins.
Contractor shall also ensure that it obtains and submits to the County, a signed "Non-Contractor Employee Acknowledgement and Confidentiality Agreement" as specified in Master Agreement, Exhibit F, for each non-employee performing services under the Master Agreement, before work begins.
1.21 County's Quality Assurance Plan
After award of a Master Agreement, the County or its agent will evaluate the Contractor's performance under the Master Agreement on an annual basis. Such evaluation will include assessing Contractor's compliance with all terms in the Master Agreement and performance requirements identified in the Statement of Work, Appendix B and Appendix B1. Contractor's deficiencies which the County determines are severe or continuing and that may place the performance of this Master Agreement in jeopardy if not corrected, may be reported to the County's Board of Supervisors. The report will include improvement/corrective action measures taken by the County and Contractor. If improvement does not occur consistent with the corrective action measures, the County may terminate the Master Agreement in whole or in part.
1.22 County Policy on Doing Business with Small Business
The County has multiple programs that address Small Businesses. The Board of Supervisors encourages small business participation in the County's contracting process by constantly streamlining and simplifying our selection process and expanding opportunities for small businesses to compete for our business.
The County has a Policy on Doing Business with Small Business that is stated in Appendix E.
The Jury Service Program provides exceptions to the Program if a company qualifies as a Small Business. It is important to note that each Program has a different definition for Small Business. You may qualify as a Small Business in one Program but not the other. Further explanation of the Jury Service Program is provided in Exhibit A (Additional Terms and Conditions) Paragraph 32.0 (Compliance with Jury Services Program).
1.23 Contractor's Obligations Under the Federal Health Insurance Portability and Accountability Act (HIPAA)
Contractor shall be required to comply with the Administrative Simplification requirements of the federal Health Insurance Portability and Accountability Act (HIPAA) of 1996 as contained in Exhibit G.
1.24 Notification to County of Pending Acquisitions/Mergers by Proposing Bidding Company
The vendor shall notify the County of any pending acquisitions/mergers of their company. This information shall be provided by the Vendor on Appendix C, Required Form, Exhibit 1, Proposer's Organization Questionnaire/Affidavit. Failure of the vendor to provide this information may eliminate its proposal from any further consideration.
2.0 INSTRUCTIONS TO VENDORS
This Section contains instructions to Vendors in how to prepare and submit their Statement of Qualifications (SOQ).
2.1 County Responsibility
The County is not responsible for representations made by any of its officers or employees prior to the execution of the Master Agreement unless such understanding or representation is included in the Master Agreement.
2.2 Truth and Accuracy of Representations
False, misleading, incomplete, or deceptively unresponsive statements in connection with an SOQ shall be sufficient cause for rejection of the SOQ. The evaluation and determination in this area shall be at the Sheriff's sole judgment and his judgment shall be final.
2.3 RFSQ Timetable
The timetable for this RFSQ is as follows:
The submittal date is an initial due date, and those not received by that date may not be reviewed initially, however, they may be reviewed at a later date to determine if they meet the qualifications listed. This solicitation will remain open until the Sheriff's Department has executed sufficient Agreements to meet the Department's needs.
The solicitation may be reopened any time during the term of the Master Agreement authorized by the County Board of Supervisors in order to meet the Sheriff's Department's needs. In the event the solicitation is reopened, it will be publicized on the County's website.
2.4 Solicitation Requirements Review
A person or entity may seek a Solicitation Requirements Review by submitting Appendix D - Transmittal Form to Request a RFSQ Solicitation Requirements Review along with supporting documentation. A Solicitation Requirements Review shall only be granted under the following circumstances:
1. The request for a Solicitation Requirements Review is received by the date referred to in Bulletin #1. Once Master Agreements are executed, a Solicitation Requirements Review will not be granted as the requirement cannot be changed;
2. The request for a Solicitation Requirements Review includes documentation, which demonstrates the underlying ability of the person or entity to submit a response;
3. The request for a Solicitation Requirements Review itemizes in appropriate detail, each matter contested and factual reasons for the requested review; and
4. The request for a Solicitation Requirements Review asserts either that:
Application of the minimum requirements, review criteria and/or business requirements unfairly disadvantage the Vendor; or,
Due to unclear instructions, the process may result in the County not receiving the best possible responses from the Vendors.
The Solicitation Requirements Review shall be completed and the Sheriff's Department's determination shall be provided to the Vendor, in writing, within a reasonable time prior to the SOQ due date.
All Requests for Review should be submitted to:
Betty Jackson, Contracts Analyst Los Angeles County Sheriff's Department Contracts Unit – Fiscal Administration 4700 Ramona Boulevard Monterey Park, California 91754
2.5 Vendors' Questions and Conference:
A Proposal's Conference will be conducted, refer to Bulletin #1 for date, time and location.
Vendors may submit written questions regarding this RFSQ by mail, fax or e-mail to the Contracts Analyst identified below. All questions must be received by the date indicated in Bulletin #1. All questions, without identifying the submitting firm, will be compiled with the appropriate answers and issued as an addendum to the RFSQ.
The addendum will be mailed or e-mailed to all Vendors that received the RFSQ. To ensure receipt of any addenda, Vendors should include correct mailing address, fax number and e-mail address. Questions should be addressed to:
Betty Jackson, Contracts Analyst Los Angeles County Sheriff's Department Contracts Unit – Fiscal Administration 4700 Ramona Boulevard Monterey Park, California 91754
Fax: (323) 415-1364
E-mail: email@example.com
2.6 Preparation and Format of the SOQ
All SOQs must be bound and submitted in the prescribed format. Any SOQ that deviates from this format may be rejected without review at the County's sole discretion.
The content and sequence of the SOQ must be as follows:
Transmittal Letter
Table of Contents
Vendor's Qualifications (Section A)
Required Forms (Section B)
Proof of Insurability (Section C)
Proof of Licenses (Section D)
2.6.1 Transmittal Letter
The transmittal letter must be a maximum of one (1) page, transmitting the SOQ on the Vendor's stationery. The transmittal letter must include the Vendor's name, address, e-mail, telephone and facsimile numbers of the person or persons to be used for contact and who will be authorized to represent the Vendor. Vendor must be knowledgeable in the use of word processing programs such as Corel Word Perfect and/or Microsoft Word. Vendor's knowledge of word processing programs must be stated in the transmittal letter. Vendor must have the ability to transfer files and documents via e-mail to the County's Project Manager. Vendor's ability to transfer files and documents via e-mail must be stated in the transmittal letter.
2.6.2 Table of Contents
The Table of Contents must be a comprehensive listing of material included in the SOQ. This section must include a clear definition of the material, identified by sequential page numbers and by section reference numbers.
2.6.3 Vendor's Qualifications (Section A)
Vendor must provide relevant information to demonstrate that they meet the minimum qualifications stated in Sub-paragraphs 1.4 and/or 1.5, and
COUNTY OF LOS ANGELES
SHERIFF'S DEPARTMENT
have the capability to perform the required services as a corporation or other entity.
Identify by name, case and court jurisdiction any pending litigation in which Vendor is involved, or judgments against Vendor in the past five (5) years.
Provide a statement describing the size and scope of any pending or threatening litigation against the Vendor or principals of the Vendor. Include any labor disputes and/or alleged unfair hiring practices in the past five (5) years. If none, include a statement to that effect.
In addition to the summary information, the Vendor must complete and include Appendix C - Required Forms. All forms are provided in Appendix C.
2.6.4 Required Forms (Section B)
Vendor must complete and submit the following Required Forms. All forms are provided in Appendix C.
Exhibit 1 Vendor's Organization Questionnaire/Affidavit
Vendor must complete Exhibit 1
Certification of No Conflict of Interest
Vendor must certify that no employee who prepared or participated in the preparation of this SOQ, is within the
purview of County Code Section 2.180.010.
Exhibit 3 Vendor's Equal Employment Opportunity (EEO) Certification Vendor must comply with EEO laws, regulations and policies.
Exhibit 4 Intentionally omitted
Exhibit 5 County Lobbyist Ordinance Certification
Vendor must certify that they are familiar with the requirements of the County Lobbyist Ordinance and that all
Exhibit 2
Exhibit 6
Exhibit 7
persons acting on behalf of the Vendor have and will comply with the ordinance during the RFSQ process.
Prospective Contractor List of Contracts The listing must include all contracts with the County and Public Entities for the last three (3) years.
Prospective Contractor References
Vendor (Psychiatrist) must provide three (3) references for which respondent has provided Psychiatric services.
Vendor (Psychologist) must provide three (3) references for which respondent has provided Psychological services. One of the three references must be from a public safety agency.
It is the Vendor's sole responsibility to ensure that the firm's name, and point of contact's name, title and phone number for each reference is accurate. County may disqualify a Vendor if:
References fail to substantiate Vendor's description of the services provided; or
References fail to support that Vendor has a continuing pattern of providing capable, productive and skilled personnel, or
The Sheriff's Department is unable to reach the point of contact with reasonable effort. It is the Vendor's responsibility to inform the point of contact of normal working hours.
Exhibit 8 Attestation of Willingness to Consider GAIN/GROW
Participants
Vendor must complete and submit with the SOQ.
Exhibit 9 County of Los Angeles Contractor Employee Jury Service Program Certification Form and Application for Exception Vendor must complete and submit with the SOQ. If Vendor is requesting an exception to this program, submit all necessary documents to support the request.
Exhibit 10Signature Page of Master Agreement
Vendor's submission of a signed signature page constitutes acknowledgement and acceptance of, and a willingness to comply with all terms and conditions of the Master Agreement, which are not negotiable.
2.6.5 Proof of Insurability (Section C)
Vendor must provide proof of insurability that meets all insurance requirements set forth in the Exhibit A – Additional Terms and Conditions, Paragraph 12.2. If a Vendor does not currently have the required coverage, a letter from a qualified insurance carrier indicating a willingness to provide the required coverage if the Vendor is selected to receive a Master Agreement award may be submitted with the SOQ.
2.6.6 Proof of Licenses and Degrees (Section D)
Vendor must furnish a copy of all applicable licenses and degrees.
2.7 SOQ Submission
The original SOQ and three (3) numbered copies shall be enclosed in a sealed envelope, plainly marked in the upper left-hand corner with the name and address of the Vendor and bear the words: "SOQ FOR PSYCHOLOGICAL AND/OR PSYCHIATRIC SERVICES"
COUNTY OF LOS ANGELES
SHERIFF'S DEPARTMENT
The SOQ and any related information should be delivered or mailed to:
Betty Jackson, Contracts Analyst Los Angeles County Sheriff's Department Contracts Unit – Fiscal Administration 4700 Ramona Boulevard Monterey Park, California 91754
It is the sole responsibility of the submitting Vendor to ensure that its SOQ is received before the submission deadline, as set forth in Bulletin #1. Submitting Vendors shall bear all risks associated with delays in delivery by any person or entity, including the U.S. Mail. No facsimile (fax) or electronic mail (e-mail) copies will be accepted.
2.8 Acceptance of Terms and Conditions of Master Agreement
Vendors understand and agree that submission of the SOQ and the signed signature page of the Master Agreement constitutes acknowledgement and acceptance of, and a willingness to comply with, all terms and conditions of the Appendix A - Master Agreement. Signature by the authorized agent of the Vendor on the signature page of the Master Agreement constitutes acceptance by the Vendor of all the terms and conditions of the Master Agreement. The terms and conditions of the Master Agreement are not negotiable.
2.9 SOQ Withdrawals
The Vendor may withdraw its SOQ at any time prior to the date and time which is set forth herein as the deadline for acceptance of SOQs, upon written request for same to:
Irma Cobos, Manager Los Angeles County Sheriff's Department Contracts Unit 4700 Ramona Boulevard Monterey Park, California 91754
3.0 SOQ REVIEW/SELECTION/QUALIFICATION PROCESS
3.1 Review Process
SOQs will be subject to a detailed review by qualified County staff. The review process will include the following steps:
3.1.1 Adherence to Minimum Qualifications
An SOQ must adhere to the minimum qualifications outlined in Subparagraph 1.4, Vendor's Minimum Qualifications - Psychiatrist and Subparagraph 1.5, Vendor's Minimum Qualifications - Psychologist. There will be a thorough review of Vendor's qualifications as provided in Section A of the SOQ to determine if the Vendor meets the Minimum Qualifications. The review will include verification of references submitted, a review of the County's Contract Database reflecting past performance history on County contracts, a review of terminated contracts, and a review to determine the magnitude of any pending litigation or judgments against the Vendor.
3.1.2 Required Forms
All forms listed in Section 2, Sub-paragraph 2.6.4 must be included in Section B of the SOQ.
3.1.3 Proof of Insurability
Review the proof of insurability provided in Section C of the SOQ.
3.1.4 Proof of Licenses and Degrees
Review the proof of licenses and Degrees provided in Section D of the SOQ.
3.2 Disqualification Review
An SOQ may be disqualified from consideration because the County determined it was a non-responsive SOQ at any time during the review process. If the County determines that an SOQ is disqualified due to non-responsiveness, the County shall notify the Vendor in writing.
Upon receipt of the written determination of non-responsiveness, the Vendor may submit a written request for a Disqualification Review by the date specified.
Requests for a Disqualification Review not timely submitted will be denied.
A Disqualification Review shall only be granted under the following circumstances:
The firm/person requesting a Disqualification Review is a Vendor;
The request for a Disqualification Review is submitted timely; and,
The request for a Disqualification Review asserts that the Sheriff's Department's determination of disqualification due to SOQ non-responsiveness was erroneous (e.g. factual errors, etc.) and provides factual support on each ground asserted as well as copies of all documents and other material that support the assertions.
The Disqualification Review shall be completed and the Sheriff's Department's determination shall be provided to the Vendor, in writing, prior to the conclusion of the review process.
3.3 Selection/Qualification Process
The Sheriff's Department will generally select Vendors that have the necessary qualifications/experience in providing Psychological and Psychiatric Services. However, in order to insure the Sheriff's Department has at its disposal a varied pool of qualified Contractors, the Sheriff's Department may offer Agreements to Vendors that offer a narrow scope of services in more highly specialized areas.
3.4 Master Agreement Award
Vendors who are notified by the Sheriff's Department that they appear to have the necessary qualifications and experience (i.e., they are qualified) may still not be recommended for an Agreement if other requirements necessary for award have not been met. Other requirements may include items such as complete agreement with the terms and conditions of the Master Agreement, and/or satisfactory documentation that required insurance will be in force. Only when all such matters have been demonstrated to the Sheriff's Department's satisfaction can a Vendor, which is otherwise deemed qualified, be regarded as "selected" for recommendation of an Agreement.
The Sheriff's Department will execute Board of Supervisors-authorized Master Agreements with each selected vendor. All Vendors will be informed of the final selections.
AGREEMENT
FOR
PSYCHOLOGICAL AND PSYCHIATRIC SERVICES
BY AND BETWEEN
COUNTY OF LOS ANGELES
AND
[________________________]
APPENDIX A
LOS ANGELES COUNTY SHERIFF'S DEPARTMENT AGREEMENT
Table of Contents
RECITALS
This Agreement is entered into as of the Effective Date by and between the County of Los Angeles ( “County ”) and [_______________], hereinafter referred to as Contractor, to provide Psychological and Psychiatric Services for the Los Angeles County Sheriff’s Department (the “Department ”).
WHEREAS, the Sheriff's Department desires to contract with private businesses to provide Psychological and Psychiatric Services for Employee Support Services Bureau; and
WHEREAS, Contractor represents that it possesses the necessary special skills, knowledge and technical competence to provide Psychological and Psychiatric Services; and
WHEREAS, this Agreement (as defined below) is authorized pursuant to California Government Code Section 31000.
NOW THEREFORE, In consideration of the mutual covenants contained herein and for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, County and Contractor agree as follows:
1. AGREEMENT AND INTERPRETATION
1.1 Agreement. This base document along with Exhibits A through G, any Attachments attached hereto or thereto, and any Change Order or Amendment from time to time hereto or thereto collectively constitute and throughout and hereinafter are referred to as the "Agreement." This Agreement shall constitute the complete and exclusive statement of understanding between County and Contractor and supersedes any and all prior or contemporaneous agreements, written or oral, and all communications between the parties relating to the subject matter of this Agreement.
1.2 Interpretation. In the event of any conflict or inconsistency in the definition or interpretation of any word, responsibility, schedule, or the contents or description of any Task, Subtask, Deliverable, goods, service, or other Work, or otherwise, such conflict or inconsistency shall be resolved by giving precedence first to this base document, and then to the Exhibits and any attachments thereto, according to the following priority:
1.2.1. Exhibit A – Additional Terms and Conditions
1.2.2. Exhibit C – Invoice
1.2.3. Exhibit B – Statement of Work – Psychiatric Services
1.2.4. Exhibit B1 – Statement of Work – Psychological Services
1.2.5. Exhibit D - Contractor's EEO Certification
1.2.6. Exhibit E – Contractor's Employee Acknowledgement and Confidentiality Agreement
1.2.7. Exhibit F – Contractor's Non-Employee Acknowledgment and Confidentiality Agreement
1.2.8. Exhibit G - Contractor's Obligation as a Business Associate Under the Health Insurance Portability and Accountability Act of 1996 (HIPAA)
1.3 Additional Terms and Conditions. Without limiting the generality of Subparagraph 1.1 (Agreement), attached hereto as Exhibit A (Additional Terms and Conditions), and incorporated by reference herein, are additional terms and conditions to this Agreement. Contractor acknowledges and agrees that it shall be bound by the additional terms and conditions enumerated in such Exhibit as if such terms and conditions were enumerated in the body of this base document.
1.4 Construction. The words "herein", "hereof", and "hereunder" and words of similar import used in this Agreement refer to this Agreement, including all annexes, Attachments, and Exhibits as the context may require. Wherever from the context it appears appropriate, each term stated in either the singular or plural shall include the singular and the plural. Whenever examples are used in this Agreement with the words "including", "for example", "e.g.", "such as", "etc.", or any derivation of such words, such examples are intended to be illustrative and not limiting. Captions and Paragraph headings used in the Agreement are for convenience only and are not a part of the Agreement and shall not be used in construing the Agreement.
2. DEFINITIONS
The following terms and phrases in quotation marks and with initial letters capitalized shall have the following specific meaning when used in this Agreement.
2.1 "Agreement" has the meaning set forth in Paragraph 1.1 (Agreement).
2.2 "Board" means the Los Angeles County Board of Supervisors.
2.3 "Business Day" means Monday through Friday, excluding County observed holidays.
2.4 "Change Order" has the meaning set forth in Paragraph 6 (Change Orders and Amendments)
2.5 "Contractor Project Manager" has the meaning set forth in Paragraph 4.1 (Contractor Project Manager).
2.6 "County" has the meaning set forth in the Recitals.
2.7 "County Counsel" means County's Office of the County Counsel.
2.8 "County Indemnitees" has the meaning set forth in Paragraph 12.1 (Indemnification) of Exhibit A (Additional Terms and Conditions).
2.9 "County Project Director" has the meaning set forth in Paragraph 3.1 (County Project Director).
2.10 "County Project Manager" has the meaning set forth in Paragraph 3.2 (County Project Manager).
2.11 "Deliverable" means a service, product, or good to be provided by Contractor to County under this Agreement and identified as a numbered Deliverable in the Statement of Work or any approved Change Order or amendment.
2.12 "Department" has the meaning set forth in the Recitals.
2.13 "Dispute Resolution Procedure" has the meaning set forth in Paragraph 1.0 (Dispute Resolution Procedure) of Exhibit A (Additional Terms and Conditions).
2.14 "Effective Date" means the first date on which this Agreement has been executed by all parties and approved by the Board.
2.15 "Session Rate" means, for the Contractor, the fully burdened session rates set forth in Paragraph 8, Prices and Fees, Subparagraph 8.2 Session Rates, each of which such session rate includes an allocated average of direct and indirect costs, overhead, and administrative expenses attributable to each personnel hour worked.
2.16 "Infringement Claims" has the meaning set forth in Paragraph 13.0 (Intellectual Property Indemnification) of Exhibit A (Additional Terms and Conditions).
2.17 "Initial Term" has the meaning set forth in Paragraph 7 (Term).
2.18 INTENTIONALLY OMITTED
2.19 "Jury Service Program" has the meaning set forth in Paragraph 32.0 (Compliance with Jury Service Program) of Exhibit A (Additional Terms and Conditions).
2.20 "Maximum Contract Sum" has the meaning set forth in Paragraph 8 (Prices and Fees).
2.21 "Option Term" has the meaning set forth in Paragraph 7 (Term).
2.22 INTENTIONALLY OMITTED
2.23 INTENTIONALLY OMITTED
2.24 INTENTIONALLY OMITTED
2.25 "Sheriff" means the elected official who is the Sheriff of the County of Los Angeles.
2.26 "Statement of Work" or "SOW" means the Statement of Work, attached as Exhibit B and Exhibit B1 (Statement of Work) to this Agreement, as the same may be amended by an approved Change Order or amendment.
2.27 INTENTIONALLY OMITTED
2.28 INTENTIONALLY OMITTED
2.29 "Tax" and "Taxes" means governmental fees (including license, filing and registration fees) and all taxes (including franchise, excise, stamp, value added, income, gross receipts, gross revenue, import, export, sales, use, transfer, and property taxes), withholdings, assessments, levies, imposts, duties, charges, or interest thereon imposed.
2.30 "Term " has the meaning set forth in Paragraph 7 (Term).
2.31 "Work" means any and all deliverables, goods, and other services performed by or on behalf of Contractor including the work required pursuant to this Agreement, the Statement of Work, and all the Exhibits, Change Orders, and amendments hereto.
3. ADMINISTRATION OF AGREEMENT – COUNTY
3.1 County Project Director.
3.1.1 "County Project Director" for this Agreement shall be the following person:
Dr. Audrey Honig Employee Support Services 4700 Ramona Boulevard Monterey Park, California 91754 (213) 738-3500 E-mail: firstname.lastname@example.org
3.1.2 County will notify Contractor of any change in the name or address of County Project Director.
3.1.3 Except as set forth in Paragraph 6 (Change Orders and Amendments) of this Agreement, County Project Director is not authorized to make any changes in any of the terms and conditions of this Agreement and is not authorized to further obligate County in any respect whatsoever.
3.1.4 County Project Director shall have the right at all times to inspect any and all Work provided by or on behalf of Contractor.
3.2 County Project Manager
3.2.1 "County Project Manager" for this Agreement shall be the following person:
Dr. Steve Sultan Employee Support Services 4700 Ramona Boulevard Monterey Park, California 91754
E-mail: email@example.com
Unless otherwise specifically noted, whenever this Agreement calls for a notice, report, or other delivery to be made by Contractor (or any representative thereof) to County Project Manager, such notice, report, or other delivery shall be made to County Project Manager in accordance with the notice information set forth above or in accordance with such other notice information as County may notify Contractor from time to time pursuant to Subparagraph 3.2.2.
3.2.2 County shall notify Contractor of any change in the name or address of the County Project Manager.
3.2.3 The County Project Manager shall be a resource for addressing the technical standards and requirements of this Agreement, shall interface regularly with Contractor and further shall have the duties from time to time give to such person by County.
3.2.4 County Project Manager is not authorized to make any changes in any of the terms and conditions of this Agreement nor obligate County in any respect whatsoever.
3.2.5 County Project Manager shall advise County Project Director as to Contractor's performance in areas relating to technical requirements and standards, County policy, information requirements, and procedural requirements.
3.2.6 County Project Manager shall approve all invoices and forward approved invoices to Sheriff's Accounts Payable Unit, pursuant to Subparagraph 10.1.
3.3 Consolidation of Duties - County reserves the right to consolidate the duties of the County's Project Director, which duties are enumerated in Paragraph 3.1 (County's Project Director), and the duties of County's Project Manager, which duties are enumerated in Paragraph 3.2 (County's Project Manager), into one County position, and to assign all such duties to one individual who will act as County's liaison in all matters relating to this Agreement. County will notify Contractor no later than five (5) days prior to exercising its rights pursuant to this Paragraph 3.3.
3.4 County Personnel - All County personnel assigned to this Agreement shall be under the exclusive supervision of County. Contractor understands and agrees that all such County personnel are assigned only for the convenience of County.
4. ADMINISTRATION OF AGREEMENT – CONTRACTOR
4.1 Contractor Project Manager
4.1.2 Contractor Project Manager shall be responsible for performance of all Work and compliance with this Agreement.
4.1.3 From the Effective Date through the expiration of the Term, Contractor Project Manager shall be available to meet and confer with County Project Director and/or County's Project Manager at least monthly in person or by phone, to review project progress and discuss project coordination.
4.1.4 Contractor Project Manager shall be responsible for Contractor's day-today activities as related to this Agreement.
4.1.1 “ Contractor Project Manager ” shall be the following person:
[__________________]
5. WORK; APPROVAL AND ACCEPTANCE
5.1 General
Contractor acknowledges that, subject to this Paragraph 5 (Work; Approval and Acceptance), all Work performed under this Agreement, including pursuant to an executed Change Order or Amendment, is payable on an as-needed basis in accordance with the terms and conditions of this Agreement, including this
Paragraph 5 (Work; Approval and Acceptance), Paragraph 8 (Prices and Fees), and Paragraph 10 (Invoices and Payments).
6. CHANGE ORDERS AND AMENDMENTS
No representative of either County or Contractor, including those named in this Agreement, is authorized to make any changes in any of the terms, obligations, or conditions of this Agreement, except through the procedures set forth in this Paragraph 6 (Change Orders and Amendments).
6.1 General
County reserves the right to change any portion of the Work required under this Agreement, or amend such other terms and conditions, as may become necessary. Any such revision shall be accomplished in the following manner:
6.1.1 For any change which does not materially affect the scope of Work, period of performance, amount of payments, or any other term or condition included under this Agreement, a Change Order shall be executed by both County Project Director, with the concurrence of County Counsel, and Contractor Project Manager. To the extent that extensions of time for Contractor performance do not impact either the scope of Work or cost of this Agreement, County Project Director, in County Project Director's discretion, may grant Contractor extensions of time in writing for the Work listed in the Statement of Work or otherwise in this Agreement provided that such extensions shall not extend the Term of this Agreement.
6.1.2 For any change that materially affects the scope of Work, period of performance, amount of payments, or any other term or condition in the body of this Agreement or Exhibit A (Additional Terms and Conditions), then a negotiated amendment to this Agreement shall be executed by the Board and Contractor.
6.2 Audit of Change Order Work
County is entitled to audit, in accordance with Paragraph 39.0 (Records and Audits) of Exhibit A (Additional Terms and Conditions), Contractor's compliance with Paragraph 6 (Change Orders and Amendments) in respect of Work performed pursuant to a Change Order.
7. TERM OF AGREEMENT
County of Los Angeles Sheriff’s Department
Psychological and Psychiatric Services Appendix A - Agreement
7
7.1 This Agreement is effective upon the date of its execution by the Sheriff. This Agreement shall expire on ___________, (three years from date of approval of
the Agreement form by the Los Angeles County Board of Supervisors) unless sooner extended or terminated, in whole or in part, as provided herein. If this Agreement becomes effective during any of the extension periods, than this Agreement will have the same term as other Agreements for the services provided herein.
7.2 The Sheriff has the option, at the Sheriff's discretion and upon notice to Contractor no later than thirty (30) days prior to the end of the then-current period of the Agreement Term, to extend the term of this Agreement for up to two additional one-year (1) periods and six (6) months in any increment, (an "Option Term") for a total Agreement term of five (5) years and six months. As used herein, "Term" shall mean the Initial Term and, if extended, each Option Term, as the case may be. Each such extension shall be exercised individually through the Change Notices and Amendment process outlined in Section 6.0.
7.3 Contractor shall notify the Sheriff's Department when this Agreement is within six (6) months from the expiration of the term as provided for hereinabove. Upon occurrence of this event, the Contractor shall send written notification to the County's Project Director at the address herein, provided in Section 3.0, Administration of Agreement – County.
8. PRICES AND FEES
8.1 General
The prices and fees for this Agreement shall be the amount payable by County to Contractor for performing all tasks, deliverables, goods, services and any other work required under this Agreement. The Contractor shall not be entitled to payment or reimbursement for any tasks, deliverables, goods, services and any other work, nor for any incidental or administrative expenses whatsoever incurred in or incidental to performance hereunder, except as specified in this Agreement.
8.2 Session Rates
For providing the tasks, deliverables, services and other work authorized pursuant to this Agreement, Contractor shall invoice the Sheriff's Department monthly. The session rates shall remain fixed for the term of the Agreement. The session rates are as follows:
8.3 Maximum Contract Sum
The "Maximum Contract Sum" under this Agreement shall be the total monetary amount that would be payable by County to all Contractors for providing required Work under this Agreement for the Term. The Maximum Contract Sum for this Agreement, including applicable Taxes, authorized by County hereunder shall in no event, expressly or by implication, exceed the sum allocated in the fiscal year's operating budget.
9. COUNTY'S OBLIGATION FOR FUTURE FISCAL YEARS
Notwithstanding any other provision of this Agreement, either expressly or by implication, County shall not be obligated for Contractor's performance hereunder or by any provision of this Agreement during any of County's future fiscal years unless and until the Board appropriates funds for this Agreement in County's budget for each such future fiscal year. In the event that funds are not appropriated for this Agreement, then this Agreement shall terminate as of June 30 of the last fiscal year for which funds were appropriated and such termination shall be deemed a termination for convenience pursuant to Paragraph 5.0 (Termination for Convenience) of Exhibit A (Additional Terms and Conditions). County shall endeavor to notify Contractor in writing of any such nonappropriation of funds at the earliest possible date.
10. INVOICES AND PAYMENTS
10.1 Approval of Invoices
Invoices under this Agreement shall be submitted to the County's Project Manager, as specified in Section 3.0 of this Agreement. The two-page invoice, Exhibit C, must be sent to the County's Project Manager to arrive no later than the last business day of the month. Invoices may be mailed (to arrive by the last business day) or faxed to the County's Project Manager.
All invoices submitted by Contractor for payment must have the written approval of County's Project Manager, as evidenced by County's Project Manager's countersignature, prior to any payment thereof. In no event shall County be liable or responsible for any payment prior to such written approval. The County's Project Manager shall forward the approved invoice to Sheriff's Accounts Payable Unit for payment. Incomplete or late invoices may delay processing of billing. County will not be responsible for invoices submitted more than 60 days after the date of service rendered.
10.2 Detail: The first page of the invoice must be completed as follows:
10.2.1 Name/Date of Birth (DOB): Contractor must indicate the name and identification number (DOB +initials) for each Client. Spouses must be
listed, as do the names of children seen in family sessions. An entry must be made for each client for each date of attendance (i.e. both members of the couples session would have an entry if it is a couples' session). All parties to a family session should have an entry as well.
10.2.2 Work Status: Work status is either employee (Emp.) or spouse/partner (S.O).
10.2.3 Type of Session: Contractor must indicate if the client is being seen for individual (Ind.), couples (Coup) or family (Fam) sessions. A client may be seen for more than one type of counseling in a month (with prior approval).
10.2.4 Session Date: Contractor shall indicate the date the client showed, canceled, or no showed. This will become a part of the client's permanent record.
10.2.5 Attend/Length of Session: Contractor shall indicate if the client showed (S), canceled (CN), or no-showed (NS) the appointment.
10.2.6 Session Rates: Refer to Sub-Paragraph 8.2, Session Rates.
10.2.7 Charge: Total charges being billed.
10.2.8 Topic(s): The Contractor shall indicate the issue/topics of treatment using the numbering system on the list provided by the County's Project Manager. Up to four treatment topics can be listed per client.
10.2.9 The second page of the invoice must be completed as follows:
Contractor must include the employee or significant other's item number, dates of attendance, length of session, session rate, and charges being billed; however, the client's identifying information should be deleted. Contractor shall not list no-shows, or cancellations on the second page of the invoice. A family session or couples session should have only one entry (either the employee or significant other's item number) on this page since only one charge will be entered.
10.3 No Out-of-Pocket Expenses
Contractor acknowledges that out-of-pocket expenses, including travel, meal, and lodging expenses, are not reimbursable by County. Accordingly, Contractor's invoices shall not include out-of-pocket expenses.
10.4 Contractor Responsibility
Contractors shall ensure that invoices are not sent to the client. Home address information must be safeguarded against accidental billing of a client.
Contractor is responsible for the accuracy of invoices submitted to County. Further, it is the responsibility of Contractor to reconcile or otherwise correct inaccuracies or inconsistencies in the invoices submitted by Contractor, prior to submission.
10.5 County's Right to Withhold
In addition to any rights of County provided in this Agreement, or at law or in equity, County may, upon notice to Contractor, withhold payment for any Work while Contractor is in default hereunder, or at any time that Contractor has not provided County approved Work.
11. NOTICES
All notices or demands required or permitted to be given or made under this Agreement, unless otherwise specified, shall be in writing and shall be addressed to the parties at the following addresses and delivered: (a) by hand with signed receipt; (b) by first-class registered or certified mail, postage prepaid; (c) by facsimile or electronic mail transmission followed within twenty-four (24) hours by a confirmation copy mailed by first-class registered or certified mail, postage prepaid; or (d) by overnight commercial carrier, with signed receipt. Notice is deemed given at the time of signed receipt in the case of hand delivery, three (3) days after deposit in the United States mail as set forth above, on the date of facsimile or electronic mail transmission if followed by timely confirmation mailing, or on the date of signature receipt by the receiving part of any overnight commercial carrier delivery. Addresses may be changed by either party giving ten (10) days prior notice in accordance with the procedures set forth above, to the other party.
To County:
(1) Los Angeles County Sheriff's Department Contracts Unit 4700 Ramona Boulevard Monterey Park, CA 91754
Attention: Irma Cobos, Manager
Facsimile: (323) 415-1220
with a copy to:
(2) Los Angeles County Sheriff’s Department Legal Advisory Unit 4700 Ramona Boulevard, Suite 225 Monterey Park, CA 91754-2169 Facsimile: (323) 267-6687
To Contractor: [_______________________]
Attention: [______________]
Facsimile: [______________]
The County Project Director shall have the authority to issue all notices or demands, which are required or permitted by County under this Agreement.
12. ARM'S LENGTH NEGOTIATIONS
This Agreement is the product of an arm's length negotiation between Contractor and County. Each party has had at all times the opportunity to receive advice from independent counsel of its own choosing. Accordingly, this Agreement is to be interpreted fairly as between the parties, and not strictly construed as against either party as drafter or creator.
13. VALIDITY
If any provision of this Agreement or the application thereof to any person or circumstance is held invalid, the remainder of this Agreement and the application of such provision to other persons or circumstances shall not be affected thereby.
14. CONTRACTOR'S OBLIGATIONS AS A BUSINESS ASSOCIATE UNDER THE HEALTH INSURANCE PORTABILITY AND ACCOUNTABILITY ACT OF 1996 (HIPPA)
Under this Agreement, the Contractor ("Business Associate") provides services to County ("Covered Entity") and Business Associate receives, has access to, or create Protected Health Information, as defined in Exhibit G (Contractor's Obligations as a Business Associate Under the Health Insurance Portability and Accountability Act of 1996 (HIPPA) in order to provide those services. Covered Entity is subject to the Administrative Simplification requirements of the Federal Health Insurance Portability and Accountability Act of 1966 (HIPPA), and regulations promulgated there under. The parties therefore agree to the terms of Exhibit G.
15. SURVIVAL
The following Paragraphs of this Agreement shall survive its expiration or termination for any reason: 1, 2, 8, 10, 11, 12, 15, and all the terms and conditions set forth in Exhibit A (Additional Terms and Conditions).
[Continue on following page for signatures]
AGREEMENT PSYCHOLOGICAL AND PSYCHIATRIC SERVICES BETWEEN COUNTY OF LOS ANGELES AND
[______________]
IN WITNESS WHEREOF, the County of Los Angeles, by order of its Board of Supervisors, has caused this Agreement to be executed by the Sheriff of the Los Angeles County Sheriff's Department, and approved by County Counsel and Contractor, to be executed on its behalf by its duly authorized officer, effective as of the date executed by the Sheriff.
COUNTY OF LOS ANGELES
By
LEROY D. BACA SHERIFF
By __________________________
Contractor
Print Name: ___________________
Title: _________________________
Date: _________________________
APPROVED AS TO FORM:
RAYMOND G. FORTNER COUNTY COUNSEL
By [Signature on File]
Gary Gross
Principal Deputy County Counsel
APPENDIX B STATEMENT OF WORK PSYCHIATRIC SERVICES
TABLE OF CONTENTS
Psychiatric Services Page i
APPENDIX B
STATEMENT OF WORK (SOW)
1.0 SCOPE OF WORK
The Contractor (Psychiatrist) shall provide psychiatric evaluation, medication evaluation, and medication re-evaluation services to sworn and professional staff employed by the Los Angeles County Sheriff's Department and their family members/significant others. An individual receiving psychiatric services under the terms of this Agreement shall hereinafter be referred to as "CLIENT".
2.0 QUARTERLY MEETINGS
The Contractor may be required to attend periodic, two (2) hour meetings, held quarterly. Meetings will be schedule by the County's Project Manager. Advance notification will be provided to the Contractor by the County's Project Manager.
3.0 TRAINING
The Contractor, at the discretion of the County's Project Director, may be required to attend a one (1) day long orientation and workshop program of approximately six (6) hours in length covering topics including forms and billing procedures, worker's compensation issues, Department systems and services, peace officer suicide and post traumatic stress issues.
4.0 MATERIALS AND EQUIPMENT
The Contractor shall utilize Intake and Client Information Forms supplied by the County's Project Manager. The purchase of all equipment to provide the needed services is the responsibility of the Contractor. Contractor shall use materials and equipment that are safe for the environment.
Psychiatric Services Page 1
Appendix B – Statement of Work
5.0 CONTRACTOR'S OFFICE
Contractor shall maintain an office in Los Angeles County or adjoining Counties with a telephone in the company's name where Contractor conducts business. When the office is closed, an answering service shall be provided to receive calls. The Contractor shall answer calls received by the answering service within two (2) hours of receipt of the call.
6.0 WORK SCHEDULES
The County Project Manager will notify the Contractor and refer CLIENTS to Contractor as the need arises, by geographic area.
7.0 SPECIFIC WORK REQUIREMENTS
7.1 Contractor shall provide designated psychiatric services to sworn and professional staff of the Los Angeles County Sheriff's Department only upon referral by County's Project Director or Project Manager.
7.2 Contractor, upon referral of a CLIENT by the County's Project Director or Project Manager, shall provide an initial comprehensive Psychiatric Evaluation, and Medication Re-evaluations of intermediate length (2530 minutes sessions), and/or brief length, (10-15 minutes sessions), when appropriate.
7.3 Contractor shall not provide psychiatric services to sworn or professional staff of the Los Angeles County Sheriff's Department except as authorized by the County's Project Director or Project Manager, pursuant to this Agreement.
7.4 Contractor, upon referral of a CLIENT by County's Project Director or Project Manager, shall provide an initial face-to-face comprehensive psychiatric evaluation, prescribe psychiatric medicine or not, as indicated by the findings of the evaluation, and when prescribing medication, conduct face-to-face or telephonic medication reevaluations at least monthly or as frequently as dictated by currently accepted standards of psychiatric care. Brief medication re-
Appendix B – Statement of Work
evaluations may be conducted telephonically. Intermediate medication re-evaluations should be conducted on a face-to-face basis unless circumstances clearly require this be done telephonically.
7.5 Contractor agrees to see only CLIENTS who are concurrently in counseling or psychotherapy with a psychologist employed by or under contract with the Sheriff's Department's Employee Support Services Bureau.
7.6 Contractor shall utilize intake and CLIENT information forms supplied by the County's Project Director or Project Manager. Contractor shall complete all necessary documentation for record keeping and billing purposes in a timely manner. Failure to do so may result in delay or loss of payment for Contractor's services.
7.7 Contractor shall participate in periodic Client Satisfaction Surveys at the request of the County's Project Director.
7.8 County's Project Director, Project Manager, or the CLIENT'S treating psychologist (with approval of the Project Manager) shall notify Contractor of the referral of a CLIENT and authorize an initial psychiatric evaluation session. Following an initial psychiatric evaluation, a written or verbal consultation report outlining the treatment plan and recommendations must be made to the referring psychologist from Employee Support Services Bureau.
7.9 Contractor shall be aware that the referring psychologist is the CLIENT'S primary care provider. The Contractor serves as a consultant to the primary care provider for the purpose of prescribing and monitoring the CLIENT'S use of psychiatric medicine.
As a consultant, Contractor is required to maintain medical records regarding the CLIENT'S initial evaluation and progress relative to the
Appendix B – Statement of Work
prescribed psychiatric medicine regimen. These records shall be available via consultation with the CLIENT'S treating psychologist.
Appendix B – Statement of Work
APPENDIX B-1 STATEMENT OF WORK PSYCHOLOGICAL SERVICES
TABLE OF CONTENTS
Psychiatric Services Page i
Appendix B-1 Statement of Work
APPENDIX B-1 STATEMENT OF WORK (SOW)
1.0 SCOPE OF WORK
The Contractor (Psychologist) shall provide counseling and psychotherapy services to sworn and professional staff employed by the Los Angeles County Sheriff's Department and their family members/significant others utilizing brief solution oriented psychological interventions. Services may include individual counseling or psychotherapy for Department members, relationship/marital counseling/psychotherapy, and/or family counseling/psychotherapy. Children shall also be seen in the context of family treatment, with participation in the treatment plan by the Department member. An individual receiving psychological services under the terms of this Agreement shall hereinafter be referred to as "CLIENT".
2.0 QUARTERLY MEETINGS
The Contractor may be required to attend periodic, two (2) hour meetings, held quarterly. Meetings will be schedule by the County's Project Manager. Advance notification will be provided to the Contractor by the County's Project Manager.
3.0 TRAINING
The Contractor, at the discretion of the County's Project Director, may be required to attend a one (1) day long orientation and workshop program of approximately six (6) hours in length covering topics including forms and billing procedures, worker's compensation issues, Department systems and services, peace officer suicide and post traumatic stress issues. The Contractor may also be required to participate in certain field experiences, including two (2) ride-a-longs, one visit to a custody facility, one visit to the Sheriff's Communications Center and four (4) hour firearms training.
Appendix B-1 – Statement of Work
Other such experiences that serve to acquaint Contractor with the working conditions experienced by law enforcement personnel may be recommended to, or substituted by the Contractor, with prior approval of the County's Project Director.
4.0 MATERIALS AND EQUIPMENT
The Contractor shall utilize Intake and Client Information Forms supplied by the County's Project Manager. The purchase of all equipment to provide the needed services is the responsibility of the Contractor. Contractor shall use materials and equipment that are safe for the environment.
5.0 CONTRACTOR'S OFFICE
Contractor shall maintain an office in Los Angeles County or adjoining Counties with a telephone in the company's name where Contractor conducts business. When the office is closed, an answering service shall be provided to receive calls. The Contractor shall answer calls received by the answering service within two (2) hours of receipt of the call.
6.0 WORK SCHEDULES
The County Project Manager will notify the Contractor and refer CLIENTS to Contractor as the need arises, primarily by geographic area.
7.0 SPECIFIC WORK REQUIREMENTS
7.1 Contractor shall provide designated psychological services to sworn and professional staff of the Los Angeles County Sheriff's Department only upon referral by County's Project Director or Project Manager.
7.2 Contractor shall not provide psychological services to sworn or professional staff of the Los Angeles County Sheriff's Department except as authorized by the County's Project Director or Project Manager, pursuant to this Agreement.
7.3 Contractor, upon referral of a CLIENT by County's Project Director or Project Manager, shall provide counseling/psychotherapy services in
forty-five to fifty (45-50) minutes sessions, not to exceed ten (10) session total within a calendar year unless additional services are preauthorized by the County's Project Director.
7.4 Contractor shall utilize intake and CLIENT information forms supplied by the County's Project Director or Project Manager. Contractor shall complete all necessary documentation for record keeping and billing purposes in a timely manner. Failure to do so may result in delay of payment for Contractor's services. Contractor shall maintain accurate and appropriate medical records on each CLIENT referred, consistent with current professional standards.
7.5 Contractor shall participate in periodic Client Satisfaction Surveys at the request of the County's Project Director.
7.6 Contractor shall provide Clients, alleging a work-related injury, with information regarding Worker's Compensation Benefits, Attachment 1, Worker's Compensation Claim Form, Attachment 2, Receipt of Claim Form, Attachment 3, and Declination Statement, Attachment 4. Contractor shall document the alleged injury as well as other pertinent information concerning CLIENT. Contractor shall not provide further counseling to the CLIENT until the CLIENT signs the aforementioned Receipt of Claim Form, Attachment 3, and the Declination Statement, Attachment 4. CLIENTS, who have a current industrial injury claim pending, or those indicating an intent or desire to file a Worker's Compensation Claim, shall immediately be referred back to the County's Project Director, and shall not be treated by the Contractor.
7.7 The County's Project Director or Project Manager shall notify Contractor of the referral of a CLIENT and authorize an initial four (4) hour counseling sessions. If additional psychological counseling sessions are required, a report, either verbal or in writing, outlining the treatment plan and recommendations must be made to the County's Project Director or Project Manager. The Contractor shall not provide
additional services to the CLIENT without prior authorization from the County's Project Director or Project Manager.
7.8 When Contractor, during the course of evaluation and/or treatment, determines that a CLIENT may require a psychiatric medicine consultation, the Contractor shall notify the County's Project Director or Project Manager immediately. The County's Project Director or Project Manager will assist the CLIENT in obtaining initial consultation with a psychiatrist currently contracted with Employee Support Services Bureau. The psychiatric consultant and the Contractor will be responsible for communicating with each other regarding the psychiatric medicine needs of the CLIENT, and the progress of the CLIENT on a monthly basis, if psychiatric medicine is prescribed.
Appendix B-1 – Statement of Work
APPENDIX C
REQUIRED FORMS
APPENDIX C REQUIRED FORMS TABLE OF CONTENTS
EXHIBITS
PAGE
REQUIRED FORMS - EXHIBIT 1 VENDOR'S ORGANIZATION QUESTIONNAIRE/AFFIDAVIT
Page 1 of 2
Please complete, date and sign this form. The person signing the form must be authorized to sign on behalf of the Vendor and to bind the applicant in a Contract.
1. If your firm is a corporation, state its legal name (as found in your Articles of Incorporation) and State of incorporation:
_______________________________________________ ____________ ________
Name
State Year Inc.
2. If your firm is a partnership or a sole proprietorship, state the name of the proprietor or managing partner:
_____________________________________
3. If your firm is doing business under one or more DBA’s, please list all DBA’s and the County(s) of registration:
Name
County of Registration
Year became DBA
____________________ _________________
______________
____________________ _________________
______________
4. Is your firm wholly or majority owned by, or a subsidiary of, another firm? ____ If yes,
Name of parent firm: _____________________________________________________________
State of incorporation or registration of parent firm:_____________________________________
5. Please list any other names your firm has done business as within the last five (5) years.
Name
Year of Name Change
____________________________
__________________
____________________________
__________________
6. Indicate if your firm is involved in any pending acquisition/merger, including the associated company name. If not applicable, so indicate below.
____________________________________________________________________________
____________________________________________________________________________
Vendor acknowledges and certifies that it meets and will comply with all of the Minimum Requirements listed in Paragraphs 1.4 and 1.5 - Minimum Requirements, of this Request for Statement of Qualifications.
Check the appropriate boxes:
Yes No
Sub-paragraph 1.5.1 one-year experience
Yes No
Paragraph 1.6.1 Adherence to County Requirements
Vendor further acknowledges that if any false, misleading, incomplete, or deceptively unresponsive statements in connection with this proposal are made, the proposal may be rejected. The evaluation and determination in this area shall be at the Director’s sole judgment and his/her judgment shall be final.
Vendor's Name:
________________________________________________________________________________
Address:
________________________________________________________________________________
________________________________________________________________________________
e-mail address:_____________________________ Telephone number:______________________
Fax number: ______________________________
On behalf of _______________________________ (Vendor's name), I _______________________
(Name of Vendor’s authorized representative), certify that the information contained in this Vendor’s Organization Questionnaire/Affidavit is true and correct to the best of my information and belief.
_________________________________________ _________________________________
Signature
Internal Revenue Service Employer Identification Number
_________________________________________ _________________________________
Title
California Business License Number
_________________________________________ _________________________________
Date
County WebVen Number
CERTIFICATION OF NO CONFLICT OF INTEREST
The Los Angeles County Code, Section 2.180.010, provides as follows:
CONTRACTS PROHIBITED
Notwithstanding any other section of this Code, the County shall not contract with, and shall reject any Statement of Qualifications submitted by, the persons or entities specified below, unless the Board of Supervisors finds that special circumstances exist which justify the approval of such contract:
1. Employees of the County or of public agencies for which the Board of Supervisors is the governing body;
2. Profit-making firms or businesses in which employees described in number 1 serve as officers, principals, partners, or major shareholders;
3. Persons who, within the immediately preceding 12 months, came within the provisions of number 1, and who:
a. Were employed in positions of substantial responsibility in the area of service to be performed by the contract; or
b. Participated in any way in developing the contract or its service specifications; and
4. Profit-making firms or businesses in which the former employees, described in number 3, serve as officers, principals, partners, or major shareholders.
Contracts submitted to the Board of Supervisors for approval or ratification shall be accompanied by an assurance by the submitting department, district or agency that the provisions of this section have not been violated.
____________________________________________________
Vendor Name
____________________________________________________
Vendor Official Title
____________________________________________________
Official's Signature
VENDOR'S EEO CERTIFICATION
__________________________________________________________________________________
Company Name
__________________________________________________________________________________
Address
__________________________________________________________________________________
Internal Revenue Service Employer Identification Number
GENERAL
In accordance with provisions of the County Code of the County of Los Angeles, the Vendor certifies and agrees that all persons employed by such firm, its affiliates, subsidiaries, or holding companies are and will be treated equally by the firm without regard to or because of race, religion, ancestry, national origin, or sex and in compliance with all anti-discrimination laws of the United States of America and the State of California.
CERTIFICATION
YES
NO
1. Vendor has written policy statement prohibiting discrimination in all phases of employment.
( )
( )
2. Vendor periodically conducts a self-analysis or
utilization analysis of its work force.
( )
( )
3. Vendor has a system for determining if its employment practices are discriminatory against protected groups.
( )
( )
4. When areas are identified in employment practices,
Vendor has a system for taking reasonable corrective action to include establishment of goal and/or timetables.
( )
( )
___________________________________________ ________________________
Signature
Date
___________________________________________________________________________
Name and Title of Signer (please print)
EEO Certification RFSQ - APPENDIX C Page
COUNTY LOBBYIST ORDINANCE CERTIFICATION
The Vendor certifies that it is familiar with the terms of the County of Los Angeles Lobbyist Ordinance, Los Angeles Code Chapter 2.160. The Vendor also certifies that all persons acting on behalf of the Vendor organization have and will comply with it during the solicitation process.
Signature:_________________________________ Date:___________________
ATTESTATION OF WILLINGNESS TO CONSIDER GAIN/GROW PARTICIPANTS
As a threshold requirement for consideration for contract award, Vendor shall demonstrate a proven record for hiring GAIN/GROW participants or shall attest to a willingness to consider GAIN/GROW participants for any future employment opening if they meet the minimum qualifications for that opening. Additionally, Vendor shall attest to a willingness to provide employed GAIN/GROW participants access to the Vendor's employee mentoring program, if available, to assist these individuals in obtaining permanent employment and/or promotional opportunities.
Vendors unable to meet this requirement shall not be considered for contract award.
Vendor shall complete all of the following information, sign where indicated below, and return this form with any resumes and/or fixed price bid being submitted:
A. Vendor has a proven record of hiring GAIN/GROW participants.
______YES (subject to verification by County) ______NO
B. Vendor is willing to consider GAIN/GROW participants for any future employment openings if the GAIN/GROW participant meets the minimum qualifications for the opening. “Consider” means that Vendor is willing to interview qualified GAIN/GROW participants.
______YES ______NO
C. Vendor is willing to provide employed GAIN/GROW participants access to its employee-mentoring program, if available.
______YES ______NO ______N/A (Program not available)
Vendor Organization: _____________________________________________
Signature: _______________________________________________________
Print Name: ______________________________________________________
Title: ________________________________________ Date: _____________
Tel.#: _______________________________ Fax #: ____________________
GAIN/GROW Attestation RFSQ - APPENDIX C Page8
COUNTY OF LOS ANGELES CONTRACTOR EMPLOYEE JURY SERVICE PROGRAM CERTIFICATION FORM AND APPLICATION FOR EXCEPTION
The County's solicitation for this Request for Statement of Qualifications is subject to the County of Los Angeles Contractor Employee Jury Service Program (Program), Los Angeles County Code, Chapter 2.203. All Vendors, whether a contractor or subcontractor, must complete this form to either certify compliance or request an exception from the Program requirements. Upon review of the submitted form, the County department will determine, in its sole discretion, whether the Vendor is excepted from the Program.
Company Name:
Company Address:
City: State: Zip Code:
Telephone Number:
Solicitation For ____________ Services:
If you believe the Jury Service Program does not apply to your business, check the appropriate box in Part I (attach documentation to support your claim); or, complete Part II to certify compliance with the Program. Whether you complete Part I or Part II, please sign and date this form below.
Part I: Jury Service Program is Not Applicable to My Business
My business does not meet the definition of “contractor,” as defined in the Program, as it has not received an aggregate sum of $50,000 or more in any 12-month period under one or more County contracts or subcontracts (this exception is not available if the contract itself will exceed $50,000). I understand that the exception will be lost and I must comply with the Program if my revenues from the County exceed an aggregate sum of $50,000 in any 12-month period.
My business is a small business as defined in the Program. It 1) has ten or fewer employees; and, 2) has annual gross revenues in the preceding twelve months which, if added to the annual amount of this contract, are $500,000 or less; and, 3) is not an affiliate or subsidiary of a business dominant in its field of operation, as defined below. I understand that the exception will be lost and I must comply with the Program if the number of employees in my business and my gross annual revenues exceed the above limits.
“Dominant in its field of operation” means having more than ten employees, including full-time and part-time employees, and annual gross revenues in the preceding twelve months, which, if added to the annual amount of the contract awarded, exceed $500,000.
“Affiliate or subsidiary of a business dominant in its field of operation” means a business which is at least 20 percent owned by a business dominant in its field of operation, or by partners, officers, directors, majority stockholders, or their equivalent, of a business dominant in that field of operation.
My business is subject to a Collective Bargaining Agreement (attach agreement) that expressly provides that it supersedes all provisions of the Program.
OR
Part II: Certification of Compliance
My business has and adheres to a written policy that provides, on an annual basis, no less than five days of regular pay for actual jury service for full-time employees of the business who are also California residents, or my company will have and adhere to such a policy prior to award of the contract.
I declare under penalty of perjury under the laws of the State of California that the information stated above is true and correct.
Print Name:
Title:
Signature:
Date:
Jury Service Program Certification Form & Application for Exception RFSQ - APPENDIX C Page9
AUTHORIZATION OF MASTER AGREEMENT FOR PSYCHOLOGICAL AND PSYCHIATRIC SERVICES
IN WITNESS WHEREOF, the County of Los Angeles, by order of its Board of Supervisors, has caused this Master Agreement to be executed by the Sheriff of the Los Angeles County Sheriff's Department, and approved by County Counsel and Contractor, to be executed on its behalf by its duly authorized officer, effective as of the date approved by such Board.
COUNTY OF LOS ANGELES
By___________________________
LEROY D. BACA SHERIFF
By_____________________________
Contractor
Print Name: __________________________
Title: _______________________________
Date: _______________________________
APPROVED AS TO FORM:
RAYMOND G. FORTNER COUNTY COUNSEL
By___________________________
Gary P. Gross
Principal Deputy County Counsel
TRANSMITTAL FORM TO REQUEST A RFSQ SOLICITATION REQUIREMENTS REVIEW
A Solicitation Requirements Review must be received by the County within 10 business days of issuance of the solicitation document
Vendor Name:
Date of Request:
Project Title:
Project No.
A Solicitation Requirements Review is being requested because the Vendor asserts that they are being unfairly disadvantage for the following reason(s): (check all that apply)
Application of Minimum Requirements
Application of Business Requirements
Due to unclear instructions, the process may result in the County not receiving the best possible responses
I understand that this request must be received by the County within 10 business days of issuance of the solicitation document.
For each area contested, Vendor must explain in detail the factual reasons for the requested review. (Attach additional pages and supporting documentation as necessary.)
Request submitted by:
______________________________________________ ________________________________
(Name) (Title)
For County use only
Date Transmittal Received by County:_____________ Date Solicitation Released:_________________
Reviewed by:
Results of Review - Comments:
Date Response sent to Vendor:____________________
COUNTY OF LOS ANGELES POLICY ON DOING BUSINESS WITH SMALL BUSINESS
Forty-two percent of businesses in Los Angeles County have five or fewer employees. Only about four percent of businesses in the area exceed 100 employees. According to the Los Angeles Times and local economists, it is not large corporations, but these small companies that are generating new jobs and helping move Los Angeles County out of its worst recession in decades.
WE RECOGNIZE. . . .
The importance of small business to the County. . .
* in fueling local economic growth
* creating new local tax revenues
* providing new jobs
* offering new entrepreneurial opportunity to those historically under-represented in business
The County can play a positive role in helping small business grow. . .
* as a multi-billion dollar purchaser of goods and services
* by greater outreach in providing information and training
* as a broker of intergovernmental cooperation among numerous local jurisdictions
* by simplifying the bid/proposal process
* by streamlining the payment process
* by maintaining selection criteria which are fair to all
WE THEREFORE SHALL:
1. Constantly seek to streamline and simplify our processes for selecting our vendors and for conducting business with them.
2. Maintain a strong outreach program, fully-coordinated among our departments and districts, as well as other participating governments to: a) inform and assist the local business community in competing to provide goods and services; b) provide for ongoing dialogue with and involvement by the business community in implementing this policy.
3. Continually review and revise how we package and advertise solicitations, evaluate and select prospective vendors, address subcontracting and conduct business with our vendors, in order to: a) expand opportunity for small business to compete for our business; and b) to further opportunities for all businesses to compete regardless of size.
4. Insure that staff who manage and carry out the business of purchasing goods and services are well trained, capable and highly motivated to carry out the letter and spirit of this policy.
APPENDIX F
LISTING OF CONTRACTORS DEBARRED IN LOS ANGELES COUNTY
Vendor Name: Advance Building Maintenance
Alias:
Debarment Start Date: June 14, 2005 Debarment End Date: June 13, 2008
Principal Owners and/or Affiliates:
Michael Sullivan
Erlinda Sullivan
Vendor Name:
LA Internet Corporation
Alias:
2X Access 2X, Inc. a.k.a. LA Internet, Inc., Internet Business International (Referred to collectively as “LA Internet”)
Debarment Start Date: September 9, 2003 Debarment End Date: September 8, 2006
Principal Owners and/or Affiliates:
Albert Reda Ken Reda
Louis Cherry
Vendor Name:
MTS Advance Corp.
Alias:
Debarment Start Date: February 8, 2005 Debarment End Date: February 7, 2008
Principal Owners and/or Affiliates:
Emir Khan
Zulaine Hernandez
A Solicitation Requirements Review must be received by the County within 10 business days of issuance of the solicitation document
Vendor Name:
Date of Request:
Project Title:
Project No.
A Solicitation Requirements Review is being requested because the Vendor asserts that they are being unfairly disadvantage for the following reason(s): (check all that apply)
Application of Minimum Requirements
Application of Business Requirements
Due to unclear instructions, the process may result in the County not receiving the best possible responses
I understand that this request must be received by the County within 10 business days of issuance of the solicitation document.
For each area contested, Vendor must explain in detail the factual reasons for the requested review. (Attach additional pages and supporting documentation as necessary.)
Request submitted by:
______________________________________________ ________________________________
(Name) (Title)
For County use only
Date Transmittal Received by County:_____________ Date Solicitation
Released:_________________
Reviewed by:
Results of Review - Comments:
Date Response sent to Vendor:______________
COUNTY OF LOS ANGELES POLICY ON DOING BUSINESS WITH SMALL BUSINESS
Forty-two percent of businesses in Los Angeles County have five or fewer employees. Only about four percent of businesses in the area exceed 100 employees. According to the Los Angeles Times and local economists, it is not large corporations, but these small companies that are generating new jobs and helping move Los Angeles County out of its worst recession in decades.
WE RECOGNIZE. . . .
The importance of small business to the County. . .
* in fueling local economic growth
* creating new local tax revenues
* providing new jobs
* offering new entrepreneurial opportunity to those historically under-represented in business
The County can play a positive role in helping small business grow. . .
* as a multi-billion dollar purchaser of goods and services
* by greater outreach in providing information and training
* as a broker of intergovernmental cooperation among numerous local jurisdictions
* by simplifying the bid/proposal process
* by streamlining the payment process
* by maintaining selection criteria which are fair to all
WE THEREFORE SHALL:
1. Constantly seek to streamline and simplify our processes for selecting our vendors and for conducting business with them.
2. Maintain a strong outreach program, fully-coordinated among our departments and districts, as well as other participating governments to: a) inform and assist the local business community in competing to provide goods and services; b) provide for ongoing dialogue with and involvement by the business community in implementing this policy.
3. Continually review and revise how we package and advertise solicitations, evaluate and select prospective vendors, address subcontracting and conduct business with our vendors, in order to: a) expand opportunity for small business to compete for our business; and b) to further opportunities for all businesses to compete regardless of size.
4. Insure that staff who manage and carry out the business of purchasing goods and services are well trained, capable and highly motivated to carry out the letter and spirit of this policy.
LISTING OF CONTRACTORS DEBARRED IN LOS ANGELES COUNTY
Vendor Name: Advance Building Maintenance
Alias:
Debarment Start Date: June 14, 2005 Debarment End Date: June 13, 2008
Principal Owners and/or Affiliates:
Michael Sullivan Erlinda Sullivan
Vendor Name:
LA Internet Corporation
Alias:
2X Access
2X, Inc. a.k.a. LA Internet, Inc., Internet Business International (Referred to collectively as “LA Internet”)
Debarment Start Date: September 9, 2003 Debarment End Date: September 8, 2006
Principal Owners and/or Affiliates:
Albert Reda Ken Reda Louis Cherry
Vendor Name:
MTS Advance Corp.
Alias:
Debarment Start Date: February 8, 2005 Debarment End Date: February 7, 2008
Principal Owners and/or Affiliates:
Emir Khan Zulaine Hernandez
EXHIBIT A
MASTER AGREEMENT
ADDITIONAL TERMS AND CONDITIONS
FOR
PSYCHOLOGICAL AND PSYCHIATRIC SERVICES
TABLE OF CONTENTS
Page
TABLE OF CONTENTS
(continued)
Page
TABLE OF CONTENTS
(continued)
EXHIBIT A
ADDITIONAL TERMS AND CONDITIONS
The following additional terms and conditions are applicable to, and form a part of, the Agreement. Capitalized terms not otherwise defined in this Exhibit A (Additional Terms and Conditions (as used in this Exhibit A (Additional Terms and Conditions), this "Exhibit") have the meanings given to such terms in the base document of the Agreement.
1.0 DISPUTE RESOLUTION PROCEDURE
1.1 General
Contractor and County agree to act immediately to resolve mutually any disputes that may arise with respect to the Agreement. All such disputes shall be subject to the provisions of this Paragraph 1.0 (Dispute Resolution Procedure) (such provisions are collectively referred to as the "Dispute Resolution Procedures"). Time is of the essence in the resolution of disputes.
1.2 Continued Work
Contractor and County agree that, the existence and details of a dispute notwithstanding, both parties shall continue without delay their performance hereunder, except for any performance, other than payment by County for approved Work, that the parties mutually determine should be delayed as a result of such dispute.
1.2.1 If Contractor fails to continue without delay its performance hereunder that County, in its discretion, determines should not be delayed as a result of such dispute, then any additional costs which may be incurred by Contractor or County as a result of Contractor's failure to continue to so perform shall be borne by Contractor, and Contractor shall make no claim whatsoever against County for such costs. Contractor shall promptly reimburse County for such County costs, as determined by the County, or County may deduct or offset all such additional costs from any amounts due to Contractor from County.
1.2.2 If County fails to continue without delay to perform its responsibilities under the Agreement which County, in its discretion, determines should not be delayed as a result of such dispute, then any additional costs incurred by Contractor or County as a result of County's failure to continue to so perform shall be borne by County, and County shall make no claim whatsoever against Contractor for such costs. County shall
promptly reimburse Contractor for all such additional Contractor costs subject to the approval of such costs by County.
1.3 Dispute Resolution Procedures
In the event of any dispute between the parties with respect to the Agreement, Contractor and County shall submit the matter as follows:
1.3.1 Contractor and County shall first submit the matter to their respective Project Managers for the purpose of endeavoring to resolve such dispute.
1.3.2 If the Project Managers are unable to resolve the dispute within a reasonable time, not to exceed five (5) Business Days from the date of submission of the dispute, then the matter immediately shall be submitted to the parties' respective Directors for further consideration and discussion to attempt to resolve the dispute.
1.3.3 If the Directors are unable to resolve the dispute within a reasonable time not to exceed five (5) Business Days from the date of submission of the dispute, then the matter shall be immediately submitted to Contractor's president or chief operating officer and the Sheriff of the County of Los Angeles. These persons shall have five (5) Business Days to attempt to resolve the dispute.
1.3.4 In the event that at these levels, there is not a resolution of the dispute acceptable to both parties, then each party may assert its other rights and remedies provided under the Agreement and its rights and remedies as provided by law.
1.4 Documentation of Dispute Resolution Procedures
All disputes utilizing the Dispute Resolution Procedure shall be documented in writing by each party and shall state the specifics of each alleged dispute and all actions taken. The parties shall act in good faith to resolve all disputes. At all three (3) levels described in Subparagraph 1.3 (Dispute Resolution Procedure), the efforts to resolve a dispute shall be undertaken by conference between the parties' respective representatives, either orally, by face-to-face meeting or by telephone, or in writing by exchange of correspondence.
1.5 Not Applicable to County's Right to Terminate
Notwithstanding any other provision of the Agreement, County's right to terminate the Agreement pursuant to Paragraph 3.0 (Termination for Insolvency), Paragraph 4.0 (Termination for Default), Paragraph 5.0 (Termination for Convenience), or Paragraph 6.0 (Termination for Improper Consideration), in
each case, of this Exhibit, or any other termination provision hereunder, shall not be subject to the Dispute Resolution Procedure. The preceding sentence is intended only as a clarification of County's rights, and shall not be deemed to impair any claims that Contractor may have against County or Contractor's rights to assert such claims after any such termination or such injunctive relief has been obtained.
2.0 CONFIDENTIALITY
2.1 General
Contractor shall maintain the confidentiality of all records and information, events or circumstances which occur during the course of Contractor's performance under the Agreement, in accordance with all applicable Federal, State, and local laws, regulations, ordinances, guidelines, and directives relating to confidentiality. Contractor shall inform all of its directors, officers, shareholders, employees, and agents providing services hereunder of the confidentiality provisions of the Agreement. Contractor shall provide to County an executed Contractor's Employee Acknowledgment and Confidentiality Agreement (Exhibit E to the Agreement) for each of its employees performing Work under the Agreement. Notwithstanding anything herein to the contrary, Contractor acknowledges and agrees that it is responsible for any breach of the obligations of confidentiality set forth herein by any person or entity to whom Contractor discloses such confidential information.
2.2 Disclosure of Information
2.2.1 With respect to any confidential information obtained by Contractor pursuant to the Agreement, Contractor shall: (a) not use any such records or information for any purpose whatsoever other than carrying out the express terms of the Agreement; (b) promptly transmit to County all requests for disclosure of any such records or information; (c) not disclose, except as otherwise specifically permitted by the Agreement, any such records or information to any person or organization other than County without County's prior written authorization that the records are, or information is, releasable; and (d) at the expiration or termination of the Agreement, return all such records and information to County or maintain such records and information according to the written procedures sent to Contractor by County for this purpose.
2.2.2 Without limiting the generality of Subparagraph 2.2.1 of this Exhibit, in the event Contractor receives any court or administrative agency order, service of process, or request by any person or entity (other than Contractor's professionals) for disclosure of any such details, Contractor shall immediately notify the County Project Director. Thereafter, Contractor shall comply with such order, process, or request only to the
extent required by applicable law. Notwithstanding the preceding sentence, to the extent permitted by law, Contractor shall delay such compliance and cooperate with County to obtain relief from such obligations to disclose until County shall have been given a reasonable opportunity to obtain such relief.
2.3 Contractor Information
Any and all confidential or proprietary information which is developed or was originally acquired by Contractor outside the scope of this Agreement, which Contractor desires to use hereunder, and which Contractor considers to be proprietary or confidential, must be specifically identified by Contractor to the County Project Director as proprietary or confidential, and shall be plainly and prominently marked by Contractor as "proprietary" or "confidential." County shall undertake reasonably to maintain the confidentiality of materials marked by Contractor as "proprietary" or "confidential." Notwithstanding any other provision of this Agreement, County shall not be obligated in any way under this Agreement for:
2.3.1 Any of Contractor's proprietary and/or confidential materials not plainly and prominently marked with restrictive legends;
2.3.2 Any disclosure of any materials which County is required to make under the California Public Records Act or otherwise by law; and
2.3.3 Any materials indicating the volume, frequency and type of goods and services provided by Contractor, including, but not limited to use under Paragraph 24.0 (Re-solicitation of Bids, Proposals, or Information).
2.4 Use of County Name
In recognizing Contractor's need to identify its services and related clients to sustain itself, County shall not inhibit Contractor from publishing its role under the Agreement within the following conditions:
2.4.1 Contractor shall develop all publicity material in a professional manner.
2.4.2 During the Term, Contractor shall not publish or disseminate any commercial advertisements, press releases, feature articles, or other materials using the name of County without the prior written consent of the County Project Director, which shall not be unreasonably withheld or delayed.
2.4.3 Contractor may, without the prior written consent of County, indicate in its proposals and sales materials that it has been awarded the Agreement with County, provided that the requirements of this
Subparagraph 2.4 (Use of County Name) (other than the requirements set forth in Subparagraph 2.4.2) shall apply.
2.4.4 Notwithstanding anything herein to the contrary, County reserves the right to object to any use of County's name and Contractor shall cure promptly and prospectively any use of County's name that has been objected to by County.
2.5 Injunctive Relief
Contractor acknowledges that a breach by Contractor of this Paragraph 2.0 (Confidentiality) may result in irreparable injury to County that may not be adequately compensated by monetary damages and that, in addition to County's other rights under the Agreement and at law and in equity, County shall have the right to injunctive relief to enforce the provisions of this Paragraph 2.0 (Confidentiality).
3.0 TERMINATION FOR INSOLVENCY
3.1 County may terminate the Agreement immediately at any time following the occurrence of any of the following:
3.1.1 Contractor has ceased to pay or has admitted in writing its inability to pay its debts for at least sixty (60) days in the ordinary course of business or cannot pay its debts as they become due, whether or not a petition has been filed under the United States Bankruptcy Code and whether or not Contractor is insolvent within the meaning of the United States Bankruptcy Code, provided that Contractor shall not be deemed insolvent if it has ceased in the normal course of business to pay debts that Contractor disputes in good faith;
3.1.2 The filing of a voluntary or involuntary petition (which involuntary petition is not dismissed within sixty (60) days) regarding Contractor under the United States Bankruptcy Code;
3.1.3 The appointment of a receiver or trustee for Contractor; or
3.1.4 The execution by Contractor of a general assignment for the benefit of creditors other than in the course of arranging financial lines of credit.
3.2 The rights and remedies of County provided in this Paragraph 3.0 (Termination for Insolvency) shall not be exclusive and are in addition to any other rights and remedies provided at law or in equity, or under the Agreement.
3.3 Contractor agrees that if Contractor as a debtor-in-possession, or if a trustee in bankruptcy, rejects the Agreement, County may elect to retain its rights under the
Agreement, as provided under Section 365(n) of the United States Bankruptcy Code (11 U.S.C. Section 365(n)). Upon written request by County to Contractor or the trustee in bankruptcy, as applicable, Contractor or such trustee shall allow County to exercise all of its rights and benefits under the Agreement. The foregoing shall survive the termination or expiration of the Agreement for any reason whatsoever.
4.0 TERMINATION FOR DEFAULT
4.1 Event of Default
County may, upon notice to Contractor, terminate the whole or any part of the Agreement if Contractor fails to perform or provide any Work within the times specified in the Agreement, or Contractor breaches or fails to perform or comply with any of the other provisions of the Agreement, including the applicable notice and cure periods, if any (if no cure period is specified in the Agreement, Contractor shall have ten (10) days following notice from the County Project Director specifying such breach or failure to cure prior to termination under this Paragraph 4.0 (Termination for Default), or such longer period as the County Project Director may authorize, in writing, but in no event shall the period, as extended by the County Project Director, exceed thirty (30) days), provided that nothing in this Subparagraph 4.1 shall in any way limit or modify any rights of County or obligations of Contractor relating to timely performance by Contractor as otherwise set forth in the Agreement.
4.2 Deemed Termination for Convenience
If, after County has given notice of termination under the provisions of this Paragraph 4.0 (Termination for Default), it is determined by County or otherwise that Contractor was not in default under the provisions of this Paragraph 4.0 (Termination for Default), or that the default was excusable or curable under the provisions of this Paragraph 4.0 (Termination for Default), the rights and obligations of the parties shall be the same as if the notice of termination had been issued pursuant to Paragraph 5.0 (Termination for Convenience) of this Exhibit except that no additional notice shall be required to effect such termination.
4.3 Completion of Work
Without limiting any of County's rights and remedies pursuant to the Agreement, upon the occurrence of any event giving rise to County's rights to terminate the Agreement, in whole or in part, pursuant to this Paragraph 4.0 (Termination for Default), County may, in lieu of such termination, (a) perform, or cause the performance of, any required correction, remedy and deficiency, replace any non-complying Work, or take any other such action as may be reasonably required to promptly remedy such default, and (b) debit Contractor therefore at
County's direct actual cost of outside labor and materials and County's burdened (including salary, employee benefits and reimbursement policies) rates for labor. Such debit shall be made against any amounts owed by County to Contractor under the Agreement. In the event County elects to proceed under this Subparagraph 4.3 (Completion of Work), any Work created, modified, or repaired by or at the direction of County shall be deemed Work under the Agreement.
5.0 TERMINATION FOR CONVENIENCE
5.1 Termination for Convenience.
The Agreement may be terminated, in whole or in part from time to time, by County in its sole discretion for any reason. Termination of Work hereunder shall be effected by delivery to Contractor of a notice of termination specifying the extent to which performance of Work is terminated and the date upon which such termination becomes effective. The date upon which such termination becomes effective shall be no less than thirty (30) days after notice.
5.2 No Prejudice; Sole Remedy
Nothing in this Paragraph 5.0 (Termination for Convenience) is deemed to prejudice any right of Contractor to make a claim against the County in accordance with this Agreement and applicable law and County procedures for payment for Work through the effective date of termination. Contractor, however, acknowledges that the rights and remedies set forth in this Subparagraph 5.2 shall be the only remedy available to Contractor in the event of a termination or suspension pursuant to this Paragraph 5.0 (Termination for Convenience) by County.
6.0 TERMINATION FOR IMPROPER CONSIDERATION
6.1 County may, upon notice to Contractor, immediately terminate the right of Contractor to proceed under the Agreement if it is found that consideration, in any form, was offered or given by Contractor, either directly or through an intermediary, to any County officer, employee or agent with the intent of securing the Agreement or securing favorable treatment with respect to the award, amendment or extension of the Agreement or the making of any determinations with respect to Contractor's performance pursuant to the Agreement. In the event of such termination, County shall be entitled to pursue the same remedies against Contractor as it could pursue in the event of default by Contractor.
6.2 Contractor shall immediately report any attempt by a County officer or employee to solicit such improper consideration. The report shall be made either to the County manager charged with the supervision of the employee or to County Auditor-Controller's employee fraud hotline at (800) 544-6861.
6.3 Among other items, such improper consideration may take the form of cash, discounts, service, the provision of travel or entertainment, or tangible gifts.
7.0 TERMINATION FOR GRATUITIES
County may, by notice to Contractor, terminate the right of Contractor to proceed under the Agreement upon one (1) calendar day's notice, if it is found that gratuities in the form of entertainment, gifts, or otherwise were offered or given by Contractor, or any agent or representative of Contractor, to any officer, employee, or agent of County with a view toward securing a contract or securing favorable treatment with respect to the awarding or amending, or the making of any determinations with respect to the performing, of such contract. In the event of such termination, County shall be entitled to pursue the same remedies against Contractor as it could pursue in the event of default by Contractor.
8.0 EFFECT OF TERMINATION
8.1 Remedies
In the event that County terminates the Agreement in whole or in part as provided in Paragraph 3.0 (Termination for Insolvency), Paragraph 4.0 (Termination for Default), Paragraph 5.0 (Termination for Convenience), Paragraph 6.0 (Termination for Improper Consideration), or Paragraph 7.0 (Termination for Gratuities), in each case, of this Exhibit, then:
8.1.1 Contractor shall (a) stop performing Work under the Agreement on the date and to the extent specified in such notice, (b) promptly transfer and deliver to County copies of all completed Work and Work that is in process, in a media reasonably requested by County, (c) promptly transfer and deliver all items previously paid for by County, and (d) complete performance of such part of the Work as shall not have been terminated by such notice;
8.1.2 Unless County has terminated the Agreement pursuant to Paragraph 5.0 (Termination for Convenience) of this Exhibit, County shall have the right to procure, upon such terms and in such a manner as County may determine appropriate, goods, services, and other Work, similar and competitive to those so terminated, and Contractor shall be liable to County for, and shall promptly pay to County by cash payment, any and all excess costs reasonably incurred by County, as determined by County, to procure and furnish such similar goods, services, and other Work;
8.1.3 Contractor shall promptly return to County any and all of County's confidential information that relates to that portion of the Agreement or Work terminated by County; and
8.1.4 Contractor and County shall continue the performance of the Agreement to the extent not otherwise terminated.
8.2 Transition Services
Contractor agrees that in the event of any termination of the Agreement, as a result of the breach hereof by either party, or for any other reason, including expiration, Contractor shall fully cooperate with County in the transition by County to a new Contractor, toward the end that there be no interruption of the Department's day to day operations due to the unavailability of the Work during such transition. Contractor agrees that if County terminates the Agreement pursuant to Paragraph 5.0 (Termination for Convenience) of this Exhibit or Subparagraph 4.2 (Deemed Termination for Convenience) of this Exhibit, Contractor shall perform transition services, and shall invoice County for such transition services determined in accordance with the rates specified in Paragraph 8, Prices and Fees, Subparagraph 8.2, hourly rates, of the Master Agreement, in accordance with a transition plan to be agreed upon, in advance, by the County Project Director and the Contractor Project Manager. Contractor further agrees that in the event that County terminates the Agreement for any other breach by Contractor, Contractor shall perform transition services at its own expense. In connection with the provision of any transition services pursuant to this Subparagraph 8.2 (Transition Services), Contractor shall provide to the County Project Director, on request by the County Project Director, documentation that reasonably details the source and amount of the expenses Contractor purports to have incurred in the provision of such transition services.
8.3 Remedies Not Exclusive
The rights and remedies of County set forth in this Paragraph 8.0 (Effect of Termination) are not exclusive of any other rights and remedies available to County at law or in equity, or under the Agreement.
9.0 WARRANTY AGAINST CONTINGENT FEES
9.1 Contractor warrants that no person or selling agency has been employed or retained to solicit or secure the Agreement upon any agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or selling agencies maintained by Contractor for the purpose of securing business.
9.2 For breach of this warranty, County shall have the right to terminate the Agreement and, in its discretion, deduct from the Agreement price or consideration, or otherwise recover, the full amount of such commission, percentage, brokerage, or contingent fee.
10.0 AUTHORIZATION WARRANTY
Contractor and the person executing the Agreement on behalf of Contractor hereby represent and warrant that the person executing the Agreement for Contractor is an authorized agent who has actual authority to bind Contractor to each and every term, condition, and obligation of the Agreement and that all requirements of Contractor have been fulfilled to provide such actual authority.
11.0 FURTHER WARRANTIES
Contractor represents, warrants and further covenants and agrees to the following:
11.1 Contractor bears the full risk of loss due to total or partial destruction of all or any part any goods acquired from Contractor, as applicable, until acceptance by the County.
11.2 At the time of delivery to and acceptance by County, all goods shall be new, in good working order, in conformity with manufacturer's published specifications and descriptions, and free from defects in workmanship and materials, as determined by County.
11.3 Contractor shall, in the performance of all Work, strictly comply with the descriptions and representations (including performance capabilities, accuracy, completeness, characteristics, specifications, configurations, standards, functions, and requirements) as set forth in this Agreement, including the Statement of Work.
11.4 All Work shall be performed in a timely and professional manner by qualified personnel.
11.5 Contractor and each of its personnel performing Work hereunder have all permits, licenses, and certifications necessary to perform Contractor's obligations under the Agreement.
12.0 INDEMNIFICATION AND INSURANCE
12.1 Indemnification
Contractor shall indemnify, defend, and hold harmless County, its districts administered by County, and their elected and appointed officers, employees, and agents (the "County Indemnitees") from and against any and all liability (alleged or actual), including damages, losses, fees, costs, and expenses (including defense costs and legal, accounting and other expert witness, consulting, attorney and other professional fees) in any way arising from, connected with, or related to Contractor's, Contractor's agents', employees', officers', directors', or shareholders' acts, errors or omissions. Any legal defense pursuant to Contractor's indemnification obligations under this Paragraph 12.0 (Indemnification and Insurance) shall be conducted by Contractor and performed by counsel selected by Contractor and approved by County in writing, which approval shall not be unreasonably withheld or delayed. Contractor shall not, however, without County's prior written approval, accept any settlement, or enter a plea of guilty or nolo contender, to any charge or claim that results in other than a monetary judgment against County Indemnitees, which monetary judgment shall not exceed Contractor's ability to pay and which shall be paid by Contractor.
12.2 General Insurance Requirements
Without limiting Contractor's obligations of indemnification and defense of County Indemnitees, Contractor shall provide and maintain at its own expense during the Term the following programs of insurance covering its operations under the Agreement, as specified in this Subparagraph 12.2 (General Insurance Requirements). Such insurance shall be primary to and not contributing with any other insurance or self-insurance programs maintained by County.
12.2.1 Evidence of Insurance
Certificates or other evidence of coverage satisfactory to the County's Risk Manager, and evidence of such programs satisfactory to County, shall be delivered to:
Karen Anderson, Assistant Manager Los Angeles County Sheriff's Department Contracts Unit – Administrative Services Division 4700 Ramona Boulevard Monterey Park, CA 91754
on or before the execution of the Agreement by the Board. Such certificates or other evidence shall at a minimum:
(i) Specifically identify the Agreement;
(ii) Clearly evidence all coverages required in the Agreement;
(iii) Contain express conditions that County is to be given notice by registered mail at least thirty (30) days prior to any termination of any program of insurance, and, with respect to any modification of any program of insurance, at least thirty (30) days in advance or immediately following Contractor's first receipt of notice of modification in the event Contractor receives less than thirty (30) days advance notice of such modification;
(iv) Include copies of the additional insured endorsement to the commercial general liability policy, naming all County Indemnitees as insureds for all activities arising from the Agreement; and
(v) Identify any deductibles or self-insured retentions for County's approval. County retains the right to require Contractor to reduce or eliminate such deductibles or self-insured retentions as they apply to County Indemnitees, or, require Contractor to provide a bond guaranteeing payment of all such retained losses and related costs, including expenses or fees, or both, related to investigations, claims administrations, and legal defense. Such bond shall be executed by a corporate surety licensed to transact business in the state of California.
12.2.2 Insurer Financial Ratings
Insurance is to be provided by an insurance company acceptable to County with an A.M. Best rating of not less than A:VII, unless otherwise approved by County's Risk Manager.
12.2.3 Insurance Programs
At a minimum, Contractor shall maintain during the Term programs of insurance which consists of:
(i) General liability insurance (written on ISO policy form CG 00 01 or its equivalent) with limits of not less than the following:
$1,000,000
(ii) Malpractice liability insurance covering any liability arising from any error, omission, negligent or wrongful act of the Contractor, its officers, agents, or employees with limits of not less than $1,000,000 per occurrence and $2,000,000 aggregate.
Such coverage shall be maintained for a period of not less than two (2) years, or the policy shall be endorsed to provide an extended reporting period of not less than two (2) years, following the expiration or termination of the Agreement.
(iii) Comprehensive auto liability insurance (written on an ISO policy form CA 00 01 or its equivalent) endorsed for owned, non-owned, and hired vehicles, or coverage for "any auto" with a limit of not less
than one million dollars ($1,000,000) per accident. Contractor may use his/her own personal auto coverage to satisfy the requirement, with a personal umbrella policy to reach the required $1,000,000 per accident.
(iv) Workers' compensation insurance in an amount and form required by the California Labor Code (or the labor code of any other applicable state), covering all persons for which Contractor is responsible and all risks to such persons under the Agreement. Such insurance shall include employer's liability coverage covering accident and disease. In respect of accident, the limit shall be no less than one million dollars ($1,000,000) per accident, and, in respect of disease, the policy limit shall be no less than one million dollars ($1,000,000) and one million dollars ($1,000,000 for each employee. If Contractor does not have employees, a written statement will be acceptable acknowledging that Contractor does not have employees and therefore, Worker's Compensation Insurance does not apply.
12.2.4 Notification of Incidents, Claims or Suits
Contractor shall report to County:
(i) Any accident or incident relating to services performed under the Agreement which involves injury or property damage which may result in the filing of a claim or lawsuit against Contractor or County. Such report shall be made in writing within twenty-four (24) hours of occurrence.
(ii) Any third party claim or lawsuit filed against Contractor arising from or related to services performed by Contractor under the Agreement. Such report shall be made in writing within twenty-four (24) hours of the earlier of service of process of such claim or lawsuit, or Contractor otherwise has knowledge of such claim or lawsuit.
(iii) Any injury to a Contractor staff member which occurs on County property. This report shall be submitted on a County "Nonemployee Injury Report" to the County Project Director. Such report shall be made in writing within twenty-four (24) hours of occurrence.
(v) Any loss, disappearance, destruction, misuse, or theft of any kind whatsoever of County property, monies or securities entrusted to Contractor under the terms of the Agreement. Such report shall be made in writing within twenty-four (24) hours of occurrence.
12.3 Failure to Procure and Maintain Insurance
Failure on the part of Contractor to procure and maintain all the required insurance shall constitute a material breach of the Agreement upon which County may terminate the Agreement pursuant to Paragraph 4.0 (Termination for Default) of this Exhibit and seek all remedies pursuant to Paragraph 8.0 (Effect of Termination) of this Exhibit, or alternatively, may purchase such required insurance coverage and debit Contractor pursuant to Subparagraph 4.3 (Completion of Work) of this Exhibit.
13.0 INTELLECTUAL PROPERTY INDEMNIFICATION
Contractor shall indemnify, defend, and hold harmless County Indemnitees pursuant to Subparagraph 12.1 (Indemnification) of this Exhibit, from and against any and all liability (alleged or actual), including damages, losses, costs, fees and other expenses (including defense costs and legal, accounting and other expert, consulting, attorney, or other professional fees), for or by reason of any actual or alleged infringement of any patent, copyright, trademark, or other proprietary rights of any third party, or any actual or alleged trade secret disclosure of misappropriation, arising from or related to the operation of the Work under the Agreement (collectively referred to as "Infringement Claims").
14.0 BUDGET REDUCTIONS
In the event that the Board adopts, in any fiscal year, a County budget which provides for reductions in the salaries and benefits paid to the majority of County employees and imposes similar reductions with respect to County contracts, the County reserves the right to reduce its payment obligation correspondingly for that fiscal year and any subsequent fiscal year during the term of this Agreement (including any extensions), and the services to be provided by Contractor under this Agreement shall also be reduced correspondingly. The County's notice to the Contractor regarding said reduction in payment obligation shall be provided within thirty (30) calendar days of the Board's approval of such actions. Except as set forth in the preceding sentences, the Contractor shall continue to perform all of its obligations set forth in this Agreement.
15.0 FORCE MAJEURE
Contractor shall not be liable for any such excess costs, if its failure to perform the Agreement arises out of fires, floods, epidemics, quarantine restrictions, other natural occurrences, strikes, lockouts (other than a lockout by Contractor), freight embargoes, or other similar acts to those described above, but in every such case the failure to perform must be totally beyond the control and without any fault or negligence of Contractor. Contractor agrees to use commercially reasonable best efforts to obtain such goods or services from other sources, and to mitigate the damages and reduce the delay caused by any of the above mentioned force majeure events. As used in this Paragraph 15.0 (Force Majeure).
16.0 CONTRACTOR'S RESPONSIBILITY AND DEBARMENT
16.1 A responsible Contractor is a Contractor who has demonstrated the attribute of trustworthiness, as well as quality, fitness, capacity and experience to satisfactorily perform the Agreement. It is the County's policy to conduct business only with responsible Contractors.
16.2 The Contractor is hereby notified that, in accordance with Chapter 2.202 of the Los Angeles County Code, if the County acquires information concerning the performance of the Contractor on this or other contracts which indicates that the Contractor is not responsible, County may, in addition to other remedies provided in the Agreement, debar the Contractor from bidding or proposing on, or being awarded, and/or performing work on County contracts for a specified period of time, which will not exceed five (5) years, but may exceed five (5) years or be permanent if warranted by the circumstances, and terminate any or all existing contracts Contractor may have with the County.
16.3 The County may debar a Contractor if the Board of Supervisors finds, in its discretion, that Contractor has done any of the following: (1) violated a term of a Contract, including this Agreement, with County or a nonprofit corporation created by County, (2) committed an act or omission which negatively reflects on the Contractor's quality, fitness or capacity to perform a contract with County, any other public entity, or a nonprofit corporation created by County, or engaged in a pattern or practice which negatively reflects on same, (3) committed an act or offense which indicated a lack of business integrity or business honesty, or (4) made or submitted a false claim against County or any other public entity.
16.4 If there is evidence that the Contractor may be subject to debarment, the Sheriff's Department will notify Contractor in writing of the evidence which is the basis for the proposed debarment and will advise Contractor of the scheduled date for a debarment hearing before the Contractor Hearing Board.
16.5 The Contractor Hearing Board will conduct a hearing where evidence on the proposed debarment is presented. The Contractor and/or Contractor's representative shall be given an opportunity to submit evidence at that hearing. After the hearing, the Contractor Hearing Board shall prepare a tentative proposed decision, which shall contain a recommendation regarding whether Contractor should be debarred, and, if so, the appropriate length of time of the debarment. Contractor and the Sheriff's Department shall be provided an opportunity to object to the tentative proposed decision prior to its presentation to the Board of Supervisors.
16.6 After consideration of any objections, or if no objections are submitted, a record of the hearing, the proposed decision and any other recommendation of the Contractor Hearing Board shall be presented to the Board of Supervisors. The
Board of Supervisors shall have the right to modify, deny or adopt the proposed decision and recommendation of the Contractor Hearing Board.
16.7 If a Contractor has been debarred for a period longer than five (5) years, that Contractor may, after the debarment has been in effect for at least five (5) years, submit a written request for review of the debarment determination to reduce the period of debarment or terminate the debarment. The County may, in its discretion, reduce the period of debarment or terminate the debarment if it finds that the Contractor has adequately demonstrated one or more of the following: (1) elimination of the grounds for which the debarment was imposed; (2) a bona fide change in ownership or management; (3) material evidence discovered after debarment was imposed; or (4) any other reason that is in the best interests of the County.
16.8 The Contractor Hearing Board will consider a request for review of a debarment determination only where (1) the Contractor has been debarred for a period longer than five (5) years; (2) the debarment has been in effect for at least five (5) years; and (3) the request is in writing, states one or more of the grounds for reduction of the debarment period or termination of the debarment, and includes supporting documentation. Upon receiving an appropriate request, the Contractor Hearing Board will provide notice of the hearing on the request. At the hearing, the Contractor Hearing Board shall conduct a hearing where evidence on the proposed reduction of debarment period or termination of debarment is presented. This hearing shall be conducted and the request for review decided by the Contractor Hearing Board pursuant to the same procedures as for a debarment hearing.
The Contractor Hearing Board's proposed decision shall contain a recommendation on the request to reduce the period of debarment or terminate the debarment. The Contractor Hearing Board shall present its proposed decision and recommendation to the Board of Supervisors. The Board of Supervisors shall have the right to modify, deny, or adopt the proposed decision and recommendation of the Contractor Hearing Board.
17.0 COMPLIANCE WITH APPLICABLE LAW
Contractor's activities hereunder shall comply with all applicable Federal, State, and local laws, rules, regulations, ordinances, guidelines, and directives, and all provisions required thereby to be included in the Agreement are hereby incorporated herein by reference. Unless provided otherwise under the Agreement, Contractor shall have up to fifteen (15) days to correct any noncompliance with County rules, regulations, ordinances, guidelines, and directives following notice from County including written copies of such applicable rules, regulations, ordinances, guidelines and directives.
18.0 FAIR LABOR STANDARDS
Contractor shall comply with all applicable provisions of the Federal Fair Labor Standards Act, and shall indemnify, defend, and hold harmless County, its officers, employees and agents from any and all liability, including damages, losses, wages, overtime pay, liquidated damages, penalties, court costs, fees and other expenses (including attorneys' fees) arising under any wage and hour law, including the Federal Fair Labor Standards Act for Work performed by Contractor's employees.
19.0 NON-DISCRIMINATION, AFFIRMATIVE ACTION, AND ASSURANCES
Contractor certifies and agrees that all persons employed by it, its affiliates, subsidiaries, or holding companies are and will be treated equally as required by applicable laws and regulations without regard to or because of race, color, religion, ancestry, national origin, sex, age, or physical or mental handicap, in compliance with all applicable Federal and State anti-discrimination laws and regulations.
19.1 Contractor shall certify to, and comply with, the provisions of Contractor's EEO certification.
19.2 Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to race, color, religion, ancestry, national origin, sex, age, or physical or mental handicap, in compliance with all applicable Federal and State anti-discrimination laws and regulations. Such action shall include: employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination, rates of pay or other forms of compensation, and selection for training, including apprenticeship.
19.3 Contractor certifies and agrees that it will deal with its bidders, or vendors as required by applicable laws and regulations without regard to or because of race, color, religion, ancestry, national origin, sex, age, or physical or mental handicap.
19.4 Contractor certifies and agrees that it, its affiliates, subsidiaries or holding companies, shall comply with all applicable Federal and State laws and regulations, including:
19.4.1 Title VII, Civil Rights Act of 1964;
19.4.2 Section 504, Rehabilitation Act of 1973;
19.4.3 Age Discrimination Act of 1975;
19.4.4 Title IX, Education Amendments of 1973, as applicable; and
19.4.5 Title 43, part 17, Code of Federal Regulations, subparts a & b;
And that no person shall, on the grounds of race, color, religion, ancestry, national origin, sex, age, or physical or mental handicap, be unlawfully excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under the Agreement, or under any project, program, or activity supported by the Agreement.
19.5 Contractor shall, with reasonable notice and during regular business hours, allow County representatives access to Contractor's employment records during regular business hours to verify compliance with the provisions of this Paragraph 19.0 (Non-discrimination, Affirmative Action, and Assurances) when so requested by County; provided that County's access to such employment records of Contractor shall be limited to access that does not constitute an unlawful invasion of the privacy rights of any such employee. If County finds that any of the provisions of this Paragraph 19.0 (Non-discrimination, Affirmative Action, and Assurances) have been violated, such violation shall, at the election of County, constitute a material breach of the Agreement upon which County may immediately terminate the Agreement. While County reserves the right to determine independently that the anti-discrimination provisions of the Agreement have been violated, in addition, a determination by the California Fair Employment Practices Commission or the Federal Equal Employment Opportunity Commission that Contractor has violated State or Federal antidiscrimination laws or regulations such determination shall constitute a finding by County that Contractor has violated the anti-discrimination provisions of the Agreement. All determinations of violations made pursuant to this Subparagraph 19.5 shall be appealable by Contractor in accordance with applicable laws and regulations, and separately pursuant to the Dispute Resolution Procedures.
19.6 The parties agree that if Contractor violates the anti-discrimination provisions of the Agreement, County shall, at its option, be entitled to the sum of five hundred dollars ($500) for each such violation pursuant to California Civil Code Section 1671 as liquidated damages in lieu of terminating the Agreement.
20.0 NON-DISCRIMINATION IN SERVICES
Contractor shall not discriminate in the provision of services hereunder because of race, color, religion, national origin, ancestry, sex, age, or physical or mental handicap, in accordance with all applicable requirements of Federal and State law. For the purpose of this Paragraph 20.0 (Non-discrimination in Services), discrimination in the provision of services may include the following: (a) denying any person any service or benefit or the availability of the facility, (b) providing any service or benefit to any person which is not equivalent or is not provided in an equivalent manner or at an equivalent time to that provided to others, (c) subjecting any person to segregation or separate treatment in any manner related to the receipt of any service, (d) restricting any person in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service or benefit, and (e) treating any person differently from others in determining admission,
enrollment quota, eligibility, membership, or any other requirements or conditions which persons must meet in order to be provided any service or benefit.
21.0 EMPLOYMENT ELIGIBILITY VERIFICATION
21.1 Contractor warrants that it fully complies with all Federal and State statutes and regulations regarding the employment of aliens and others and that all its employees performing Work under the Agreement meet the citizenship or alien status requirements set forth in Federal and State statutes and regulations. Contractor shall obtain, from all employees performing Work hereunder, all verification and other documentation of employment eligibility status required by Federal statutes and regulations as they currently exist and as they may be hereafter amended.
21.2 Contractor shall retain all such documentation for the period prescribed by law. Contractor shall indemnify, defend, and hold harmless County Indemnitees pursuant to Subparagraph 12.1 (Indemnification) of this Exhibit from and against any and all liability (alleged or actual), including damages, losses, fees, costs, and expenses (including defense costs and legal, accounting and other expert witness, consulting or professional fees) arising out of or in connection with any employer sanctions and any other liability which may be assessed against Contractor or County in connection with any alleged violation of any Federal or State statutes or regulations pertaining to the eligibility for employment of any persons performing Work hereunder.
22.0 HIRING OF EMPLOYEES
Contractor and County agree that, during the Term and for a period of one (1) year thereafter, except with the prior written consent of the other party, neither party shall in any way intentionally induce or solicit any Project Director, Project Manager or other employee, of one party to become an employee or agent of the other party. Notwithstanding the foregoing, County shall be entitled to make offers of employment to employees of Contractor necessary or desirable to perform Work described in the Agreement, in the event that: (a) County has the right to terminate the Agreement pursuant to Paragraph 3.0 (Termination for Insolvency) of this Exhibit, (b) the Agreement is terminated by County due to Contractor's default pursuant to Paragraph 4.0 (Termination for Default) of this Exhibit, (c) without resolution acceptable to both parties, Contractor and County have followed the Dispute Resolution Procedures, or (d) Contractor either announces the withdrawal of support of, or otherwise no longer provides services County deems essential to, the ongoing support of the Work as applicable.
23.0 CONFLICT OF INTEREST
23.1 No County employee whose position with County enables such employee to influence the award of the Agreement or any competing agreement, and no
spouse or economic dependent of such employee, shall be employed in any capacity by Contractor or have any other direct or indirect financial interest in the Agreement. No officer or employee of Contractor, who may financially benefit from the performance of Work hereunder, shall in any way participate in County's approval, or ongoing evaluation, of such Work, or in any way attempt to unlawfully influence County's approval or ongoing evaluation of such Work.
23.2 Contractor shall comply with all conflict of interest laws, ordinances and regulations now in effect or hereafter to be enacted during the Term. Contractor warrants that it is not now aware of any facts that do or could create a conflict of interest. If Contractor hereafter becomes aware of any facts that might reasonably be expected to create a conflict of interest, it shall immediately make full written disclosure of such facts to County. Full written disclosure shall include identification of all persons implicated and a complete description of all relevant circumstances.
24.0 RESOLICITATION OF BIDS, PROPOSALS, OR INFORMATION
24.1 Contractor acknowledges that, prior to the expiration or earlier termination of the Agreement, County, in its discretion, may exercise its right to invite bids, request information, or request proposals for the continued provision of the goods and services delivered or contemplated under the Agreement. County shall make the determination to re-solicit bids, request information, or request proposals in accordance with applicable County policies.
24.2 Contractor acknowledges that County, in its discretion, may enter into a contract for the future provision of goods and services, based upon the bids, information, or proposals received, with a provider or providers other than Contractor. Further, Contractor acknowledges that it obtains no greater right to be selected through any future invitation for bids, request for information, or request for proposals by virtue of its present status as Contractor.
25.0 RESTRICTIONS ON LOBBYING
Contractor and each County lobbyist or County lobbying firm as defined in Los Angeles County Code Section 2.160.010, retained by Contractor, shall fully comply with the County lobbyist ordinance, Los Angeles County Code Chapter 2.160. Failure on the part of Contractor or any County lobbyist or County lobbying firm retained by Contractor to fully comply with County lobbyist ordinance shall constitute a material breach of the Agreement upon which County may immediately terminate or suspend the Agreement.
26.0 CONSIDERATION OF GAIN PROGRAM PARTICIPANTS FOR EMPLOYMENT
Should Contractor require additional or replacement personnel after the Effective Date, Contractor shall give reasonable consideration for any such employment openings to participants in County's Department of Public Social Services' greater avenues for
independence (in this Paragraph, "GAIN") or general relief opportunity for work (in this Paragraph, "GROW") programs who meet Contractor's minimum qualifications for the open position. For this purpose, consideration shall mean that Contractor will interview qualified candidates. County will refer GAIN participants by job category to Contractor. In the event that both laid-off County employees and GAIN/GROW participants are available for hiring, County employees shall be given first opportunity.
27.0 STAFF PERFORMANCE WHILE UNDER THE INFLUENCE
Subject to all applicable laws and regulations, Contractor shall use reasonable efforts to ensure that no employee will perform services hereunder while under the influence of any alcoholic beverage, medication, narcotic, or other substance, which might reasonably, or have been observed to, impair such person's physical or mental performance.
28.0 CONTRACTOR PERFORMANCE DURING CIVIL UNREST
Contractor recognizes that County provides services essential to the residents of the communities it serves, and that these services are of particular importance at the time of a riot, insurrection, civil unrest, natural disaster or similar event. Notwithstanding any other provision of this Exhibit or the Agreement, full performance by Contractor during any riot, insurrection, civil unrest, natural disaster or similar event is not excused if such performance remains physically possible without related danger to Contractor's employees or suppliers. During any such event in which the health or safety of any of Contractor's staff members would be endangered by performing their services on-site, such staff members may perform any or all of their services remotely. Failure to comply with this requirement shall be considered a material breach of this Agreement by Contractor, for which County may immediately terminate this Agreement.
29.0 CONTRACTOR'S ACKNOWLEDGMENT OF COUNTY'S COMMITMENT TO CHILD SUPPORT ENFORCEMENT
Contractor acknowledges that County places a high priority on the enforcement of child support laws and the apprehension of child support evaders. Contractor understands that it is County's policy to encourage all County Contractors to voluntarily post County's "L A's Most Wanted: Delinquent Parents" poster in a prominent position at Contractor's place of business. County's Child Support Services Department (CSSD) will supply Contractor with the poster to be used.
The CSSD will maintain and periodically update the "L.A.'s Most Wanted: Delinquent Parents" list on the Internet. The list may be televised before and after Board of Supervisors meetings.
30.0 CONTRACTOR'S WARRANTY OF ADHERENCE TO COUNTY'S CHILD SUPPORT COMPLIANCE PROGRAM
30.1 Contractor acknowledges that County has established a goal of ensuring that all individuals who benefit financially from County through County contracts are in compliance with their court-ordered child, family, and spousal support obligations in order to mitigate the economic burden otherwise imposed upon County and its taxpayers.
30.2 As required by County's Child Support Compliance Program (Los Angeles County Code chapter 2.200) and without limiting Contractor's duty under the Agreement to comply with all applicable provisions of law, Contractor warrants that it is now in compliance and shall during the Term maintain compliance with employment and wage reporting requirements as required by the Federal Social Security Act (42 U.S.C. Section 653a) and California Unemployment Insurance Code Section 1088.55, and shall implement all lawfully served wage and earnings withholding orders or County's CSSD notices of wage and earnings assignment for child or spousal support, pursuant to California Code of Civil Procedure Section 706.031 and California Family Code Section 5246(b).
30.3 Failure of Contractor to maintain compliance with the requirements set forth in this Paragraph 30.0 (Contractor's Warranty of Adherence to County's Child Support Compliance Program) shall constitute a default under this Agreement. Without limiting the rights and remedies available to County under any other provision of this Agreement, failure of Contractor to cure such default within ninety (90) days of written notice shall be grounds upon which County may terminate this Agreement pursuant to Paragraph 4.0 (Termination for Default) and pursue debarment of Contractor, pursuant to County Code Chapter 2.202.
31.0 RECYCLED-CONTENT PAPER
Consistent with the Board's policy to reduce the amount of solid waste deposited at County landfills, Contractor agrees to use recycled-content paper to the maximum extent possible in Contractor's provision of Work pursuant to the Agreement.
32.0 COMPLIANCE WITH JURY SERVICE PROGRAM
32.1 Jury Service Program
This Agreement is subject to the provisions of County's ordinance entitled Contractor Employee Jury Service ("Jury Service Program") as codified in Sections 2.203.010 through 2.203.090 of the Los Angeles County Code.
32.2 Written Employee Jury Service Policy
32.2.1 Unless Contractor has demonstrated to County's satisfaction either that Contractor is not a "Contractor" as defined under the Jury Service Program (Section 2.203.020 of the Los Angeles County Code) or that Contractor qualifies for an exception to the Jury Service Program (Section 2.203.070 of the Los Angeles County Code), Contractor shall have and adhere to a written policy that provides that its employees shall receive from Contractor, on an annual basis, no less than five (5) days of regular pay for actual jury service. The policy may provide that employees deposit any fees received for such jury service with Contractor or that Contractor deduct from the employees' regular pay the fees received for jury service.
32.2.2 For purposes of this Paragraph 32.0 (Compliance with Jury Service
Program), "Contractor" means a person, partnership, corporation or other entity which has a contract with County or a subcontract with a County contractor and has received or will receive an aggregate sum of $50,000 or more in any 12-month period under one or more County contracts or subcontracts. "Employee" means any California resident who is a full time employee of Contractor. "Full time" means 40 hours or more worked per week, or a lesser number of hours if: (a) the lesser number is a recognized industry standard as determined by County, or (b) Contractor has a long-standing practice that defines the lesser number of hours as full-time. Full-time employees providing short-term, temporary services of 90 days or less within a 12-month period are not considered full-time for purposes of the Jury Service Program. If Contractor uses any subcontractor to perform services for County under the Agreement, the subcontractor shall also be subject to the provisions of this Paragraph 32.0 (Compliance with Jury Service Program). The provisions of this Paragraph 32.0 (Compliance with Jury Service Program) shall be inserted into any such subcontract agreement and a copy of the Jury Service Program shall be attached to the agreement.
32.2.3 If Contractor is not required to comply with the Jury Service Program when the Agreement commences, Contractor shall have a continuing obligation to review the applicability of its "exception status" from the Jury Service Program, and Contractor shall immediately notify County if Contractor at any time either comes within the Jury Service Program's definition of "Contractor" or if Contractor no longer qualifies for an exception to the Jury Service Program. In either event, Contractor shall immediately implement a written policy consistent with the Jury Service Program. County may also require, at any time during the Term and at its sole discretion, that Contractor demonstrate to County's satisfaction that Contractor either continues to remain outside of the Jury Service
Program's definition of "Contractor" or that Contractor continues to qualify for an exception to the Jury Service Program.
32.2.4 Contractor's violation of this Paragraph 32.0 (Compliance with Jury Service Program) of this Exhibit may constitute a material breach of the Agreement. In the event of such material breach, County may, in its sole discretion, terminate the Agreement or bar Contractor from the award of future County contracts for a period of time consistent with the seriousness of the breach.
33.0 BACKGROUND AND SECURITY INVESTIGATIONS
33.1 At any time prior to or during the Term, the County may require that all Contractors staff performing Work under this Agreement undergo and pass, to the satisfaction of the County, a background investigation as a condition of beginning and continuing Work under this Agreement. County shall use its discretion in determining the method of background investigation to be used, up to and including a County-performed fingerprint security clearance.
33.2 If the Contractor does not pass the background clearance investigation, the County may require that the individual immediately be removed from performing Work at any time during the Term. County will not provide to Contractor any information obtained through the County's background investigation.
33.3 County may immediately deny or terminate facility access to Contractors who do not pass such investigation(s) to the satisfaction of the County, or whose background or conduct is incompatible with County facility access, at the sole discretion of the County.
33.4 Disqualification, if any, of Contractor pursuant to this Paragraph 33.0 shall not relieve Contractor of its obligations to complete all Work in accordance with the terms and conditions of this Agreement.
34.0 ACCESS TO COUNTY FACILITIES
Contractor, its employees, and agents will be granted access to County facilities, subject to Contractor's prior notification to the County Project Director, for the purpose of executing Contractor's obligations hereunder. Contractor shall have no tenancy, or any other property or other rights in County facilities. While present at County facilities, Contractor shall be accompanied by County personnel at all times, unless this requirement is waived in writing prior to such event by the County Project Director.
35.0 DAMAGE TO COUNTY FACILITIES, BUILDINGS, OR GROUNDS
35.1 Contractor shall repair, or cause to be repaired, at its own cost, any and all damage to County facilities, buildings or grounds caused by Contractor or
employees or agents of Contractor. Such repairs shall be made promptly after Contractor has become aware of such damage, but in no event later than thirty (30) days after the occurrence.
35.2 If Contractor fails to make timely repairs, County may make any necessary repairs. All costs incurred by County, as determined by County, for such repairs shall be repaid by Contractor by cash payment upon demand, or without limitation of all County's other rights and remedies provided at law or equity, or under the Agreement, County may deduct such costs from any amounts due to Contractor from County under the Agreement.
36.0 FEDERAL EARNED INCOME TAX CREDIT
Contractor shall notify its employees that they may be eligible for the Federal Earned Income Credit under the Federal income tax laws. Such notice shall be provided in accordance with the requirements set forth in Internal Revenue Service Notice 1015.
37.0 ASSIGNMENT BY CONTRACTOR
37.1 Contractor shall not assign its rights or delegate or subcontract its duties under the Agreement, or both, whether in whole or in part, without the prior written consent of County, in its discretion, and any attempted assignment or delegation without such consent shall be null and void. For purposes of this Subparagraph 37.1, County consent shall require a written amendment to the Agreement, which is formally approved and executed by the parties. Any payments by County to any approved delegate or assignee on any claim under the Agreement shall be deductible, at Count's sole discretion, against the claims which Contractor may have against County.
37.2 Shareholders, partners, members, or other equity holders of Contractor may transfer, sell, exchange, assign, or divest themselves of any interest they may have therein. However, in the event any such sale, transfer, exchange, assignment, or divestment is effected in such a way as to give majority control of Contractor to any person(s), corporation, partnership, or legal entity other than the majority controlling interest therein at the time of execution of the Agreement, such disposition is an assignment requiring the prior written consent of County in accordance with Subparagraph 37.1 of this Exhibit.
37.3 Any assumption, assignment, delegation, subcontract, or takeover of any of the Contractor's duties, responsibilities, obligations, or performance of same by any entity other than the Contractor, whether through assignment, subcontract, delegation, merger, buyout, or any other mechanism, with or without consideration for any reason whatsoever without County's express prior written approval, shall be a material breach of the Agreement which may result in the termination of the Agreement. In the event of such termination, County shall be
entitled to pursue the same remedies against Contractor as it could pursue in the event of default by Contractor.
38.0 INDEPENDENT CONTRACTOR STATUS
38.1 The Agreement is by and between County and Contractor and is not intended, and shall not be construed, to create the relationship of agent, servant, employee, partnership, joint venture, or association, as between County and Contractor. The employees and agents of one party shall not be, or be construed to be, the employees or agents of the other party for any purpose whatsoever. Contractor shall function as, and in all respects is, an independent Contractor.
38.2 County shall have no liability or responsibility for the payment of any salaries, wages, unemployment benefits, disability benefits, Federal, State, or local taxes, or other compensation, benefits, or taxes for any personnel provided by or on behalf of Contractor.
38.3 Contractor understands and agrees that all persons performing Work pursuant to the Agreement are, for purposes of workers' compensation liability, the sole employees of Contractor and not employees of County. County shall have no obligation to furnish, or liability for, workers' compensation benefits to any person as a result of any injuries arising from or connected with any Work performed by or on behalf of Contractor pursuant to the Agreement.
38.4 Contractor shall provide to County an executed Contractor's Employee Acknowledgment and Confidentiality Agreement (Exhibit E) for each of its employees performing Work under the Agreement. Such agreements shall be delivered to the County Project Manager.
39.0 RECORDS AND AUDITS
39.1 Contractor shall maintain accurate and complete financial records of its activities and operations relating to the Agreement, including any termination hereof, in accordance with generally accepted accounting principles. Contractor shall also maintain accurate and complete employment and other records relating to its performance of the Agreement. Contractor agrees that County, or its authorized representatives, shall, with reasonable notice and during regular business hours, have access to and the right to examine, audit, excerpt, copy or transcribe any pertinent transaction, activity, or records of Contractor relating to the Agreement; provided that County's access to such employment records of Contractor shall be limited to access that does not constitute an unlawful invasion of the privacy rights of any such employee. Should the examination and audit be performed by a non-County entity or should a non-County entity be requested by County to review information received pursuant to an audit or examination under this Paragraph 39.0 (Records and Audits), Contractor may require the non-County
examiner or auditor, as the case may be, to execute a nondisclosure contract prior to any disclosure. The nondisclosure Contract shall limit the non-County entity's use of information received or reviewed in connection with the examination and audit to work performed specifically for the benefit of County. All such material, including all financial records, time cards and other employment records, shall be kept and maintained by Contractor and shall be made available to County during the Term and for a period of five (5) years thereafter unless County's written permission is given to dispose of any such material prior to such time. All such material shall be maintained by Contractor at a location in Los Angeles County, provided that if any such material is located outside Los Angeles County, then at Contractor's option, Contractor shall either (a) provide County with access to such material at a mutually agreed upon location inside Los Angeles County, or (b) pay County for travel, per diem, and other costs and expenses incurred by County to examine, audit, excerpt, copy or transcribe such material at such outside location.
39.2 If an audit is conducted of Contractor specifically regarding the Agreement by any Federal or State auditor, then Contractor shall file a copy of such audit report with County's Auditor Controller and the County Project Director within thirty (30) days of Contractor's receipt thereof, unless otherwise provided by applicable federal or state law or under the Agreement.
39.3 If, at any time during or after the Term, representatives of County conduct an audit of Contractor, as and to the extent permitted hereunder, regarding the Work performed under the Agreement, the results of such audit, including any final determination in respect of an underpayment or overpayment, if any by County under the Agreement, shall be provided in writing to Contractor. Contractor shall have thirty (30) days to review the findings contained in such audit and notify County of any objection to the same. Such notice must include, in reasonable detail, the basis for Contractor's objection and any supporting documentation and analysis for Contractor's objection. If the parties cannot agree, within fifteen (15) days of receipt of Contractor's objection to the findings contained in County's audit, on the amount of underpayment or overpayment, if any, by County to Contractor hereunder, then either party may submit such matter to the Dispute Resolution Procedure, provided such matter shall be submitted initially, directly to the County Project Director and the Contractor Project Manager. If Contractor fails to notify County of any objection it has to the findings of County's audit within the thirty (30) day period set forth above, Contractor waives any right to object to the findings of such audit, including any determination of overpayment by County. If such audit, whether initially following a waiver by Contractor of its right of objection or upon final determination pursuant to the Dispute Resolution Procedure, finds that County's dollar liability for any such Work is less than payments made by County to Contractor, then the difference, together with County's reasonable costs of audit, shall be either repaid by Contractor to County by cash payment upon demand or, at the discretion of the County Project
Director, deducted from any amounts due to Contractor from County. If such audit finds that County's dollar liability for such Work is more than the payments made by County to Contractor, then the difference shall be paid to Contractor by County, but in no event shall County's payments to Contractor exceed the Maximum Contract Sum.
40.0 LICENSES, PERMITS, REGISTRATIONS, ACCREDITATION, AND CERTIFICATES
Contractor shall obtain and maintain in effect during the Term all licenses, permits, registrations, accreditation, and certificates required by all Federal, State, and local laws, ordinances, rules, and regulations, which are applicable to Contractor's services under the Agreement. Contractor shall further ensure that all of its officers, employees, and agents who perform services hereunder, shall obtain and maintain in effect during the Term all licenses, permits, registrations, accreditation, and certificates which are applicable to their performance hereunder. If and to the extent requested by County, Contractor shall provide copy of each such license, permit, registration, accreditation, and certificate, in duplicate, to Henry Yee, Manager, Sheriff's Department Contracts Administration, 4700 Ramona Boulevard, Monterey Park, CA 91754-2169.
41.0 NO THIRD PARTY BENEFICIARIES
Notwithstanding any other provision of the Agreement, Contractor and County do not in any way intend that any person or entity shall acquire any rights as a third party beneficiary of the Agreement, except that this Paragraph 41.0 (No Third Party Beneficiaries) shall not be construed to diminish Contractor's indemnification obligations hereunder.
42.0 MOST FAVORED PUBLIC ENTITY
If Contractor's prices decline, or should Contractor, at any time during the Term, provide the same goods and substantially similar services under similar quantity, delivery, and other applicable terms and conditions to the State of California or any county, municipality, public agency, or district within California at prices below those set forth in the Agreement, then such lower prices shall be extended immediately to County.
43.0 COUNTY'S QUALITY ASSURANCE PLAN
County or its agent will evaluate Contractor's performance under the Agreement on not less than an annual basis. Such evaluation will include assessing Contractor's compliance with the terms and performance standards of the Agreement. Contractor deficiencies which County determines are severe or continuing and that may place performance of the Agreement in jeopardy if not corrected will be reported to the Board. The report will include improvement and corrective action measures taken by County and Contractor. If, following due cure and notice periods for any specified material breach, improvement does not occur consistent with the corrective action measures,
County may terminate the Agreement or impose other penalties as specified in the Agreement.
44.0 CONSIDERATION OF HIRING COUNTY EMPLOYEES TARGETED FOR LAYOFF/OR RE-EMPLOYMENT LIST
Should Contractor require personnel in addition to those employed by Contractor on the Effective Date to perform the services set forth herein, Contractor shall give consideration for such employment openings to qualified, permanent County employees who are targeted for layoff or qualified, former County employees who are on a reemployment list during the life of this Agreement. For this purpose, consideration shall mean that Contractor will interview qualified candidates. Prior to consideration being given by Contractor, County will refer such County employees by job category to Contractor. The above obligations do not apply to positions filled by: (a) third parties who have subcontracted with Contractor to perform the services, or (b) Contractor's current employees.
45.0 CONTRACTOR TO NOTIFY COUNTY WHEN IT HAS REACHED 75% OF MAXIMUM CONTRACT SUM (UNDER CONTRACT SUM PROVISION)
Contractor shall maintain a system of record keeping that will allow Contractor to determine when it has incurred seventy-five percent (75%) of the Maximum Contract Sum. Upon occurrence of this event, Contractor shall send written notification to the County Project Director and the County Project Manager.
46.0 NO PAYMENT FOR SERVICES PROVIDED FOLLOWING EXPIRATION OR TERMINATION OF CONTRACT
Contractor shall have no claim against County for payment of any money or reimbursement, of any kind whatsoever, for any service provided by Contractor under the Agreement, after the expiration or other termination of this Agreement. Should Contractor receive any such payment it shall immediately notify County and shall immediately repay all such funds to County. Payment by County for services rendered after expiration or termination of this Agreement shall not constitute a waiver of County's right to recover such payment from Contractor. This provision shall survive the expiration or other termination of this Agreement.
47.0 SAFELY SURRENDERED BABY LAW
47.1 Notice to Employees
Contractor shall notify and provide to its employees residing in or working in the State of California, and shall require each subcontractor performing Work under this Agreement to notify and provide to its employees residing in or working in the State of California, a fact sheet regarding the Safely Surrendered Baby Law, its implementation in Los Angeles County, and where and how to safely surrender a
baby. The fact sheet is available on the Internet at www.babysafela.org for printing purposes.
47.2 Contractor's Acknowledgement of County's Commitment to the Safely Surrendered Baby Law
Contractor acknowledges that County places a high priority on the implementation of the Safely Surrendered Baby Law. Contractor understands that it is County's policy to encourage all County Contractors to voluntarily post County's "Safely Surrendered Baby Law" poster in a prominent position at Contractor's place of business. Contractor will also encourage its subcontractors, if any, to post this poster in a prominent position in the subcontractor's place of business. County's Department of Children and Family Services will supply Contractor with the poster to be used.
48.0 WAIVER
No waiver by County of any breach of any provision of the Agreement shall constitute a waiver of any other breach or of such provision. Failure of County to enforce at any time, or from time to time, any provision of the Agreement shall not be construed as a waiver thereof. The rights and remedies set forth in the Agreement shall not be exclusive and are in addition to any other rights and remedies provided at law or in equity, or under the Agreement.
49.0 GOVERNING LAW, JURISDICTION, AND VENUE
The Agreement shall be governed by, and construed in accordance with, the substantive and procedural laws of the State of California applicable to contracts made and to be performed within that state. Contractor agrees and consents to the exclusive jurisdiction of the courts of the State of California (except with respect to claims that are subject to exclusive Federal subject matter jurisdiction, as to which Contractor agrees and consents to the exclusive jurisdiction of the United States District Court of the Central District of California) for all purposes regarding the Agreement and further agrees and consents that venue of any action brought hereunder shall be exclusively in the Central District of the Superior Court for the County of Los Angeles, California.
50.0 SEVERABILITY
If any provision of the Agreement is adjudged void or invalid for any reason whatsoever, but would be valid if part of the wording thereof were deleted or changed, then such provision shall apply with such modifications as may be necessary to make it valid and effective. In the event that one or more of the provisions of the Agreement is found to be invalid, illegal or unenforceable in any respect, such provision shall be deleted here from and the validity, legality, and enforceability of the remaining provisions contained herein shall not in any way be affected or impaired thereby, unless the Agreement fails of its essential purpose because of such deletion.
51.0 RIGHTS AND REMEDIES
The rights and remedies of County provided in any given Paragraph, as well as throughout the Agreement, including throughout this Exhibit, are non-exclusive and cumulative with any and all other rights and remedies under this Agreement, at law, or in equity.
52.0 FACSIMILE
Except for the parties initial signatures to the Agreement, which must be provided in "original" form, and not by facsimile, County and Contractor hereby agree to regard facsimile representations of original signatures of authorized officials of each party, when appearing in appropriate places on change notices or in other correspondence, notices, etc. requiring signatures, and received via communications facilities, as legally sufficient evidence that such original signatures have been affixed thereto, such that the parties need not follow up facsimile transmissions of such documents with subsequent (non-facsimile) transmission of "original" versions of such documents.
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CONTRACTOR'S EEO CERTIFICATION
Contractor Name
Address
Internal Revenue Service Employer Identification Number
GENERAL CERTIFICATION
In accordance with Section 4.32.010 of the Code of the County of Los Angeles, the contractor, supplier, or vendor certifies and agrees that all persons employed by such firm, its affiliates, subsidiaries, or holding companies are and will be treated equally by the firm without regard to or because of race, religion, ancestry, national origin, or sex and in compliance with all anti- discrimination laws of the United States of America and the State of California.
CONTRACTOR'S SPECIFIC CERTIFICATIONS
1. The Contractor has a written policy statement prohibiting discrimination in all phases of employment.
Yes No
2. The Contractor periodically conducts a self analysis or utilization analysis of its work force.
Yes No
3. The Contractor has a system for determining if its employment practices are discriminatory against protected groups.
Yes No
4. Where problem areas are identified in employment practices, the Contractor has a system for taking reasonable corrective action, to include establishment of goals or timetables.
Yes No
Authorized Official's Printed Name and Title
Authorized Official's Signature
Date
CONTRACT FOR PSYCHOLOGICAL AND PSYCHIATRIC SERVICES
CONTRACTOR EMPLOYEE ACKNOWLEDGEMENT AND CONFIDENTIALITY AGREEMENT
(Note: This certification is to be executed and returned to County with Contractor's executed Contract. Work cannot begin on the Contract until County receives this executed document.)
Psychological and Psychiatric Services
CONTRACTOR NAME ________________________________
Contract No.
Employee Name ____________________________________________________
GENERAL INFORMATION:
Your employer referenced above has entered into a contract with the County of Los Angeles to provide certain services to the County. The County requires your signature on this Contractor Employee Acknowledgement and Confidentiality Agreement.
EMPLOYEE ACKNOWLEDGEMENT:
I understand and agree that the Contractor referenced above is my sole employer for purposes of the above-referenced contract. I understand and agree that I must rely exclusively upon my employer for payment of salary and any and all other benefits payable to me or on my behalf by virtue of my performance of work under the above-referenced contract.
I understand and agree that I am not an employee of the County of Los Angeles for any purpose whatsoever and that I do not have and will not acquire any rights or benefits of any kind from the County of Los Angeles by virtue of my performance of work under the above-referenced contract. I understand and agree that I do not have and will not acquire any rights or benefits from the County of Los Angeles pursuant to any agreement between any person or entity and the County of Los Angeles.
I understand and agree that I may be required to undergo a background and security investigation(s). I understand and agree that my continued performance of work under the above-referenced contract is contingent upon my passing, to the satisfaction of the County, any and all such investigations. I understand and agree that my failure to pass, to the satisfaction of the County, any such investigation shall result in my immediate release from performance under this and/or any future contract.
CONFIDENTIALITY AGREEMENT:
I may be involved with work pertaining to services provided by the County of Los Angeles and, if so, I may have access to confidential data and information pertaining to persons and/or entities receiving services from the County. In addition, I may also have access to proprietary information supplied by other vendors doing business with the County of Los Angeles. The County has a legal obligation to protect all such confidential data and information in its possession, especially data and information concerning health and criminal recipient records. I understand that if I am involved in County work, the County must ensure that I, too, will protect the confidentiality of such data and information. Consequently, I understand that I must sign this agreement as a condition of my work to be provided by my employer for the County. I have read this agreement and have taken due time to consider it prior to signing.
Initials of Signer ______
Contractor Name _______________________________________ Contract No. ___________
Employee Name__________________________
I hereby agree that I will not divulge to any unauthorized person any data or information obtained while performing work pursuant to the above-referenced contract between my employer and the County of Los Angeles. I agree to forward all requests for the release of any data or information received by me to my immediate supervisor.
I agree to keep confidential all health and criminal records and all data and information pertaining to persons and/or entities receiving services from the County, design concepts, algorithms, programs, formats, documentation, Contractor proprietary information and all other original materials produced, created, or provided to or by me under the abovereferenced contract. I agree to protect these confidential materials against disclosure to other than my employer or County employees who have a need to know the information. I agree that if proprietary information supplied by other County vendors is provided to me during this employment, I shall keep such information confidential.
I agree to report to my immediate supervisor any and all violations of this agreement by myself and/or by any other person of whom I become aware. I agree to return all confidential materials to my immediate supervisor upon completion of this contract or termination of my employment with my employer, whichever occurs first.
I acknowledge that violation of this agreement may subject me to civil and/or criminal action and that the County of Los Angeles may seek all possible legal redress.
SIGNATURE:
DATE: _____/_____/_____
PRINTED NAME: __________________________________________
POSITION:
__________________________________________
CONTRACT FOR PSYCHOLOGICAL AND PSYCHIATRIC SERVICES
CONTRACTOR NON-EMPLOYEE ACKNOWLEDGEMENT AND CONFIDENTIALITY AGREEMENT
(Note: This certification is to be executed and returned to County with Contractor's executed Contract. Work cannot begin on the Contract until County receives this executed document.)
CONTRACTOR NAME __________________________________________________________________
Contract No.
Non-Employee Name ____________________________________________________________________
GENERAL INFORMATION:
The Contractor referenced above has entered into a contract with the County of Los Angeles to provide certain services to the County. The County requires your signature on this Contractor Non-Employee Acknowledgement and Confidentiality Agreement.
NON-EMPLOYEE ACKNOWLEDGEMENT:
I understand and agree that the Contractor referenced above has exclusive control for purposes of the above-referenced contract. I understand and agree that I must rely exclusively upon the Contractor referenced above for payment of salary and any and all other benefits payable to me or on my behalf by virtue of my performance of work under the above-referenced contract.
I understand and agree that I am not an employee of the County of Los Angeles for any purpose whatsoever and that I do not have and will not acquire any rights or benefits of any kind from the County of Los Angeles by virtue of my performance of work under the above-referenced contract. I understand and agree that I do not have and will not acquire any rights or benefits from the County of Los Angeles pursuant to any agreement between any person or entity and the County of Los Angeles.
I understand and agree that I may be required to undergo a background and security investigation(s). I understand and agree that my continued performance of work under the above-referenced contract is contingent upon my passing, to the satisfaction of the County, any and all such investigations. I understand and agree that my failure to pass, to the satisfaction of the County, any such investigation shall result in my immediate release from performance under this and/or any future contract.
CONFIDENTIALITY AGREEMENT:
I may be involved with work pertaining to services provided by the County of Los Angeles and, if so, I may have access to confidential data and information pertaining to persons and/or entities receiving services from the County. In addition, I may also have access to proprietary information supplied by other vendors doing business with the County of Los Angeles. The County has a legal obligation to protect all such confidential data and information in its possession, especially data and information concerning health and criminal recipient records. I understand that if I am involved in County work, the County must ensure that I, too, will protect the confidentiality of such data and information. Consequently, I understand that I must sign this agreement as a condition of my work to be provided by the above- referenced Contractor for the County. I have read this agreement and have taken due time to consider it prior to signing.
Initials of Signer ______
PAGE 2 0F 2
Contractor Name _________________________________________ Contract No.__________
Non-Employee Name ___________________________________________________________
I hereby agree that I will not divulge to any unauthorized person any data or information obtained while performing work pursuant to the above-referenced contract between the above-referenced Contractor and the County of Los Angeles. I agree to forward all requests for the release of any data or information received by me to the above-referenced Contractor.
I agree to keep confidential all health, and criminal records and all data and information pertaining to persons and/or entities receiving services from the County, design concepts, algorithms, programs, formats, documentation, Contractor proprietary information, and all other original materials produced, created, or provided to or by me under the above-referenced contract. I agree to protect these confidential materials against disclosure to other than the above-referenced Contractor or County employees who have a need to know the information. I agree that if proprietary information supplied by other County vendors is provided to me, I shall keep such information confidential.
I agree to report to the above-referenced Contractor any and all violations of this agreement by myself and/or by any other person of whom I become aware. I agree to return all confidential materials to the above-referenced Contractor upon completion of this contract or termination of my services hereunder, whichever occurs first.
I acknowledge that violation of this agreement may subject me to civil and/or criminal action and that the County of Los Angeles may seek all possible legal redress.
SIGNATURE: ________________________________________ DATE: _____/_____/_____
PRINTED NAME: ________________________________________
POSITION:
_______________________________________
EXHBIT G
CONTRACTOR'S OBLIGATION AS A BUSINESS ASSOCIATE UNDER THE HEALTH INSURANCE PORTABILITY AND ACCOUNTABILITY ACT OF 1996
Under this Agreement, Contractor ("Business Associate") provides services ("Services") to County ("Covered Entity") and Business Associate receives, has access to, or creates Protected Health Information in order to provide those Services. Covered Entity is subject to the Administrative Simplification requirements of the Health Insurance Portability and Accountability Act of 1996 ("HIPAA"), and regulations promulgated there under, including the Standards for Privacy of Individually Identifiable Health Information ("the Privacy Regulations") and the Health Insurance Reform: Security Standards ("the Security Regulations") at 45 Code of Federal Regulations Parts 160 and 164 ("together, the "Privacy and Security Regulations").
The Privacy and Security Regulations require Covered Entity to enter into a contract with Business Associate in order to mandate certain protections for the privacy and security of Protected Health Information, and those Regulations prohibit the disclosure to or use of Protected Health Information by Business Associate if such a contract is not in place.
Therefore, the parties agree as follows:
DEFINITIONS
1.1 "Disclose" or "Disclosure" means, with respect to Protected Health Information, the release, transfer, provision of access to, or divulging in any other manner of Protected Health Information outside Business Associate's internal operations or to other than its employees.
1.2 "Electronic Media" has the same meaning as the term "electronic media" in 45 C.F.R. § 160.103. Electronic Media means (1)
Exhibit G Page
Electronic storage media including memory devices in computers (hard drives) and any removable/transportable digital memory medium, such as magnetic tape or disk, optical disk, or digital memory card; or (2) Transmission media used to exchange information already in electronic storage media. Transmission media include, for example, the internet (wide-open), extranet (using internet technology to link a business with information accessible only to collaborating parties), leased lines, dial-up lines, private networks, and the physical movement of removable/transportable electronic storage media. Certain transmissions, including of paper, via facsimile, and of voice, via telephone, are not considered to be transmissions via electronic media, because the information being exchanged did not exist in electronic form before the transmission.
1.3 "Electronic Protected Health Information" has the same meaning as the term "electronic protected health information" in 45 C.F.R. § 160.103. Electronic Protected Health Information means Protected Health Information that is (i) transmitted by electronic media; (ii) maintained in electronic media.
1.4 "Individual" means the person who is the subject of Protected Health Information and shall include a person who qualifies as a personal representative in accordance with 45 C.F.R. § 164.502(g).
1.5 "Protected Health Information" has the same meaning as the term "protected health information" in 45 C.F.R. § 160.103, limited to the information created or received by Business Associate from or on behalf of Covered Entity. Protected Health Information includes information, whether oral or recorded in any form or medium, that (i) relates to the past, present, or future physical or mental health or condition of an Individual; the provision of health care to an
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Individual, or the past, present or future payment for the provision of health care to an Individual; (ii) identifies the Individual (or for which there is a reasonable basis for believing that the information can be used to identify the Individual); and (iii) is received by Business Associate from or on behalf of Covered Entity, or is created by Business Associate, or is made accessible to Business Associate by Covered Entity. "Protected Health Information" includes Electronic Health Information.
1.6 "Required By Law" means a mandate contained in law that compels an entity to make a Use or Disclosure of Protected Health Information and that is enforceable in a court of law. Required by law includes, but is not limited to, court orders and court-ordered warrants; subpoenas or summons issued by a court, grand jury, a governmental or tribal inspector general, or any administrative body authorized to require the production of information; a civil or an authorized investigative demand; Medicare conditions of participation with respect to health care providers participating in the program; and statutes or regulations that require the production of information, including statutes or regulations that require such information if payment is sought under a government program providing benefits.
1.7 "Security Incident" means the attempted or successful unauthorized access, Use, Disclosure, modification, or destruction of information in, or interference with system operations of, an Information System which contains Electronic Protected Health Information. However, Security Incident does not include attempts to access an Information System when those attempts are not reasonably considered by Business Associate to constitute an actual threat to the Information System.
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1.8 "Services" has the same meaning as in the body of this Agreement.
1.9 "Use" or "Uses" means, with respect to Protected Health Information, the sharing, employment, application, utilization, examination or analysis of such Information within Business Associate's internal operations.
1.10 Terms used, but not otherwise defined in this Paragraph shall have the same meaning as those terms in the HIPAA Regulations.
OBLIGATIONS OF BUSINESS ASSOCIATE.
2.1 Permitted Uses and Disclosures of Protected Health Information Business Associate:
(a) shall Use and Disclose Protected Health Information as necessary to perform the Services, and as provided in Sections 2.3, 2.4, 2.5, 2.6, 2.7, 2.8, 4.3 and 5.2 of this Agreement;
(b) shall Disclose Protected Health Information to Covered Entity upon request;
(c) may, as necessary for the proper management and administration of its business or to carry out its legal responsibilities:
(i) Use Protected Health Information; and
(ii) Disclose Protected Health Information if the Disclosure is Required by Law.
Business Associate shall not Use or Disclose Protected Health Information for any other purpose.
2.2 Adequate Safeguards for Protected Health Information. Business Associate:
(a) shall implement and maintain appropriate safeguards to prevent the Use or Disclosure of Protected Health Information
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in any manner other than as permitted by this Paragraph. Business Associate agrees to limit the Use and Disclosure of Protected Health Information to the minimum necessary in accordance with the Privacy Regulation's minimum necessary standard.
(b) effective as of April 20, 2005, specifically as to Electronic Health Information, shall implement and maintain administrative, physical, and technical safeguards that reasonably and appropriately protect the confidentiality, integrity, and availability of Electronic Protected Health Information.
2.3 Reporting Non-Permitted Use or Disclosure and Security Incidents. Business Associate shall report to Covered Entity each Use or Disclosure that is made by Business Associate, its employees, representatives, agents or subcontractors but is not specifically permitted by this Agreement, and effective as of April 20, 2005, shall report to Covered Entity each Security Incident of which Business Associate becomes aware. The initial report shall be made by telephone call to the Department of Mental Health's Privacy Officer, telephone number 1(213) 738-4864 within fortyeight (48) hours from the time the Business Associate becomes aware of the non-permitted Use or Disclosure or Security Incident, followed by a full written report no later than ten (10) business days from the date the Business Associate becomes aware of the nonpermitted Use or Disclosure or Security Incident to the Chief Privacy Officer at:
Chief Privacy Officer, County of Los Angeles Kenneth Hahn Hall of Administration 500 West Temple Street, Suite 525 Los Angeles, CA 90012
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2.4 Mitigation of Harmful Effect. Business Associate agrees to mitigate, to the extent practicable, any harmful effect that is known to Business Associate of a Use or Disclosure of Protected Health Information by Business Associate in violation of the requirements of this Paragraph.
2.5 Availability of Internal Practices, Books and Records to Government Agencies. Business Associate agrees to make its internal practices, books, and records relating to the Use and Disclosure of Protected Health Information available to the Secretary of the federal Department of Health and Human Services for purposes of determining Covered Entity's compliance with the Privacy and Security Regulations. Business Associate shall immediately notify Covered Entity of any requests made by the Secretary and provide Covered Entity with copies of any documents produced in response to such request.
2.6 Access to Protected Health Information. Business Associate shall, to the extent Covered Entity determines that any Protected Health Information constitutes a "designated record set" as defined by 45 C.F.R. § 164.501, make the Protected Health Information specified by Covered Entity available to the Individual(s) identified by Covered Entity as being entitled to access and copy that Protected Health Information. Business Associate shall provide such access for inspection of that Protected Health Information within two (2) business days after receipt of request from Covered Entity. Business Associate shall provide copies of that Protected Health Information within five (5) business days after receipt of request from Covered Entity.
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2.7 Amendment of Protected Health Information. Business Associate shall, to the extent Covered Entity determines that any Protected Health Information constitutes a "designated record set" as defined by 45 C.F.R. § 164.501, make any amendments to Protected Health Information that are requested by Covered Entity. Business Associate shall make such amendment within ten (10) business days after receipt of request from Covered Entity in order for Covered Entity to meet the requirements under 45 C.F.R. § 164.526.
2.8 Accounting of Disclosures. Business Associate agrees to maintain documentation of the information required to provide an accounting of Disclosures of Protected Health Information in accordance with 45 C.F.R. § 164.528, and to make this information available to Covered Entity upon Covered Entity's request, in order to allow Covered Entity to respond to an Individual's request for accounting of disclosures. However, Business Associate is not required to provide an accounting of Disclosures that are necessary to perform its Services if such Disclosures are for either payment or health care operations purposes, or both. Additionally, such accounting is limited to disclosures that were made in the six (6) years prior to the request (not including disclosures that were made prior to the compliance date of the Privacy Rule, April 14, 2003) and shall be provided for as long as Business Associate maintains the Protected Health Information.
Any accounting provided by Business Associate under this Section 2.8 shall include: (a) the date of the Disclosure; (b) the name, and address if known, of the entity or person who received the Protected Health Information; (c) a brief description of the Protected Health Information disclosed; and (d) a brief statement of the purpose of the Disclosure. For each Disclosure that could require
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an accounting under this Section 2.8, Business Associate shall document the information specified in (a) through (d), above, and shall securely maintain the information for six (6) years from the date of the Disclosure. Business Associate shall provide to Covered Entity, within ten (10) business days after receipt of request from Covered Entity, information collected in accordance with this Section 2.8 to permit Covered Entity to respond to a request by an Individual for an accounting of disclosures of Protected Health Information in accordance with 45 C.F.R. § 164.528.
OBLIGATION OF COVERED ENTITY
3.1 Obligation of Covered Entity. Covered Entity shall notify Business Associate of any current or future restrictions or limitations on the use of Protected Health Information that would affect Business Associate's performance of the Services, and Business Associate shall thereafter restrict or limit its own uses and disclosures accordingly.
TERM AND TERMINATION
4.1 Term. The term of this Paragraph shall be the same as the term of this Agreement. Business Associate's obligations under Sections 2.1 (as modified by Section 4.2), 2.3, 2.4, 2.5, 2.6, 2.7, 2.8, 4.3 and 5.2 shall survive the termination or expiration of this Agreement.
4.2 Termination for Cause. In addition to and notwithstanding the termination provisions set forth in this Agreement, upon Covered Entity's knowledge of a material breach by Business Associate, Covered Entity shall either:
(a) Provide an opportunity for Business Associate to cure the breach or end the violation and terminate this Agreement if
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Business Associate does not cure the breach or end the violation within the time specified by Covered Entity;
(b) Immediately terminate this Agreement if Business Associate has breached a material term of this Paragraph and cure is not possible; or
(c) If neither termination nor cure is feasible, Covered Entity shall report the violation to the Secretary of the federal Department of Health and Human Services.
4.3 Disposition of Protected Health Information Upon Termination or Expiration.
(a) Except as provided in paragraph (b) of this section, upon termination for any reason or expiration of this Agreement, Business Associate shall return or destroy all Protected Health Information received from Covered Entity, or created or received by Business Associate on behalf of Covered Entity. This provision shall apply to Protected Health Information that is in the possession of subcontractors or agents of Business Associate. Business Associate shall retain no copies of the Protected Health Information.
(b) In the event that Business Associate determines that returning or destroying the Protected Health Information is infeasible, Business Associate shall provide to Covered Entity notification of the conditions that make it infeasible. If return or destruction is infeasible, Business Associate shall extend the protections of this Agreement to such Protected Health Information and limit further Uses and Disclosures of such Protected Health Information to those purposes that make the return or destruction infeasible, for so long as Business Associate maintains such Protected Health Information.
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MISCELLANEOUS
5.1 No Third Party Beneficiaries. Nothing in this Paragraph shall confer upon any person other than the parties and their respective successors or assigns, any rights, remedies, obligations, or liabilities whatsoever.
5.2 Use of Subcontractors and Agents. Business Associate shall require each of its agents and subcontractors that receive Protected Health Information from Business Associate, or create Protected Health Information for Business Associate, on behalf of Covered Entity, to execute a written agreement obligating the agent or subcontractor to comply with all the terms of this Paragraph.
5.3 Relationship to Services Agreement Provisions. In the event that a provision of this Paragraph is contrary to another provision of this Agreement, the provision of this Paragraph shall control. Otherwise, this Paragraph shall be construed under, and in accordance with, the terms of this Agreement.
5.4 Regulatory References. A reference in this Paragraph to a section in the Privacy or Security Regulations means the section as in effect or as amended.
5.5 Interpretation. Any ambiguity in this Paragraph shall be resolved in favor of a meaning that permits Covered Entity to comply with the Privacy and Security Regulations.
5.6 Amendment. The parties agree to take such action as is necessary to amend this Paragraph from time to time as is necessary for Covered Entity to comply with the requirements of the Privacy and Security Regulations."
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EXHIBIT B
NOT ATTACHED TO SAMPLE
EXHIBIT B1
NOT ATTACHED TO SAMPLE
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Oxidative stability and aroma of UFA/CLA (unsaturated fatty acids/ conjugated linoleic acid) enriched butter
Doctoral Thesis
Author(s):
Mallia, Silvia
Publication date:
2008
Permanent link:
https://doi.org/10.3929/ethz-a-005804565
Rights / license:
In Copyright - Non-Commercial Use Permitted.
OXIDATIVE STABILITY AND AROMA OF UFA/CLA (UNSATURATED FATTY ACIDS/CONJUGATED LINOLEIC ACID) ENRICHED BUTTER
A dissertation submitted to the SWISS FEDERAL INSTITUTE OF TECHNOLOGY ZURICH
For the degree of
Doctor of Sciences
Presented by
Silvia Mallia
Dipl. in Food Science and Technology Facoltà di Agraria di Catania, Italy Born April 27, 1972 Citizen of Italy
Accepted on the recommendation of
Prof. Dr. F. Escher, examiner Prof. Dr. Christophe Lacroix, co-examiner Dr. Hedwig Schlichtherle-Cerny, co-examiner
Zürich, 2008
I
To Tim and
my parents
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"So eine Arbeit wird eigentlich nie fertig, man muss sie für fertig erklären,
wenn man nach Zeit und Umständen das Möglichste getan hat."
(Goethe; zur Iphigenie, aus der Italienischen Reise 1787)
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TABLE OF CONTENTS
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Diss. ETH No. 18020
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Summary
The enrichment of dairy products with unsaturated fatty acids (UFA) and in particular, with conjugated linoleic acid (CLA) is a possibility to increase their nutritional value and their potential beneficial health effects. On the other hand, the unsaturated lipids are more susceptible to oxidation and could be a source of off-flavours during storage.
The aim of the present investigations was to evaluate the oxidative stability of butter enriched in UFA and CLA in comparison to conventional butter (not enriched), focusing on aroma-active compounds. The aroma profiles of the two kinds of butter were analysed during storage as well as after induced oxidation and the most important odour-active compounds were quantified. The possible origin of odorants from the main isomer of CLA in butter, cis 9, trans 11, was also investigated in a model study.
The two types of butter were analysed during 8 weeks of storage at 6 °C for their fatty acid composition, vitamins (retinol and α-tocopherol), metal ions (copper and iron), their overall sensory and, in particular, their odour profiles. The UFA/CLA enriched butter and conventional butter had a significantly different fatty acid composition. The enriched butter consisted in particular, of double the amount of total CLA than conventional butter and contained 30 % more of omega 6 fatty acids. Retinol and αtocopherol were higher in UFA/CLA enriched butter. The iron content was also significantly higher in the enriched butter. The descriptive overall sensory analysis revealed the flavour of the two butter types as very similar during the storage period. Significant differences were found only for the cooked aroma, more intense in the fresh conventional samples, and for the creamy aroma, higher in the stored enriched butter. The UFA/CLA butter showed always a better spreadability.
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The olfactometric analyses coupled to solid phase microextraction (SPME) and gas chromatography mass spectrometry (GC/MS/O) showed that the two fresh butter types had similar odour profiles, characterised by milky, soapy and sulphury notes, due to 2-nonanone, nonanal and dimethyl disulphide, respectively. After 6 weeks of storage, the aldehydes increased in both butter types, but especially in UFA/CLA enriched butter. Heptanal (fatty odour), (E)-2-octenal (fruity) and (E,E)-2,4-decadienal (fried) increased especially in UFA/CLA enriched butter. Aroma extract dilution analysis (AEDA) confirmed these results and in addition, indicated lactones, as δdecalactone and δ-dodecalactone, with fruity notes, as important odour compounds of UFA/CLA butter. The quantification by stable isotope dilution analysis (SIDA) showed that the content of pentanal, heptanal and δ-decalactone was significantly higher in UFA/CLA enriched butter after storage.
After photo-oxidation and oxidation in the dark in a oxygen atmosphere, the quantification of the odorants in both butter types revealed that heptanal, nonanal, (E)and (Z)-2-octenal and trans-4,5-epoxy-(E)-2-decenal, were higher in the conventional butter. This fact may be explained with the higher α-tocopherol and retinol content of the UFA/CLA enriched samples, protecting this butter type from oxidation.
A model experiment, consisting of a specific CLA ethyl ester and of labelled [ 13 C18]ethyl linoleate, submitted to photo-oxidation and oxidation under oxygen atmosphere, was able to explain the formation of specific odorants from the CLA. Hexanal and heptanal, which have been already detected in the enriched butter, were found mainly unlabelled and consequently they stemmed predominantly from EtCLA, under the oxidation conditions applied.
It is concluded that the odorants found in butter may also be formed from CLA, and not only from UFA, during oxidation. Retinol and α-tocopherol may partially inihibit or delay the formation of odorants, due to their antioxidative activity.
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Zusammenfassung
Das Anreichern von Milchprodukten mit ungesättigten Fettsäuren (UFA) und im Besonderen mit konjugierten Linolsäuren (CLA) kann den Nährwert und die potentiell gesundheitsfördernde Wirkung erhöhen. Allerdings sind die ungesättigten Fettsäuren anfälliger für Oxidation, und während der Lagerung können daraus Fehlaromen resultieren.
Das Ziel des vorliegenden Forschungsprojektes war es, die oxidative Stabilität von UFA und CLA angereicherter Butter im Vergleich zu konventioneller Butter (nicht angereichert) auf aromaaktive Komponenten hin zu untersuchen. Die Aromaprofile der zwei Buttertypen wurden sowohl während der Kühllagerung, als auch nach induzierter Oxidation bestimmt. Die wichtigsten aromaaktiven Verbindungen wurden quanti-fiziert. Die Bildung von Geruchsstoffen aus der in Milchfett vorherrschenden CLA, dem cis 9, trans 11-CLA-Isomer, wurde in einer Modellstudie untersucht.
Die beiden Buttertpyen wurden während 8-wöchiger Lagerung bei 6 °C auf die Fettsäurezusammensetzung und den Gehalt an Vitaminen (Retinol and α-Tocopherol), und Metallionen (Kupfer und Eisen), sowie chemisch und sensorisch auf ihre Aromaprofile hin untersucht. Die UFA/CLA angereicherte Butter und konventionelle Butter zeigten ein signifikant verschiedenes Muster an ungesättigten Fettsäuren. Die angereicherte Butter enthielt doppelt soviel Gesamt-CLA wie konventionelle Butter und 30% mehr an Omega-6 ungesättigten Fettsäuren. Der Der Gehalt an Retinol and αTocopherol sowie an Eisen war in UFA/CLA angereicherter Butter höher als in konventioneller Butter. Nach der deskriptiven sensorischen Analyse war das Aroma beider Buttertypen ähnlich. Signifikante Unterschiede wurden nur für das Attribut „gekochtes Aroma" gefunden, das in der frischen konventionellen Butter intensiver war,
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und für das Attribut "cremig",das in der gelagerten angereicherten Butter ausgeprägter war. Die UFA/CLA Butter zeigte in allen Fällen eine höhere Streichfähigkeit.
Die olfaktometrischen Untersuchungen mit Hilfe der Solid Phase Microextraction (SPME), gekoppelt mit Gaschromatografie-Massenspektrometrie (GC/MS/O), zeigten, dass im frischen, ungelagerten Zustand beide Buttertypen ähnliche Aromaprofile aufwiesen. Ihr Aroma zeichnete sich durch milchige, seifige und schwefelartige Noten aus, verursacht durch 2-Nonanon, Nonanal und Dimethyldisulfid. Nach 6-wöchiger Lagerung nahm der Gehalt an Aldehyden in beiden Buttersorten zu, jedoch stärker in UFA/CLA angereicherter Butter. Heptanal (fettige Note), (E)-2-Octenal (fruchtig) und (E,E)-2,4-Decadienal (frittiert) stiegen insbesondere in UFA/CLA angereicherter Butter an. Die Aromaextrakt-Verdünnungsanalyse (AEDA) bestätigte diese Ergebnisse and identifizierte zusätzlich Lactone, wie δ-Decalacton und δ-Dodecalacton, mit ihren fruchtigen Aromanoten als wichtige Aromakomponenten in UFA/CLA Butter. Die stabilen Isotopenverdünnungsanalyse (SIDA) mass nach der Lagerung signifikant höhere Konzentrationen für Pentanal, Heptanal und δ-Decalacton in UFA/CLA angereicherter Butter.
Nach Fotooxidation und nach Oxidation unter Lichtausschluss in einer SauerstoffAtmosphäre war die Konzentration an Heptanal, Nonanal, (E)- und (Z)-2-Octenal sowie trans-4,5-epoxy-(E)-2-Decenal in konventioneller Butter höher als in UFA/CLA angereicherter Butter. Dieser Unterschied kann mit dem höheren Gehalt des oxidationshemmenden α-Tocopherol und Retinol in der UFA/CLA angereicherten Proben erklärt werden.
In einem Modellversuch wurden cis 9, trans 11-CLA-Ethylester und [ 13 C18] isotopenmarkiertes Ethyllinoleat unter derselben Fotooxidation und Oxidation unter Sauerstoff-Atmosphäre unterworfen, um die Bildung von geruchsaktiven Kompo-nenten aus CLA abzuklären. Bei diesem Versuch wurden Hexanal und Heptanal, die bereits in angereicherter Butter als Aromakomponenten identifiziert worden waren, vorwiegend unmarkiert identifiziert. Folglich wurden sie unter den angewandten Versuchsbedingungen hauptsächlich aus dem CLA-Ethylester gebildet.
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Diss. ETH No. 18020
Damit wurde gezeigt, dass die in der untersuchten Butter gefundenen Aromastoffe während der Oxidation auch aus CLA gebildet werden können, und nicht nur von den ungesättigten Fettsäuren. Retinol und α-Tocopherol scheinen wegen ihrer antioxidativen Wirkung die Bildung von Aromastoffen teilweise zu hemmen oder zu verzögern.
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Abbreviations
AEDA: Aroma Extract Dilution Analysis
CharmAnalysis TM
: Combined Hedonic Aroma Response Measurement
CLA: Conjugated Linoleic Acids
DMS: Dimethyl Sulphide
DMTS: Dimethyl Trisulphide
FD: Flavour Dilution Factor
FID: Flame Ionisation detector
GC x GC: Two Dimensional Gas Chromatography
GC-MS: Gas Chromatography Mass Spectrometry
GC-O: Gas Chromatography Olfactometry
MUFA: Monounsaturated Fatty Acids
OAV: Odour Activity Value
SAFE: Solvent Assisted Flavour Evaporation
SIDA: Stable Isotope Dilution Assay
SNIF: Surface Nasal Impact Frequency
SPME: Solid Phase Microextraction
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TOF-MS: Time-of-flight Mass Spectrometry
UFA: Unsaturated Fatty Acids
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1. General Introduction
The fact that food items may exhibit health benefits beyond their nutritional value has been recognised since a long time. Many traditional recommendations on food selection have included this view. In more recent years the interest in food with specific health benefits has greatly increased and stimulated the development of respective products for the food market. At the same time large efforts are made to substantiate health claims by validated experimental methods.
Dairy products have become to play an important role in this context. Within dairy products, those enriched with unsaturated fatty acids (UFA) and particularly conjugated linoleic acids (CLA) present a promising example. CLA are a group of positional and geometric isomers of linoleic acid which occur naturally in milk and meat from ruminants as a result of rumen biohydrogenation and endogeneous conversion from vaccenic acid. Potential anti-carcinogenic, anti-atherogenic and body fat reducing effects are attributed to CLA. Accordingly, a considerable number of studies were initiated to increase the concentration of UFA/CLA in dairy products. This may be achieved by direct fortification of milk with synthetic CLA, by feeding cows on mountain pastures which enhances the content of UFA/CLA in milk fat, or by supplementing the animal diet with fish oil or vegetable oil and oleaginious seeds, all rich in oleic, linoleic and linoleic which in turn are transferred to milk and partly converted to CLA.
It is foreseeable that UFA/CLA enriched products are more susceptible to lipid oxidation than conventional products so that the storage stability and in consequence the flavour quality may be impaired more rapidly. So far, only few sensory
investigations have been carried out on the flavour of UFA/CLA enriched dairy products. The identification of the most important odour-active compounds in these products by the gas chromatography olfactometry (GC/O) technique has not yet been carried out. Besides, some of the results available to date are controversial. While there are reports that no difference exists in flavour between the enriched and the conventional products other studies found that "oily/vegetable" like notes are characteristic for enriched but not for conventional products.
In the present dissertation the aroma compounds of UFA/CLA enriched butter in comparison to conventional butter and their stability and changes during cold storage and induced lipid oxidation were investigated. UFA/CLA enriched butter was produced from milk that was obtained from cows, which were fed on pasture with sunflower seeds as supplement rich in linoleic acid.
After a literature review in Chapter 2, which focuses on odour-active compounds analysed by GC/O, a comprehensive study on the storage stability of UFA/CLA enriched butter by instrumental and sensory methods is presented in Chapter 3. As a next step the most important odorants of fresh and stored UFA/CLA enriched butter and conventional butter were identified by aroma extraction dilution analysis (AEDA) coupled to gas chromatography, mass spectrometry and olfactometry (GC/MS/O) and quantified by stable isotope dilution analysis (SIDA). In addition, both types of butter were subjected to photo-oxidation and oxidation in the dark in an oxygen atmosphere and the influence of these treatments on odour compounds was investigated. These experiments are presented in Chapter 4. The third study, presented in Chapter 5, attempts to explain the odour formation in UFA/CLA enriched butter by introducing a butter model. Different model systems, containing linoleic acid and CLA in ester form, in the same proportion present in real UFA/CLA butter, were subjected to oxidation and again analysed by GC/MS/O. Isotopically labelled ethyl linoleate was
Diss. ETH No. 18020
used to trace the origin. Finally, Chapter 6 draws the main conclusions of the dissertation and discusses the perspectives of future research.
2. Literature Review ∗
The present review shows that more than 230 volatile compounds have been identified in butter. However, only a small number of them can be considered as key odorants of butter aroma. Gas chromatography olfactometry was used to determine the character impact odorants of different kind of butter. Sweet cream butter is characterised by lactones with fruity and creamy notes and by sulphur compounds, having corn-like and garlic odours. The key odour compounds of sour cream butter are diacetyl (buttery-like), butanoic acid (cheesy) and δ-decalactone (peach), mainly due to lactic acid bacteria fermentation. The aroma of butter oil is characterised by aldehydes, such as (E)- and (Z)-2-nonenal and (E,E)-2,4-decadienal, conferring green and oily notes. Olfactometric studies of heated butter showed the formation of new aroma compounds during heating, such as 3-methylbutanoic acid (cheesy), methional (potato-like) and 2,5-dimethyl-4-hydroxy-3(2H)-furanone (caramel-like). High temperature treatment of butter can also induce off-flavour development. Off-odours in butter can originate from auto-oxidative and as well as from lipolytic reactions, microbial contamination and animal feeding.
∗ This chapter is an adapted version of the review article published as: Mallia, S., Escher, F., SchlichtherleCerny, H. (2008). Aroma-active compounds of butter – a review. European Food Research and Technology, 226, 315-325.
2.1 General
Butter is a traditional food which is widely consumed all over the world, directly or as an ingredient in processed foods such as pastries and convenience dishes. Its nutritional value, due to a high content of fats, vitamins and minerals, and its unique and pleasant flavour make butter particularly appreciated by the consumers.The nature of this flavour has since long intrigued chemists and flavourists who studied the aroma compounds of butter extensively and tried to reproduce an "artificial" butter aroma (Winter et al., 1963; Urbach et al., 1972). Various review articles of butter aroma are also available (Forss, 1971; Badings and Neeter, 1980; Nursten, 1997).
Different methods have been used for the isolation of the volatile compounds of butter, mainly consisting in steam distillation and high-vacuum distillation techniques (Forss et al., 1967) and static and dynamic headspace methods, such as solid phase microextraction (SPME) (Shooter et al., 1999), static headspace analysis (Peterson and Reineccius, 2003a, b), simultaneous purging-solvent extraction (Adahchour, 1999) and using a purge and trap system (Povolo and Contarini, 2003). Gas chromatography coupled to mass spectrometry (GC/MS) is the separation technique usually applied for the identification and quantification of volatile compounds in butter and generally in foods (Maarse and Belz, 1982).
The aroma composition of butter depends on animal feeding (Azzara and Campbell, 1992), season of production (Day et al., 1964), manufacturing process (Schieberle and Grosch, 1987) and storage conditions (Widder et al., 1991; Christensen and Hølmer, 1996).
Depending on the manufacturing process, three main types of butter exist, each having a specific flavour: sour cream butter, obtained from cream inoculated with starter cultures; sweet cream butter, derived from unfermented cream; acidified cream butter,
produced with sweet cream, that is acidulated in a subsequent step with lactic acid and a flavour concentrate.
Removing the aqueous phase from butter by decantation or evaporation yields butter oil, an important product. The aroma of butter oil was also widely studied over the years (Forss et al., 1967; Widder et al., 1991). In an early study on the volatile composition of sweet cream butter, Siek and Lindsay (1968) identified over 100 compounds in the steam distillates from butter-fat, including alkanals, alkanones, alcohols, esters, hydrocarbons and aromatic compounds. Stark and co-workers (Stark et al., 1973; Stark et al., 1976a, b) did several studies on a top quality Australian butter oil, obtained from sweet cream. They identified alkanones, alkanoic acids, δ-lactones, phenolic compounds, dimethyl sulfone, indole and 3-methylindole (skatole) and used flavour threshold studies to detect which compounds contribute to the aroma of butter oil. Their conclusion was that decanoic acid, lauric acid, δ-octalactone, δ-decalactone, indole, and skatole are important volatile compounds for the butter oil aroma, whereas the phenolic compounds are of only borderline significance.
The flavour of sour cream butter is composed of aroma compounds which also occur in sweet cream butter and additionally those from starter cultures (Badings and Neeter, 1980). The reproduction of the flavour of sour cream butter was attempted by Lindsay and co-workers (1967) and later by Badings (1973), who found 2,3butanedione (diacetyl), acetic acid and lactic acid as the most important aroma compounds, stemming from the metabolism of the lactic acid bacteria. δDodecalactone, δ-decalactone, γ-decalactone, hydrogen sulphide and dimethyl sulphide, derived from sweet cream butter, also contribute to the flavour of the cultured butter (Badings, 1973). Another study on sour cream butter aroma (Mick et al., 1982) confirmed the identification of lactones as the main volatile components of this butter type. In addition 2-methylketones and alcohols were found as important contributors. Additionally Shooter and co-workers (1999) accomplished a selective
study on volatile sulphur compounds in butter, showing an increase of methanethiol and dimethyldisulfide concentration in spring butter, due to the pasture composition, and a significant decrease of these compounds during storage.
An extensive study to identify the aroma compounds present in the water fraction of butter (Adahchour et al., 1999) found 23 compounds, such as 1-methoxy-2-propanol, 3-hydroxy-2-butanone, 1-ethoxy-2-propanol, 2,3-butanediol, butanoic acid and benzoic acid. It was observed that the heat treatment of butter at 170°C for 5 min induces rapid formation of 2,5-dimethyl-4-hydroxy-3-(2H)-furanone and 3-hydroxy2-methyl-pyran-4-one (maltol). The same research group recently improved the identification of flavour compounds in butter (Adahchour et al., 2005), using twodimensional gas chromatography (GC x GC) coupled to flame ionisation (FID) and time-of-flight mass spectrometric (TOF/MS) detection. This led to the detection of aldehydes, 2-enals, ketones, alcohols, fatty acids and lactones which were not identified in the first study. Furan derivatives and heterocyclic compounds such as pyrroles and pyridines were exclusively found in the heat-treated samples.
The effect of storage on the volatile fraction of butter was evaluated by Christensen and Hølmer (1996) and by Povolo and Contarini (2003). The first authors studied the oxidative rancidity in butter during 14 weeks and chose hexanal as an indicator for lipid oxidation. Povolo and Contarini, using a purge and trap technique as well as SPME, identified 48 aroma compounds in butter, belonging to the chemical classes of ketones, aldehydes, alcohols, esters, acids, sulphur compounds, hydrocarbons and terpenes.
More than 230 volatiles have been identified as natural constituents of butter (Maarse and Visscher, 1996), but only a small number of those is recognized as key odorants of butter flavour. The study of the odour-active compounds, which actually contribute to the aroma of a specific food, is possible using instrumental methods in combination with sensory techniques. The application of gas chromatography-olfactometry
(GC/O), using the human nose as a detector, provides both odour descriptors and odour activity measurement.
The human nose can be more sensitive than an instrumental detector, having in fact a detection limit down to 10-19 moles for certain odorants (Reineccius, 1994). During olfactometric analysis, a trained panelist describes the odour quality and indicates the duration of the odour perception (Acree et al., 1976).
Several GC/O methods are available to estimate the importance of a particular aroma compound in food: Aroma Extract Dilution Analysis (AEDA) (Schmid and Grosch, 1986) based on serial dilutions until an odour is no longer perceivable; CharmAnalysis TM (Combined Hedonic Aroma Response Measurement) (Acree et al., 1984), also based on serial dilutions of the aroma extract; Osme (from the Greek word meaning odour) (McDaniel et al., 1990; Da Silva et al., 1994), consisting of the analysis of a single concentration of the extract, to establish quality, duration and odour intensity; Surface Nasal Impact Frequency (SNIF) (Pollien et al., 1997), based on the detection of odour frequencies by a panel of trained sniffers. Although olfactometric analysis may be dependent on subjective factors related to the psychophysical conditions of the panelist, it can result in reproducible measurements, if the panelists are trained with reference chemicals and agreed on the odour attributes.
2.2 Odour-active compounds in butter
The character impact odour compounds of butter primarily originate from the cream used to make it. Up to now, however, only few publications exist on the aroma of cream. Haverkamp and co-workers (1964) found (Z)-4-heptenal to be important for the cream flavour. Pionnier and Hugelshofer (Pionnier and Hugelshofer, 2006) analysed cream from different processes (pasteurisation, sterilisation, UHT) and having different fat levels by GC/O. They identified 35 key odorants, such as diacetyl (buttery), 2-pentanone (caramel-like, cream-like), 2-heptanone (dairy-like), 3-
hydroxy-2-butanone (buttery), dimethyl trisulfide (cabbage-like), 2-nonanone (hot milk-like), acetic acid (acidic), furfural (caramel-like), butanoic acid (cheese-like). The aroma of cream is mainly due to the contribution from the aqueous phase of milk and from the fat globule membrane (Badings and Neeter, 1980), while butter aroma is primary derived from the volatile compounds present in the fat fraction.
2.2.1 Sweet cream butter
The key aroma compounds of sweet cream butter (SwCB) were studied by AEDA by Budin and co-workers (Budin and Reineccius, 2001) and by Peterson and Reineccius (2003a). In the first study, lactones, ketones and aldehydes were found to have high aroma dilution factors: δ-decalactone (512), δ-dodecalactone (256), (Z)-6-dodecen-γlactone (128), 1-hexen-3-one (256), 1-octen-3-one (128), (E)-2-nonenal (64), (E,E)2,4-decadienal (64), trans-4,5-epoxy-(E)-2-decenal (64) and (Z)-2-nonenal (32). Interestingly skatole was also found as key odorant of SwCB, showing an aroma dilution factor of 128.
Peterson and Reineccius identified by headspace analysis δ-decalactone, 1-hexen-3one, 1-octen-3-one, (E)- and (Z)-2-nonenal and skatole as potent odorants of SwCB, which is in agreement with the study of Budin and co-workers. Additional aroma compounds were hydrogen sulphide, acetaldehyde, dimethyl sulphide, diacetyl, hexanal, 2-methylbutanal, 3-methylbutanal, butanoic acid, dimethyl trisulphide, hexanoic acid, δ-hexalactone, nonanal, δ-octalactone and γ-dodecalactone. Quantification of key odorants was performed by purge and trap-GC-MS using standard addition. The identified volatile compounds were added, according to their concentrations, to a model system to reconstitute the aroma of SwCB. Nineteen panellists rated the similarity of the aroma of the butter model vs. the fresh butter obtained directly from the manufacturing plant, which was used as reference. The sensory analysis indicated that the butter model was significantly different from the reference, but it was ranked the same in similarity as an unsalted commercial butter.
According to Peterson and Reineccius (2003a), SwCB was characterised by δoctalactone, δ-hexalactone and γ-dodecalactone. In particular, δ-hexalactone and γdodecalactone had creamy and peach-like odours, respectively, but were identified in SwCB only by Peterson and Reineccius. The authors found, additionally, dimethyl sulphide (DMS) and dimethyl trisulphide (DMTS) as key odorants, which have already been detected by GC/O in milk and treated milks (Christensen and Reineccius,1992; Bosset et al., 1994), however not in butter. Day and co-workers (1964) identified DMS in butter already earlier and considered it a desirable component that smoothes the strong flavour of diacetyl.
In a study carried out by Schieberle and co-workers (Schieberle et al., 1993), the overall odour impression of SwCB was evaluated by a trained sensory panel and compared with the odorants of different types of sour cream butter (SoCB). The results showed that the diacetyl concentration is lower without a fermentation process as in SwCB, resulting in an overall mild and sweet odour impression. Odour activity values (OAVs = concentrations of the odorants divided by their odour thresholds) were calculated: diacetyl (<2), δ-decalactone (32), butanoic acid (19), (Z)-6-dodecenγ-lactone (<1), hexanoic acid (<1). Table 2.1 summarises the concentrations, odour thresholds and odour activity values of odour-active compounds found in SwCB by the different authors.
2.2.2 Sour cream butter
Schieberle and co-workers (1993) studied different kinds of butter: sour cream butter (SoCB), Irish SoCB, German farm SoCB and cultured butter and compared them with SwCB. An AEDA of Irish SoCB, showing the most intense odour during a preliminary sensory analysis, revealed 18 odour-active compounds: diacetyl, 1penten-3-one, hexanal, 1-octen-3-one, (Z,Z)-3,6-nonadienal, (E)- and (Z)-2-nonenal, (E,E)-2,4-nonadienal, (E,E)-2,4-decadienal, γ-octalactone, trans-4,5-epoxy-(E)-2decenal, skatole, δ-decalactone, (Z)-6-dodecen-γ-lactone, acetic acid, butanoic acid,
hexanoic acid and an unknown compound with fatty-nutty odour. δ-Decalactone, (Z)6-dodecen-γ-lactone and diacetyl, which had the highest dilution factors (FD) of 4096, 512 and 256, respectively, were quantified by stable isotope dilution assay (SIDA). Butanoic as well as hexanoic acid, which were major compounds in the acidic fraction of the volatiles, were quantified using unlabeled standards. Table 2.1 lists the most important odour-active compounds of SoCB. Sunflower oil was spiked with diacetyl, δ-decalactone and butanoic acid at the same concentrations occurring in cultured butter that was chosen as standard for the most typical butter odour. The results indicated that the sunflower oil containing the three odorants exhibited an aroma note which in quality and intensity was very similar to the odour of the cultured butter.
The higher amounts of diacetyl, δ-decalactone (Z)-6-dodecen-γ-lactone, butanoic and hexanoic acids in SoCB, might result from the lactic acid bacteria, which are added to the cream during production.
Volatile compounds of traditional SoCB, such as Ghee (Wadodkar et al., 2002) and in particular of Smen, a fermented butter produced in Morocco and in other Arab countries, were studied by GC/O (Triqui and Guth, 2001). The results of an AEDA indicates butanoic and hexanoic acid as potent odorants. The primary mechanism of aroma development in this product is lipolysis.
2.2.3 Butter oil
Widder and co-workers (Widder et al., 1991; Widder, 1994a, b) investigated the key odorants of butter oil (BO), using vacuum distillation for the isolation and GC/MS combined with olfactometry for the identification of the volatile compounds. Sixteen potent odorants were identified by AEDA: diacetyl, acetic and butyric acid, 1-hexen3-one, (Z)-3-hexenal, 1-octen-3-one, (Z)-1,5-octadien-3-one, guaiacol, (Z)- and (E)-2nonenal, (E,E)-2,4-decadienal, skatole, 4-hydroxy-3-methoxybenzaldehyde (vanillin), (Z)-6-dodecen-γ-lactone, δ-octalactone and δ-decalactone. Vanillin has been reported by the authors for the first time in BO. The most important aroma compounds with the
highest flavour dilution (FD) factors were 1-octen-3-one (FD=128), (Z)-3-hexenal (64), (Z)-2-nonenal (64), (E)-2-nonenal (32) and (E,E)-2,4-decadienal (32) (Widder et al., 1991).
In the same study, the odour-active compounds of fresh BO were compared with those in BO after 42 days storage at room temperature. The FD factors of the carbonyl compounds formed by lipid peroxidation increased. This topic will be discussed later concerning oxidative off-flavours formed during storage.
Table 2.1 summarises the major odour-active compounds found in BO and describes their odour quality. Concentrations, nasal and retronasal odour thresholds in oil and OAVs of the odour compounds are listed, when available. The odour threshold data vary from author to author (Guth and Grosch, 1990a,b; Preininger and Grosch, 1994; Reiners and Grosch, 1998), especially for (E) and (Z)-2-nonenal, 2-methylbutanal, hexanal and nonanal. The retronasal odour threshold of (E)-2-nonenal, for example, varies from 0.066 (Guth, 1991) to 66 mg/kg oil (Widder, 1994a, b). The chemical structures of selected odour-active compounds of butter and BO are represented in Figure 2.1.
2.3 Odour-active compounds in heated butter
Butter generates potent odorants during heating (Grosch, 1987). Although the volatile composition of heated butter is well known and more than 170 compounds have been identified (Maarse and Visscher, 1996), only few studies have identified and quantified the odour-active compounds responsible for its aroma. Budin and coworkers (2001) studied odorants in heated SwCB using AEDA. The volatile fraction of butter, heated to 105-110 °C for 15 min, was isolated by high vacuum distillation. The odorants with the highest aroma dilution factors were 1-hexen-3-one, 1-octen-3one, (E)-2-nonenal, (Z)-2-nonenal, (E,E)-2,4-decadienal, trans-4,5-epoxy-(E)-2decenal, 2,5-dimethyl-4-hydroxy-3-(2H)-furanone, methional, δ-octalactone, δdecalactone, δ-dodecalactone and skatole. The quantification of 10 odour-active compounds was performed by SIDA and the OAVs were also calculated. The data are shown in Table 2.2. The key aroma compounds of heated butter were compared with those of fresh butter: δ-decalactone, skatole, 1-octen-3-one, (E)- and (Z)-2-nonenal, (E,E)-2,4-decadienal and trans-4,5-epoxy-(E)-2-decenal had higher aroma dilution values in heated butter.
Schieberle and co-workers (1993) determined the sensory threshold of δ-decalactone as 120 μg/kg sunflower oil. It is present in heated butter approximately 50 times above its threshold, which suggests that it is the most important odorant in heated butter (Budin et al., 2001). Due to their OAVs, 1-octen-3-one, methional, 2,5-dimethyl-4hydroxy-3-(2H)-furanone and trans-4,5-epoxy-(E)-2-decenal were found to contribute to heated butter aroma. These results are in general qualitative agreement with those from Dickerson (1996), who found 1-hexen-3-one, 1-octen-3-one, methional, δoctalactone, δ-decalactone, 2,5-dimethyl-4-hydroxy-3-(2H)-furanone, butanoic acid and skatole important for the aroma of heated butter. The quantitative results of Budin, obtained by isotope quantitation, are different from those of Dickerson, who found higher concentrations for 1-hexen-3-one, 2,5-dimethyl-4-hydroxy-3-(2H)-
furanone and δ-octalactone using a sensory panel. Peterson and Reineccius (2003b) studied the key aroma compounds of heated butter, using static headspace analysis, and confirmed methional, (E)-2-nonenal, 1-hexen-3-one, 1-octen-3-one, δ-octalactone, δ-decalactone, 2,5-dimethyl-4-hydroxy-3-(2H)-furanone and skatole as potent odorants. In addition, they found hydrogen sulphide, methanethiol, acetaldehyde, diacetyl, 2-heptanone, dimethyl trisulphide, nonanal, butanoic acid, 3-methylbutanoic acid, δ-hexalactone and hexanoic acid. According to these authors, 3-methylbutanoic acid (cheese-like odour), methional (potato-like), 2,5-dimethyl-4-hydroxy-3-(2H)furanone (caramel-like) and 2-heptanone (blue-cheese) characterise the odour of heated butter. These compounds were not detected in fresh SwCB. On the other hand, odorants such as 2- and 3-methylbutanal, hexanal, γ-dodecalactone and DMS, found in the fresh SwCB, were not detected in heated butter. Ketones and especially lactones, which are present in fresh butter at subthreshold levels (Beers and Zeijden, 1966) show higher concentrations in heated butter and are hypothesised as being part of the pleasant flavour that is associated with many baked products containing butter. The aroma of heated butter as an ingredient in puff pastries was studied by Gassenmeier and Schieberle (1994a) using AEDA. They reported δ-decalactone, (E)2-nonenal, 4-hydroxy-2,5-dimethyl-3-(2H)-furanone, butanoic acid, 3- and 2methylbutanoic acid as the most potent odorants. The key odours of heated butter and their concentration, found in the different studies, are summarised in Table 2.2.
Butanoic acid
Hexanal
Nonanal
Hexanal
Nonanal
2-Methylbutanal
Butanoic acid
2-Methylbutanal
(
E
)-2-Nonenal
2,3-Butanedione
1-Octen-3-one
δ-Decalactone
(
E
)-2-Nonenal
2,3-Butanedione
1-Octen-3-one
δ-Decalactone
5
γ-Dodecalactone
9
(
Z
)-4-Heptenal
(
Z
)-4-Heptenal
13
O
-4,5-Epoxy-(
Trans
E
O
O
)-2-Decenal
6
O
S
Dimethyl sulphide
7
S
S
S
S
S
Dimethyl trisulphide
Dimethyl sulphide
Dimethyl trisulphide
10
(
E,E
(
E,E
)- 2,4-decadienal
14
HO
O
HO
O
2,5-Dimethyl-4-hydroxy-3(
2H
)-furanone
Trans
-4,5-Epoxy-(
E
)-2-Decenal
2,5-Dimethyl-4-hydroxy-3(
2H
)-furanone
16
17
16
17
Fig 2.1 Chemical structures of potent odour-active compounds of butter
11
O
8
N
H
3-Methylindole
12
O
2-Heptanone
15
S
O
Methional
18
O
Table 2.2 Odour-active compounds in Heated Cream Sweet Butter as determined by gas chromatography-olfactometry
aNumbers refer to Fig 2.1
cConcentration determined by SIDA according to Budin et al. (2001)
bConcentration determined by the standard addition method according to Peterson and Reineccius (2003b)
2.4 Butter off-flavours
The desirable and unique aroma of butter depends on a delicate balance of the concentrations of compounds having a low odour threshold Interactions between volatile and non-volatile compounds and the food matrix are also important. Any distortion of this balance by addition or deletion of aroma components can result in an off-flavour (Urbach et al., 1972). The development of off-flavours can go in parallel with loss of the nutritional quality (loss of vitamins, oxidation of unsaturated lipids) and sensory characteristics of butter and can lead consequently to significant economic losses (Azzara and Campbell, 1992).
Therefore, the identification and the origin of off-flavours in butter and butter oil have been the subject of several investigations (Badings, 1970a, b; Swoboda and Peers, 1977a, b; Widder, 1994a) and reviews (Azzara and Campbell, 1992; Grosch et al., 1992). Off-flavours in butter may have different origin and be related to lipid oxidation, lipolysis and microbial growth, occurring during butter manufacturing, packaging and storage. Transmitted off-flavours, caused by the transfer of substances from feed and environment into the butter, will also be discussed.
2.4.1 Oxygen induced off-flavours
Oxidised off-flavours in butter and dairy products have been described as cardboardlike, metallic, oily, fishy, painty and tallowy (Badings, 1960; Collomb and Spahni, 1996). These off-flavours originate from compounds produced during autoxidation of milk fat.
Autoxidation involves the conversion of unsaturated fatty acids, in the presence of oxygen, to hydroperoxides which decompose into various flavourful compounds (Grosch et al., 1992). The autoxidation rate in butter depends on the fatty acid composition (e.g. linoleic acid oxidises 10 times faster than oleic acid), presence of antioxidants (α-tocopherol, ascorbic acid and carotenoids) and pro-oxidants (peroxides and heavy metals). Pro-oxidants, like iron and copper ions, can be naturally present in
butter or originate from the metal equipments used during butter manufacturing. The oxidation rate is also due to external factors, such as oxygen pressure, temperature, light exposure and moisture. The phospholipids that form the fat globule membranes, containing unsaturated fatty acids, are highly susceptible to oxidation. They may come into contact with proxidants such as copper, especially present in the serum phase, because of their position at the fat/water interface (Badings, 1970a,b). In the first phase of the autoxidation, molecular oxygen reacts with unsaturated fatty acids to produce hydroperoxides (primary oxidation products) and free radicals, both of which are very reactive. The primary products of autoxidation are odourless, e.g. linoleic acid hydroperoxides (Belitz et al., 2004). The reactive products of the initiation phase react with additional lipid molecules to form other reactive chemical compounds. The termination phase of the autoxidation leads to the formation of relatively stable compounds such as hydrocarbons, aldehydes and ketones. These compounds are secondary oxidation products and some of them are characterised by an intense odour, which can cause off-flavour at higher concentrations.
Different studies were accomplished about oxidised off-flavours formed in butter during prolonged storage. Badings studied the auto-catalytic oxidation of unsaturated fatty acids that causes flavour defects in butter during cold storage (Badings, 1970a, b). In these studies van der Waarden (1947) is referenced to be the first to present conclusive evidence that cold-storage defects in butter are caused by oxidative degradation of lipid components. Butter samples with "trainy" off-flavour were analysed by Badings who correlated odour thresholds and quantitative data of the potent odorants to explain their contribution to the butter off-flavour. Among the odour compounds present in trainy butter, at concentrations higher than their flavour threshold, there were: hexanal (green), heptanal (oily, putty), (E)-2-nonenal (tallowy, cucumbers), (E,E)-2,4-heptadienal (metallic, fried), (Z)-4-heptenal (creamy, putty), (E,Z)-2,4-decadienal (fried), (E,Z)-2,6-nonadienal (fresh cucumbers), 1-octen-3-ol (metallic) and 1-octen-3-one (mushroom). Badings explained that the precursors of
these compounds are arachidonic, linoleic and especially linolenic acid, which contributes most to the "trainy" flavour of cold-stored butter.
Hexanal, originating from autoxidation of linoleic acid, often predominates in the volatile fraction of oxidised foods (Belitz et al., 2004) and was chosen as an indicator of lipid oxidation in butter during storage (Christensen and Hølmer, 1996). (E)-2Nonenal and 1-octen-3-one easily form by oxidation of linoleic acid (Badings, 1970a). The metallic off-flavour in butter can be explained by 1-octen-3-one and 1,5 (Z)octadien-3-one (Stark and Forss, 1962; Swoboda and Peers, 1977a).
Widder (1994a) studied the off-flavour compound formation in BO by AEDA. This principle proved useful when comparing samples affected by off-notes and samples without odour defects (Schieberle, 1995a). The odour profiles of different samples, stored at 35˚C for 0, 42, 90 and 120 days, respectively, were compared. The results were consistent with the findings of Badings (1970a). The dilution factors of (E)-2nonenal, (Z)-2-nonenal, (Z)-4-heptenal and 1-octen-3-one increased proportionally with the storage period. The amounts of these compounds increased also in the presence of copper ions acting as pro-oxidants. They decreased when antioxidants, such as α- and γ- tocopherol, BHA and BHT were present.
Another AEDA study (Widder, 1991) showed that nine odour-active carbonyl compounds were responsible for off-flavours in BO, stored for 42 days at room temperature. Hexanal, (Z)-3-hexenal, 1-octen-3-one, (Z)-1,5-octadien-3-one, nonanal, (Z)- and (E)-2-nonenal, (E,E)-2,4-nonadienal, (E,E)-2,4-decadienal and in particular, 1-octen-3-one (FD=1024), (E)-2-nonenal (256) and (Z)-1,5-octadiene-3-one (256) showed the highest FD factors.
Ullrich and Grosch (1988) demonstrated that (Z)-1,5-octadiene-3-one originates from linolenic acid. Widder and Grosch (1997) proved the formation of (Z)- and (E)-2nonenal from autoxidised (Z)-9-hexadecenoic acid (palmitoleic acid). Their sensory study of BO led to the conclusion that a mixture of (Z)- and (E)-2-nonenal was
responsible for the cardboard off-flavour (Widder and Grosch, 1994b). The off-note was observed when the OAVs surpassed a value of 0.5 for each of the two nonenals. Further studies with and without antioxidants proved the two nonenals as suitable indicators for the cardboard-like off-flavour of BO.
2.4.2 Light-induced off-flavours
Off-flavour in butter and dairy products exposed to light can be generated by protein degradation, which causes burnt, cabbage and mushroom-like odours and by photoinduced lipid oxidation, yielding cardboard, metallic, tallowy and oily off-notes (Azzara and Campbell, 1992). Photo-oxidation takes place when photo-sensitisers such as riboflavine are activated in foods and react with a substrate like an amino acid or lipid, generating substrate radicals in the so-called photo-oxidation Type I reaction. The sensitiser can also activate oxygen to its singlet state, which then starts a photooxidation type II chain reaction (Belitz et al., 2004).
Methional, from photodecomposition of methionine, is mainly responsible, together with mercaptanes, for the light-activated flavour in dairy products (Bosset et al., 1993).
Grosch and co-workers (1992) studied BO exposed to fluorescent light for 48 h, using AEDA. Under these conditions, BO developed green, strawy and fatty off-notes, which were mainly due to the formation of 3-methylnonane-2,4-dione derived from furan fatty acids, 4,5-epoxy-(E)-2-decenal and high concentrations of (E)-2-nonenal and (E,E)-2,4-decadienal. It is evident that the packaging of butter has a fundamental role in the protection against light and oxygen.
2.4.3 Heating-induced off-flavours
Heating-induced off-flavours have been described in dairy products (Shipe et al., 1978) as cooked, burnt, sulphurous and caramelised. These off-flavours can be formed during pasteurisation at temperatures above 76.7°C (Bodyfelt et al., 1988) or during high temperature treatment leading to a Maillard reaction.
Ellis and Wong (1975) demonstrated that higher levels of lactones in BO are due to increased temperatures at prolonged heating times. Certain lactones can cause an undesirable coconut-like off-flavour (Keeney and Patton, 1956). Lee and co-workers (1991) accomplished a study on SwCB, heated at 100, 150 and 200 °C for 5 h. The highest temperature determined an increase in the number of volatile compounds in butter. In particular aldehydes and ketones increased significantly at 200°C, suggesting that lipid degradation was the major reaction occurring in butter during heating. Heterocyclic compounds including thiazoles, pyrroles and pyridines, were found in butter heated above 150°C. These volatiles contribute significantly to the heated butter flavour because of their low odour thresholds (Shimaboto, 1986). However the long heating period of 5 h used in this study does not compare to usual household or manufacturing processes. Gassenmeier and Schieberle (1994a) found 4,5-epoxy-(E)-2-decenal, having metallic odour, and (E,Z)-2,4-decadienal, which is fat and green smelling, as most important odorants in puff-pastries prepared with butter, baked for 12 min at 180°C. They suggested that both aldehydes arise from peroxidation of linoleic acid during heating. The same authors reported 4,5-epoxy-(E)2-decenal to be formed from 13-hydroxy-9,11-octadecadienoic acid and 9hydroperoxy-10,12-octadecanoic acid, which are precursors isolated from thermally treated fat, such as baking shortening (Gassenmeier and Schieberle, 1994b).
2.4.4 Lipolysis-induced off-flavours
Lipolysed off-flavours, often described as goaty or soapy, are caused by lipoprotein lipases, enzymes naturally present in the skim part of milk. The lipases are normally occluded by protein, e.g. casein micelles, preventing direct contact with the fat globules. When the double layer membrane protecting the fat globule is disrupted, by agitation or churning, lipolysis can take place causing rancid odour notes. These offflavours are mainly due to the increase in free fatty acids (Shipe, 1980a; GonzalesCordova and Vallejo-Cordoba, 2003).
Schieberle and co-workers (1993) analysed a sour cream butter manufactured traditionally in a farm by AEDA. The sample showed a rancid and sweaty odour, which was due to high concentrations of butanoic and hexanoic acids formed by lipolysis. The presence of lipases in butter can also be caused by external microbial contamination.
Apart from the development of off-flavour compounds, lipolysis can also reduce the churning efficiency of cream (Allen, 1994). A pasteurisation process of at least 76.7˚C for 16 s is in general sufficient to prevent the lipolysis-induced off-flavour (Shipe, 1980b).
2.4.5 Microbial off-flavours
Microbial off-flavours in butter are the results of metabolites produced by microrganisms in the raw milk, prior to pasteurisation, or due to successive contaminations, occurring during manufacturing and storage.
Musty off-flavour in cream or butter is often due to 2-methoxy-3-alkylpyrazine produced by Pseudomonas taetroleus, which is a psychrotrophic strain (Morgan, 1976). Malty off-flavour is occasionally found in butter caused by the production of 3methylbutanal and 2-methylbutanal by Lactococcus lactis var. maltigenes (Morgan, 1970). The presence of yeasty off-flavour in butter is the evidence that inferior microbiological quality cream was used (Azzara and Campbell, 1992).
The pasteurisation destroys bacteria responsible for microbial off-flavour, nevertheless heat- resistant bacteria lipases may remain active producing off-flavours (Azzara and Campbell, 1992). In butter, the microbiological development is generally limited, due to the presence of a strongly dispersed water phase (Jensen, 1983) and low storage temperature. The microbial-related off-flavours can be prevented by the use of good-quality sweet cream with proper sanitation during storage and processing (Azzara and Campbell, 1992).
2.4.6 Taint off-flavours
These off-flavours can be carried over into the butter from the environment, via the milk (Shipe et al., 1962) or directly by external flavour absorption (Azzara and Campbell, 1992).
Off-flavours in dairy products originating from animal feeding can cause serious aroma defects. Among the feeds that are known to transfer off-flavours to milk products are fermented silage, musty hay or silage (Bandler et al., 1976) and alfalfa. They contain (E)-2-hexenal, (E)-3-hexenals and (E)-3-hexenols (Morgan and Periera, 1962) which impart a green flavour to dairy products.
Butter tainted by the cruciferous weed Coronopus didymus L. in feedstock is reported to contain sulphur compounds, such as benzylmethyl sulphide, benzyl sulphide, benzyl isothiocyanate, benzyl cyanide, indole and skatole. In particular, benzylmethyl sulphide and benzyl sulphide were considered the principal contributors to the weed off-flavour (Forss, 1971).
3. Storage stability of UFA/CLA enriched and conventional butter ∗
The oxidative stability of UFA/CLA enriched butter was evaluated by chemical, sensory and microbiological analyses during eight weeks of storage at 6 °C and compared to that of conventional butter. The odour-active compounds were analysed by gas chromatography mass spectrometry combined with olfactometry, using solid phase microextraction. Olfactometric analysis showed that both, fresh UFA/CLA butter and fresh conventional butter had similar aroma profiles. After 6-8 weeks of storage, UFA/CLA butter showed stronger fatty (butanoic and 3-methyl-butanoic acid), metallic [(E,E)-2,4-nonadienal], green [(E)-2-hexenol] and creamy (2pentanone) notes compared to the conventional samples. A sensory panel described the two fresh butter types as having a similar sensory profile, except for a stronger creamy aroma, a less intense cooked milk aroma and a significantly higher spreadability of the UFA/CLA butters. Sensory descriptive analysis showed also that both butter types aged in a very similar way, with an increase in rancid and oxidized notes.
∗ This chapter has been published as:
Mallia, S., Piccinali, P., Rehberger, B., Badertscher, R., Escher, F., Schlichtherle-Cerny, H. (2008). Determination of storage stability of butter enriched with unsaturated fatty acids/conjugated linoleic acids (UFA/CLA) using instrumental and sensory methods. International Dairy Journal 18, 983-993.
3.1 Introduction
Recent studies have focused on increasing the amount of unsaturated fatty acids (UFA) and, in particular, of conjugated linoleic acids (CLA) in milk and dairy products (AbuGhazaleh et al., 2002; Jones et al., 2005; Collomb et al., 2006) since they are claimed to have beneficial effects on human health. Milk fat naturally contains UFA in the range of 25% to 35% depending upon feeding regimen, season, breed and period of lactation. More than 95% of UFA in milk fat is in form of oleic acid (21–30% of total fat), linoleic acid (2–2.5%) and α-linolenic acid (1–1.3%) (Collomb et al., 2000a). The concentration of CLA, which is a mixture of different isomers of linoleic acid, can vary within a broad range. Precht and Molkentin (1999) reported average CLA concentrations in milk fat between 0.45 g/100 g in winter to 1.20 g/100 g in summer. Similar variation in CLA contents was found in butter by Ledoux and co-workers (2005), who indicated total CLA levels varying from 0.45 g/100 g fat in winter to 0.80 g/100 g fat in summer. The CLA contents in milk fat of pasture-fed cows can be two to five times higher than that of cows given total mixed rations (1.09 versus 0.46 g g/100 g milk fat: Kelly et al., 1998; 2.21 versus 0.39 g/100 g milk fat: Dhiman et al., 1999). Collomb and co-workers (2002) found especially high CLA values in milk from mountain pasture, varying from 1.90 to 2.80 g/100 g. An enrichment of UFA and CLA in milk fat can also be achieved by supplementing the animal diet with rapeseeds, sunflower seeds and linseeds (Collomb et al., 2004a, b; Ryhänen et al., 2005), or with free oils, such as soybean, linseed and fish oils (AbuGhazaleh et al., 2004). Collomb and co-workers (2004b) showed that the concentrations of oleic (C18:1), linoleic (C18:2) and α-linolenic (C18:3) acid and CLA isomers in milk depend upon the fat source fed to the cows. In particular, when the daily intake of linoleic acid in the cows' diet increased from 281 to 375 g, due to a supplement with sunflower seeds, the total CLA content increased by a factor of two (from 0.87 to 1.79 g/100 g fat). A dietary supplementation with sunflower seeds led to the highest content of the cis-9, trans-11 CLA isomer, which is considered a very health promoting fatty acid (FA). It represents 75% to 90% of the total CLA
concentration in milk fat (Baumann et al., 2003) and was reported to show anticarcinogenic (Ha et al., 1990; Ip et al., 1991; Parodi, 1994; Ip et al., 1999), body fat reducing (Pariza et al., 1996) and growth-promoting (Chin et al., 1994) properties.
The enrichment of milk fat with UFA and CLA confers higher nutritional value to dairy products. On the other hand, these components are susceptible to autoxidation and can negatively affect the flavour and other sensory characteristics of dairy products. In fact, the oxidation of UFA may lead to the formation of secondary oxidation products, such as hydrocarbons, aldehydes and ketones, causing off-flavours and consequently, shorter shelf life of dairy products. The autoxidation of the lipids in dairy products and the resulting off-flavours have been comprehensively studied (Badings, 1970; Swoboda and Peers, 1977a, b; Widder et al., 1991). Badings (1970) identified hexanal (green), heptanal (oily), (E)-2-nonenal (cucumber-like), (E,E)-2,4heptadienal (metallic), 1-octen-3-one (mushroom-like) as off-flavour compounds in cold stored butter and suggested linoleic, linolenic and arachidonic acids as precursors of these aroma compounds. On the other hand, the autoxidation patterns of CLA are still not well known and only few studies indicate the secondary products of CLA autoxidation (Yurawecz et al., 1995; Eulitz et al., 1999). Cis-9, trans-11 CLA methyl ester, exposed to oxygen and ambient light for 8 days, generated volatile compounds, such as heptanal, 2-heptenal and 2-nonenal (Yurawecz et al., 2003). Several studies on the oxidative stability of milk, cheese and butter enriched in CLA, showed no significant differences in flavour and sensory characteristics between CLA-enriched and conventional products (Avramis et al., 2003; Lynch et al., 2005; Ryhänen et al., 2005). On the other hand, a study about the sensory characteristics of milk, which was directly fortified with commercially available CLA, containing equal amounts of cis9, trans-11 CLA and trans-10, cis-12 CLA, presented a "grassy/vegetable oil" flavour (Campbell et al., 2003). Consumer evaluation indicated this CLA-enriched milk as less acceptable than milk without CLA addition.
Diss. ETH No. 18020
The objective of the present study was to assess the opportunity for producing enriched UFA/CLA butter, which may have a higher nutritional value and in addition, enhanced physical characteristics, such as reduced hardness and improved spreadability. For this reason, sweet cream butter enriched with UFA/CLA was produced by supplementing the cows' diet with sunflower seeds. The oxidative stability of UFA/CLA butter was compared to that of conventional butter, obtained by feeding cows a conventional diet based on pasture and corn silage.
Instrumental and sensory analyses were applied to UFA/CLA enriched butter and to conventional butter during 8 weeks of storage at 6 °C. Eight weeks of storage corresponds to double the usual shelf-life indicated on the label by Swiss butter manufacturers. The odour-active compounds were analyzed by gas chromatography mass spectrometry coupled with olfactometry (GC/MS/O), and a sensory panel evaluated spreadability, orthonasal odour and flavour. To our knowledge, this is the first study employing GC/O to evaluate odour-active compounds in CLA-enriched foods.
3.2 Materials and methods
3.2.1 Butter samples and design of storage tests
Both, UFA/CLA enriched butter and conventional butter were produced in May and September 2006. Two groups of Holstein cows (10 for each group), of a similar stage of lactation, were fed different diets to obtain milk with diverse UFA/CLA content. One group grazed on pasture and consumed on average 1.8 kg dry matter (DM)/day per cow of a sunflower seed mixture. The control group grazed on the same plot and additionally received an average of 5.7 kg DM/day per cow of corn silage in the stable. The milk was collected separately after 12 days from the two groups (300 L each) during two days to produce UFA/CLA enriched butter and conventional butter. The two butter types were produced under the same conditions. Raw milk was preheated at 45 °C in the pilot plant and then centrifuged. Cream (30 L) containing
35% fat, was produced from both types of milk. The cream was pasteurized in a batch heated up to 80 °C. When a temperature of 80 °C was reached, the cream was immediately cooled down with cold water and then stored at 5 °C for 24 h to allow fat crystallization. The cream was churned using an electric 100 L churn (KasagFlückiger AG, Langnau, Switzerland) at 40 rpm and at 12 °C. The butter kernels formed after 40 min. Buttermilk was separated, cooled and used to wash the butter. The granules of butter were pressed and worked by hand to remove excess buttermilk. Sweet cream butter (10 kg) was produced, for each kind of milk, wrapped in aluminium foil in pieces of 100 g and stored in the dark at 6 °C for 8 weeks. Part of the butter was also stored deep frozen for 2 and 6 weeks at –20 °C and used as a reference. Microbiological analyses were carried out on fresh butter and after 6 weeks of storage at 6 °C. Moisture, non-fat solids, fat, iron and copper content were determined in the fresh samples. Vitamin A (retinol) and vitamin E (α-tocopherol) were quantified in fresh butter and after 6 weeks of storage at 6 °C; the fatty acids composition was determined in fresh samples and after 8 weeks of storage at 6 °C; the volatile composition analyses were carried out in fresh samples and in butter stored at 6 °C for 1, 2, 4, 6 or 8 weeks. Additionally, frozen samples (–20 °C) were analysed by GC/MS/O after 2 and 6 weeks. Sensory testing was performed with refrigerated and frozen samples after 1, 2, 4, 6 or 8 weeks of storage.
3.2.2 Microbiological analyses
Microbiological parameters were determined using standard procedures. Enumeration of aerobic mesophile microorganisms was performed with plate count agar incubated for 72 h at 30 °C. Lipolytic bacteria were counted on Victoria blue butter fat agar incubated for 72 h at 30 °C. Victoria blue butterfat agar consisted of 5 g/L meat extract (Oxoid, Pratteln, Switzerland), 5 g/L bacto-peptone (BD, Basel, Switzerland), 12 g/L agar-agar (Oxoid), 5 % butterfat and 0.004 % Victoria blue B (Fluka, Buchs, Switzerland).
3.2.3 Determination of moisture, non-fat solids and fat contents
Moisture, non-fat solids and fat contents were determined according to reference procedures (IDF 80/ISO 3727, 2002). The repeatability of the determinations is shown in Table 3 and was calculated from 35 duplicate determinations in accordance with ISO 5725-2 (ISO, 1994).
3.2.4 Determination of retinol and α-tocopherol
Butter samples (7 g) were mixed with deionized water at 40 °C. Potassium hydroxide (7 g), 50 mL ethanol and a pinch of hydroquinone were added, and the solution was placed in a boiling water bath for saponification over 30 min. The aqueous phase was extracted three times with petrol ether and washed with deionized water. The organic phase was dried with sodium sulphate. The solvent was evaporated using a Rotavapor (Büchi, Flawil, Switzerland) until dry and the extract was re-dissolved in methanol. Aliquots were injected into an HPLC series 1100 system (Agilent Technologies, Santa Clara, CA, USA). Samples were quantified using external standards of retinol and αtocopherol. The repeatability of retinol and α-tocopherol determinations was calculated by four duplicate analyses of butter samples as shown in Table 3.1.
Table 3.1: Chemical composition of UFA/CLA a enriched and conventional butter. The results are expressed as absolute values and also reported as relative to dry mass.
aUnsaturated fatty acids/conjugated linoleic acid
cRepeatability reported relative to dry mass and calculated by error propagation
bRepeatability reported relative to absolute values and calculated according to ISO 5725-2 (ISO, 1994)
3.2.5 Determination of copper and iron
For copper determination, 4 g of homogenized butter were placed in an open quartzglass vessel to allow decomposition of organic matter by wet digestion with 3 mL of nitric acid (purity > 65%, Merck, Darmstadt, Germany). The sample was melted at 45 °C in a water bath and then mixed with 4 mL hexane (Merck). The upper fat phase was removed by aspiration using a vacuum pump and the sample was heated at 75 °C in the water bath to evaporate the rest of hexane. Nitric acid (2 mL) was added and a pressurized mineralization was carried out at 170 °C for 4 h in a closed polytetrafluoroethylene (PTFE) vessel. After cooling, the samples were analysed by graphite furnace atom absorption spectrometry with Zeeman background correction by Perkin-Elmer AAanalyst 600 (Perkin-Elmer Life and Analytical Sciences, Inc., Waltham, MA, USA) using the following conditions: wavelength 324.8 nm, pretreatment temperature 1200 °C, atomisation at 1900 °C for 5 s. A calibration curve was obtained measuring different dilutions of a Titrisol copper solution (1 g Cu/L; Merck).
For iron determination, 0.3 g of homogenized butter was placed in a PTFE vessel and mixed with 5 mL of nitric acid. A pressurized mineralization was carried out at 150 °C for 2 h. After cooling, the samples were analyzed by graphite furnace atom absorption spectrometry Perkin-Elmer AAanalyst 600, using the following conditions: wavelength 348.3 nm, pre-treatment temperature 1400 °C, atomisation at 2100 °C for 3 s. A calibration curve was obtained measuring different dilutions of a Titrisol iron solution (1 g Fe/L; Merck). The repeatability of copper and iron determinations, indicated in Table 3.1, was calculated by 80 and nine duplicate analyses of butter samples, respectively.
3.2.6 Analysis of fatty acid composition: short chain fatty acids, UFA and CLAisomers
The butter was dissolved in hexane and the glycerides were trans-esterified to the corresponding fatty acid methyl esters by a solution of potassium hydroxide in methanol (Standard 15885, ISO, 1997). The fatty acids were separated and quantified by GC as described by Collomb and Bühler (2000b). Isomers of CLA were analysed and quantified by Ag+ -HPLC according to Collomb et al. (2004a). The repeatability of the fatty acid determination was below 0.49 g/kg for all fatty acids except for C4 (0.65 g/kg), C14 (0.77 g/kg), C16 (1.89 g/kg), C18 (0.66 g/ kg) and C18:1c9 (1.34 g/kg) as determined by 35 duplicate analyses of butter. The repeatability of the CLA isomers was below 0.15 g/kg as determined by 35 duplicate analyses of butter.
3.2.7 Extraction and analysis of the odour-active compounds by GC/MS/O
Samples of butter (9 g) were placed in a 20 mL headspace (HS) vial sealed with a Teflon-lined silicone rubber septum. The HS-solid phase microextraction (SPME) analysis was carried out using a Combi PAL Autosampler (CTC Analytics, Zwingen,
Switzerland) and a 2 cm Divinylbenzene/Carboxen/Polydimethylsiloxane fibre (DVB/CAR/PDMS, Supelco, Bellefonte, PA, USA). The volatile compounds of butter were allowed to equilibrate for 45 min at 45 °C, then were adsorbed on the fibre for 45 min at 45 °C. An Agilent 5890 Series II gas chromatograph (Agilent Technologies), equipped with an HP-5MS column, 30 m x 0.25 mm x 0.25 μm (Agilent Technologies), was used for the analysis with simultaneous flame ionization detection (FID), mass selective detector (MSD; HP 5971A) and olfactometric detector (Sniffer 9000 system, Brechbühler, Schlieren, Switzerland). The three detectors were mounted in parallel by splitting the flow at the end of the capillary column into three streams.
The MSD operated in the scan mode at 2.9 scans s-1 (m/z 29-350) at 70 eV. The GC/O analyses were carried out by two trained sniffers, who described the odours perceived in the effluent at the sniffing port. The oven temperature was programmed at 35 °C for 5 min then increased by 5 °C/min to 240 °C. Helium was used as the carrier gas at a constant flow of 2.4 mL/min. The analyses were conducted in duplicate. The repeatability of the method, including extraction, injection, separation and detection, was tested by analyzing the same butter sample in triplicate. The coefficients of variation (CV %) ranged from 2.25 to 8.96 % using the same fibre unit.
Identification of the volatile compounds was based on a comparison of the mass spectra with the Wiley 138.L mass spectra library (John Wiley and Sons, Inc., Hoboken, NJ, USA), linear retention indices (LRI) and odour perception with authentic reference compounds. Linear retention indices were calculated by running a C5 to C20 n-alkane series under the same working conditions. The LRI were also compared with published data.
3.2.8 Sensory analysis
Development of methodology
Ten trained panellists of the internal panel of the Agroscope Liebefeld-Posieux (ALP) Research Station participated in the sensory study. They were selected based on their experience in milk product profiling and on their availability to participate in testing sessions over a period of 8 weeks. Training sessions were performed with butter samples from the market to familiarize the judges with the products, to develop a preliminary list of sensory attributes and to establish a testing procedure. In order to obtain a vocabulary including terms that describe possible off-flavours, one part of the market samples were previously artificially oxidized by exposure to fluorescence light (Philips TL40W/33RS, 2000 lx uniformly at the butter surface) for 6 h at 6 °C.
This preliminary work led to a standardized sensory language for the description of oxidative changes in butter during storage. Eleven attributes, listed in Table 3.2, were defined and divided into three categories: odour (orthonasal perception), texture (spreadability) and flavour (intended as taste and retronasal odour perception in this study). Each attribute was provided with a quantitative reference for concept alignment. As for the testing procedure, the panellists were instructed to evaluate the odour intensity of the samples first. Then, they were asked to determine the spreadability by spreading 1/3 of 10 g of butter on a filter paper. Finally, they assessed the flavour intensity during sample melting in the mouth. For this last part, an amount of butter the size of a cherry stone was used. After the evaluation, judges were asked to expectorate the sample and to rinse the mouth with a mild black tea. Black tea was chosen for rinsing the mouth between samples evaluation, since previous studies performed at ALP (unpublished work) on palate cleanser for cheese and butter indicated that it could best rinse the palate from the fat.
Sensory sample description during storage
The UFA/CLA enriched butter and the conventional butter samples (both refrigerated and frozen), manufactured in May 2006, were described using the descriptive analysis technique (Stone and Sidel, 2004). During two training sessions, the standardized language, developed in the preliminary phase, was checked for completeness. Moreover, the panel was further familiarized with the testing procedure. For formal testing, samples were presented simultaneously in randomized order in 3-digit coded Petri dishes at a temperature of 14 ± 2 °C. The intensity of attributes was assessed on 10-point unstructured intensity scales anchored on the left with "not" and on the right with "very". A mild black tea (0.6 g tea leaves/L water, 50-52 °C) and untoasted white toast bread without crust were served to neutralize the palate between samples. The testing sessions were conducted in separate booths under normal light conditions. All the panellists evaluated each sample twice, corresponding to 1, 2, 4, 6 or 8 weeks of storage at 6 °C and at -20 °C.
Table 3.2: Standardised sensory attributes for the description of oxidative changes in butter during storage.
3.2.9 Statistics
Analysis of variance (ANOVA) was carried out for fatty acids and CLA isomers, considering butter type and storage as main effects. Twenty-seven volatile compounds, listed in Table 3.3, were selected on the basis of GC/MS detection, to carry out an ANOVA using absolute MS responses (arbitrary units) and considering butter type (UFA/CLA enriched and conventional), storage time and period of production (May and September) as factors. All the volatile compounds considered were also perceived by GC/O, except hexane and 2-butanone.
Three-way analysis of variance was performed with the sensory data on the main factors of butter type, storage time and storage conditions (refrigerated and frozen) with interactions by attribute. Differences among 1-week old samples were assessed with three-way analysis of variance on factors sample, judge and replications with interactions. Significant differences between the samples were established using Fisher's LSD at the 5 % level.
A regression analysis (GLM, General Linear Model) was performed using selected GC/MS/O data and sensory data. For the GC/MS/O data the same compounds were taken as for the ANOVA analysis (Table 3.3). For the sensory data the mean values of odour and flavour intensities for the attributes creamy, cooked milk, rancid and oxidized-metallic were considered. Systat for Windows version 11 (Systat Software, Inc., San Jose, CA, USA) was used for the statistical analyses.
3.3 Results and discussion
3.3.1 Microbial status of fresh and stored butter
The results of the microbiological analyses are shown in Table 3.4. These parameters indicated a good microbiological quality of the fresh manufactured samples. After 6 weeks of storage at 6 °C, mesophilic microrganisms and lipolytic bacteria were significantly higher in UFA/CLA butter than in conventional samples. This could be
due to the slightly higher moisture content of UFA/CLA butter, as indicated in Table 3.1. Nevertheless, these samples conformed to the microbiological quality parameters defined by the Swiss Federal hygiene regulation (SR 817.051, 2004).
3.3.2 Overall chemical composition of fresh and stored butter
The chemical composition of fresh UFA/CLA enriched butter and conventional butter is shown in Table 3.1. The fat content of UFA/CLA butter was lower than in conventional butter, especially in butter produced in September. A decrease of the fat content in milk and dairy products was also observed by other authors when sources of UFAs, especially linoleic acid, were supplemented with the diet of dairy cows (Chilliard et al., 2001; AbuGhazaleh et al., 2004). Banks et al. (1990) associated the fat decrease in milk enriched with UFA with an increase in trans-C18:1 FA. The amount of trans-FA present in the mammary gland influences the amount and type of FA produced. However, the fat decrease mechanism by trans-C18:1 is not yet known (AbuGhazaleh et al., 2003). α-Tocopherol and iron contents were significantly higher in UFA/CLA butter. The results showed that retinol and copper were also higher in UFA/CLA samples but the difference was not significant. The higher content of these components in the enriched butters is probably related to the cows' feed supplemented with sunflowers seeds, which contain carotenoids, vitamin E, copper and iron (Souci et al., 2000; Sauvant et al., 2004). All these parameters remained constant during storage, except α-tocopherol which was significantly lower, in both butter types, after 6 weeks of storage.
3.3.3 Fatty acid composition of fresh and stored butter
The UFA/CLA enriched butter and conventional butter had a significantly different FA composition. Table 3.5 shows the FA composition of fresh butter and in butter after 8 weeks of storage at 6°C. Compared to conventional butter, the UFA/CLA enriched butter had significantly higher concentrations of monounsaturated FA (MUFA) (+30%), polyunsaturated FA (PUFA) (+33%), including CLA (+60%), C18:1 trans FA (+44%), C18:2 trans FA without CLA (+31%) and omega-6 FA
(+31%). Storage of butter significantly reduced C18:1 trans 9 and C18:1 trans 12, the other FA were not influenced by the storage of butter.
The concentrations of the CLA isomers in UFA/CLA enriched butter and in conventional butter are shown in Table 3.6. The CLA isomers cis 9, trans 11 and trans 7, cis 9 were significantly higher in UFA/CLA enriched butter. The concentration of the most important CLA (cis 9, trans 11-CLA) amounted to about 88% of the total CLAs. The CLAs were very stable during the storage period. These results are in agreement with previous studies on oxidative stability of CLA enriched dairy products during storage (Campbell et al., 2003; Lynch et al., 2005; Ryhänen et al., 2005).
Table 3.3: Significant effects in the ANOVA on the volatile composition of UFA/CLA enriched and conventional butter.
a
| Compoundb | LRIc | | |
|---|---|---|---|
| | | Butter type | Storagee |
| Fatty acids | | | |
| Propanoic acid | 678 | *** | *** |
| Acetic acid | 723 | * | *** |
| Butanoic acid | 791 | *** | *** |
| 3-Methyl butanoic acid | 863 | *** | *** |
| Hexanoic acid | 986 | *** | *** |
| Alcohols | | | |
| Ethanol | 470 | *** | *** |
| 1-Butanol | 667 | NS | NS |
| 2-Methyl-1-butanol | 754 | NS | *** |
| 1-Hexanol | 870 | ** | *** |
| Aldehydes | | | |
| 3-Methylbutanal | 652 | ** | *** |
| Pentanal | 700 | *** | *** |
| Hexanal | 803 | NS | * |
| Heptanal | 907 | *** | *** |
| Nonanal | 1114 | * | *** |
| Ester | | | |
| Hexanoic acid methyl ester | 927 | NS | *** |
| Hydrocarbons | | | |
| 2-Methylpentane | 570 | NS | *** |
| Hexane | 610 | NS | *** |
| Toluene | 772 | *** | *** |
| (E)-2-Octene | 806 | *** | *** |
| Ketones | | | |
| 2-Propanone | 522 | *** | *** |
| 2,3-Butanedione | 596 | ** | *** |
| 2-Butanone | 607 | *** | *** |
| 2-Pentanone | 687 | *** | *** |
| 2-Heptanone | 892 | NS | *** |
| 2-Nonanone | 1090 | *** | *** |
| 2-Undecanone | 1295 | *** | *** |
| Lactone | | | |
| δ-Hexalactone | 1095 | *** | *** |
b Compound selected by higher peak area found by gas chromatography/mass spectrometry
a Unsaturated fatty acids/conjugated linoleic acid
c LRI, linear retention index using DB-5MS column
e 1 to 8 weeks of storage at 6°C
d NS, not significant; *P<0.05; **P<0.01; ***P<0.001
Table 3.4: Microbiological parameters of UFA/CLA a enriched and conventional butter (fresh and after 6 weeks of storage at 6°C).
a Unsaturated fatty acids/conjugated linoleic acid
3.3.4 Influence of storage on odour-active compounds in UFA/CLA enriched and conventional butter
In total 68 odour-active compounds were identified in the various butter types. The number of perceived compounds increased during storage, particularly in UFA/CLA enriched butter, indicating the development of secondary products from lipid oxidation.
Table 3.7 summarises the odour-active compounds found in UFA/CLA enriched and conventional butter during 8 weeks of storage at 6 °C. The odour profiles of fresh butter and butter after 1 and 2 weeks of storage were practically identical and, for this reason, they are both qualified as "fresh butter" in Table 3.7. The fresh UFA/CLA butter and the fresh conventional butter had a very similar odour profile, characterized by creamy (2,3-butanedione), milky (2-nonanone), fatty (2-methyl-1-butanol), soapy (2-heptanone and nonanal) and sulphury (dimethyl disulphide) notes. The compounds 2,3-butanedione, 2-methyl-1-butanol and dimethyl disulphide were perceived with higher intensity only in the fresh butter. The amount of 2,3-butanedione probably decreases by reduction to acetoin and further to 2-butanone and 2-butanol (Mallia et al., 2005). Dimethyl disulphide also disappeared during storage. Similar findings were observed by Shooter et al. (1999). Enriched and conventional butters kept for 2 and 6 weeks at –20 °C were also analyzed by GC/O and compared with the samples stored 2
and 6 weeks at 6 °C. Samples kept at –20 °C showed an odour profile identical to the one of fresh butter.
After 6-8 weeks of storage, UFA/CLA enriched butter was characterized by cheesy and fatty notes, mainly due to butanoic and 3-methyl-butanoic acid, by fruity and green odours, probably originating from ethanol, (E)-2-hexenol, heptanal and nonanal, and by creamy and milky notes, due to 2-pentanone, 2,3-pentanedione, 2-heptanone, 2-nonanone and 2-undecanone. Esters, like butanoic acid methyl ester and acetic acid 2-phenylethyl ester with fruity notes, were found only after 6 weeks of storage and mostly in UFA/CLA samples. A metallic smell, attributed to (E,E)-2,4-nonadienal and trans-4,5-epoxy-2-decenal, was intensively perceived in the UFA/CLA enriched butter. (E,E)-2,4-Nonadienal was already described as "fatty" in butter oil stored for 42 days in the dark and at room temperature (Widder, 1994a). Trans-4,5-epoxy-2decenal was found as an important odour-active compound in puff-pastries prepared with butter (Gassenmeier and Schieberle, 1994a). Both aldehydes arise from the autoxidation of linoleic acid (Widder, 1994a). Interestingly, two unknown compounds (RI= 918 and 1591), with chemical and fatty odours, were detected by the sniffers only in the UFA/CLA enriched butter.
The ANOVA carried out on 27 volatile compounds, of which 25 were odour-active, showed significant effects concerning butter type, storage time and period of production (Table 3.3). The effect most influencing the results was the storage period (1 to 8 weeks at 6 °C) regarding 26 volatile compounds. After 6 weeks of storage, propanoic, butanoic and 3-methyl-butanoic acids, ethanol, pentanal, hexanal, heptanal, nonanal, and hexanoic acid methyl ester significantly increased in UFA/CLA butter, as well as hexane, 2-propanone, 2-butanone and 2-heptanone. Only 2-octene was significantly higher in conventional butter after 6 weeks of storage.
The period of production (May and September) also affected the volatile composition of butter. Both 1-hexanol (soapy) and 2-methyl-pentane (chemical) were found only in butter produced in May, whereas (E)-2-octene (mushroom-like) and 2-butanone were
found in butter manufactured in September. These differences may be due to the seasonal variation, resulting in a different chemical butter composition and flavour formation.
Twenty odour compounds were found at significantly higher concentrations in UFA/CLA butter; among these, butanoic and hexanoic acids, 2-pentanone, 2nonanone, 2-undecanone, pentanal, heptanal, toluene and (E)-2-octene. The more elevated intensities of aldehydes, ketones and hydrocarbons in UFA/CLA enriched butter indicated a higher oxidation rate in these samples. Figure 3.1 shows heptanal as an example for the increase in signal intensity of the volatile aldehydes in UFA/CLA enriched butter during storage, in comparison to conventional samples. Hexanal, a reported indicator of lipid oxidation in food (Christensen and Hølmer, 1996), was surprisingly not significantly higher in UFA/CLA butter compared to conventional butter. The compound 3-methylbutanal was the only one significantly higher in the conventional butter, perhaps already present in milk.
The increase of aldehydes, ketones and hydrocarbons after refrigerated storage is also reported by other authors. Christensen and Hølmer (1996) indicated an increase of these compounds after 14 weeks of storage at 4°C in cultured butter containing 1-2% sodium chloride. A recent study (Lozano et al., 2007) showed an increase of ethyl acetate, hexanal, 2-heptanone, butanoic acid and lactones after 6 months of storage at 4 °C in salted butter. The increase of aroma compounds observed after the varied periods of storage might be due to the diverse types of butter analyzed in these studies: sweet cream, cultured, salted or unsalted butter.
3.3.5 Influence of storage on sensory properties of UFA/CLA enriched and conventional butter
The fresh (1-week old) UFA/CLA enriched butter showed a significantly higher creamy aroma and a less intense cooked milk aroma than the fresh conventional butter (Figure 3.2). No significant differences were found regarding the odour of the samples, with the attributes of creamy and cooked milk odour showing medium intensities. The attributes of rancid odour/aroma and oxidized odour/aroma were of very low intensity in the fresh samples. The UFA/CLA enriched butter was significantly more easily spreadable than the conventional one. This is in line with the findings from Ryhänen and co-workers (2005). In their study, differences in spreadability between CLA enriched butter and control butter were observed and were explained by a softer texture of the CLA enriched butter, due to the unsaturated fatty acids present.
During the eight weeks of storage, the UFA/CLA enriched butter and the conventional one aged in a very similar way. In fact, the results from ANOVA showed that most of the significant effects were related to aging and not to storage conditions or butter type. Storage time had a significant impact on the rancid and oxidised odour and on all flavour parameters. Rancid odour/aroma and oxidized odour/aroma significantly increased during storage in both UFA/CLA and conventional butter. The rise of the oxidized/rancid notes is in agreement with the GC/O findings. Compared to results from Krause et al. (2008) and Lozano et al. (2007), who observed the development of a "refrigerator/stale" flavour in butter only after six months of storage at 4-5 °C, in the present study the development of off-flavours was observed after a shorter period of time. Differences may be explained by the different butter types, manufacturing, sample sizes (bulk or sticks) and packaging.
The cooked milk aroma significantly decreased over time until six weeks of storage. A decrease of cooked aroma during storage was also observed by Lozano et al. (2007), who attributed this fact to a decrease of sulphur compounds during storage. Their observations agree with the GC/MS/O findings of the present study, which indicated a decrease of dimethyl disulphide and dimethyl trisulphide after 2 and 4 weeks of storage, respectively. However, the cooked milk aroma intensities increased after 8
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weeks and its intensity in the UFA/CLA butter was similar compared with the beginning of the test. This result may be explained by the presence of distinct rancid and oxidized notes, which could have influenced the evaluation of the cooked milk parameter.
Sweetness also significantly decreased during storage. The changes in sourness are difficult to interpret because this was lower in the first two weeks, increasing in the following weeks and decreasing again towards the end of the testing period. Figure 3.3 shows the sensory profile of UFA/CLA and conventional samples after 8 weeks of storage at 6 °C.
The storage conditions (refrigeration or freezing) only significantly influenced the rancid odour, which was significantly more intense in the refrigerated samples than in the frozen ones. In a storage study performed on commercial salted sweet cream butter, Lozano and co-workers (Lozano et al., 2007) reported a more pronounced increase of a "refrigerator/stale" flavour in the refrigerated samples than in frozen ones. In the present study, significant differences were observed for the rancid odour only, and not for the rancid flavour. However, the periods of storage also differ considerably between the study of Lozano et al. (2007), Krause et al (2008) and the present one. Finally, the butter type was found to significantly impact spreadability and creamy aroma. Spreadability and creamy aroma were always higher in the UFA/CLA enriched butter than in the conventional one.
No direct correlation was found between GC/MS/O data and sensory analyses. The technique of GC/MS/O evaluates the odorants individually after GC separation, whereas during sensory analysis the odour-active compounds affect and interact with each other as well as with the matrix. In the literature there are examples of the differences between odours of foods perceived by GC/O and by sensory analysis. For example, methional, showing a boiled potato-like odour, was found as an important odorant in French fries by aroma extraction dilution analysis (AEDA), whereas a sensory panel rated methional as not affecting its flavour by omission tests (Wagner and Grosch, 1998).
A highly significant correlation (P<0.001), however, was found between the "oxidized odour" sensory attribute and the peak intensity of hexane (r2 = 0.80). Hexane was not perceived by GC/O, probably due to its high odour threshold (Amoore and Hatala,1983). However, hexane could be used as an easily measurable marker of lipid oxidation, which confirms the findings of Christensen and Hølmer (1996).
3.4 Conclusions
Among the diverse analyses carried out on UFA/CLA enriched and conventional butter, GC/MS/O was found to be a suitable and sensitive method to detect the differences of aroma profiles between the two samples. In fact, this technique allows the detection and identification of even traces of odour-active compounds. After 6 weeks of storage, the UFA/CLA enriched butter showed more intense cheesy, rancid, chemical, mushroom-like, green and metallic notes than conventional butter. Fatty
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acids, alcohols, aldehydes and ketones were mainly responsible for the development of these odours.
The sensory evaluation described the fresh UFA/CLA butter as more easily spreadable and with a more intense creamy and a weaker cooked milk aroma. The panel could not find differences between the two butter types during storage, except for the spreadability and the creamy aroma (always higher in UFA/CLA butter) and described the two kinds of butter as aging in the same way. No significant differences were detected with regard to the attributes related to oxidative processes, i.e. rancid and oxidized odour/aroma. These notes increased in both butter types during storage and were perceived, in particular, from 6 weeks.
The differences between GC/O and the sensory analyses can be explained by the different test conditions. During GC/MS/O the odorants are perceived separately from each other without mutual interaction. In contrast, during sensory analysis the odours are perceived as a mixture at almost the same time and as a result of odour-odour and odour-matrix interactions, such as masking effects. On the basis of our chemical and sensory findings, the shelf-life of UFA/CLA enriched butter at 5-6 °C was comparable to that of conventional sweet cream butter. For further characterisation of the odouractive compounds of UFA/CLA enriched butter, the use of more than a single aroma extraction technique is necessary. To provide more precise data on the differences between the UFA/CLA enriched butter and conventional butter, the quantification of important odour-active compounds will be necessary.
4. Influence of storage and induced oxidation on key odour compounds of UFA/CLA enriched and conventional butter ∗
Dairy products enriched in unsaturated fatty acids (UFA) and conjugated linoleic acid (CLA) may have higher nutritional value and beneficial health effects. However, these products are susceptible to oxidation and may off-flavors are formed. Our study aimed to compare the aroma profiles of UFA/CLA enriched butter to that of conventional butter during storage and induced oxidation. The volatiles were extracted by solventassisted flavour evaporation (SAFE) and identified by gas chromatographyolfactometry coupled to mass spectrometry (GC/MS/O). Aroma extract dilution analysis (AEDA) found eighteen relevant odorants that were quantified by stable isotope dilution analysis (SIDA). Another important odorant, skatole (monthball-like), was quantified by high pressure liquid chromatography (HPLC). After storage, UFA/CLA butter showed higher concentrations of pentanal (fatty odour), heptanal (green), butanoic acid (cheesy), and δ-decalactone (peach-like). Photo-oxidation induced an increase of heptanal, (E)-2-octenal and trans-4,5-epoxy-(E)-2-decenal especially in conventional butter. The higher vitamin content in UFA/CLA samples may protect this butter from oxidation.
∗ This chapter has been submitted for publication as:
Mallia, S., Escher, F., Dubois, S., Schieberle, P., Schlichtherle-Cerny, H. Characterisation and quantification of odour-active compounds of UFA/CLA (unsaturated fatty acid/conjugated linoleic acid) enriched butter and conventional butter, during storage and induced oxidation.
4.1 Introduction
In the last years consumers demand more and more foods that combine a pleasant flavor with improved nutritional value and benefits on human health.
Dairy products enriched with unsaturated fatty acids (UFA) and in particular, conjugated linoleic acids (CLA) could have these advantages, due to a higher content in essential fatty acids and to potential anticarcinogenic (Islam et al., 2008; Cunningham et al., 1997; Wong et al., 1997), cholesterol lowering (Lee et al., 1994) and body fat reducing effects (Park et al., 1997), attributed to CLA.
Several studies have focused on increasing the amount of UFA/CLA in dairy products by supplementing the ruminant's diet with oils or oleaginous seeds, rich in oleic, linoleic and linolenic acids (Collomb et al., 2006; AbuGhazaleh, 2002; Lawless, 1998). Collomb et al. (Collomb, 2004a, b) showed that higher CLA content in milk fat is obtained supplementing the cow's diet with sunflower seeds especially rich in linoleic acid.
In our study, butter enriched in UFA/CLA was produced feeding the cows with both pasture and sunflower seeds. However, the higher UFA/CLA content could maybe negatively affect the flavor of the butter since unsaturated lipids are more susceptible to auto-oxidation (Grosch, 1987). The effects of UFA oxidation on the flavor of butter have already been described by Badings (1970), who indicated the formation of several odorants during cold storage of butter, such as hexanal (odour of cut grass), heptanal (oily), (E)-2-nonenal (tallowy), (E,E)-2,4-heptadienal (metallic, fried) and (E,Z)-2,6-nonadienal (cucumber-like). These compounds originated from arachidonic, linoleic and linolenic acids. Another study (Widder et al., 1991), performed aroma extract dilution analysis (AEDA) (Schmid and Grosch, 1986) and showed that nine odour carbonyl compounds, including (Z)-3-hexenal (green, apple-like), 1-octen-3-one (mushroom-like), (Z)-1,5-octadien-3-one (metallic, geranium-like), (Z)- and (E)-2nonenal (fatty, green), were responsible for off-flavors in butter oil that was stored for 42 days at room temperature. These odour compounds are as well formed by oxidation of unsaturated fatty acids. In particular, Ullrich and Grosch (1988) demonstrated that
(Z)-1,5-octadien-3-one originates from linolenic acid, whereas Widder and Grosch (1997) concluded that (Z)- and (E)-2-nonenal can be formed in butter from autoxidized (Z)-9-hexadecenoic acid (palmitoleic acid). Off-flavors in butter and generally in dairy products could also be caused by photo-induced lipid oxidation, due to the presence of photosensitizes, such as riboflavin, able to absorb energy and to be shifted to higher energy level, inducing a cascade of oxidation reactions (Borle et al., 2001).
Butter oil exposed to fluorescence light for 48 h developed fatty, green and strawy offnotes, mainly due to high concentrations of (E,E)-2,4-decadienal (fried), (E)-2-nonenal (tallowy) and trans-4,5-epoxy-(E)-2-decenal (metallic) (Grosch et al., 1992).
The mechanism of oleic, linoleic and linolenic acid oxidation and their possible secondary odour-active products have since long been extensively studied and the formation pathways are well known (Grosch, 1987). On the other hand, the odour compounds formation from CLA is not yet fully elucidated and further studies are required on this issue. Yurawecz and co-workers (2003) suggested that the autooxidation of unsaturated fatty acids via a free radical mechanism is not probable to occur in CLA because higher activation energy is required for separating conjugated double bonds. The authors reported that methyl cis 9, trans 11 CLA ester, through 1,2 and 1,4 cycloadditions with oxygen could form dioxetane structures possibly leading to the formation of heptanal, lactones and esters, such as methyl octanoate. The oxidation of different CLA isomers also leads to different products: for example cis 9, trans 11 CLA, kept in glass vials exposed to oxygen and ambient light for 8 days, showed oxidation products such as heptanal, 2-nonenal and methyl 8-(5-hexyl-2furyl)octanoate; under the same conditions, trans 10, cis 12 CLA developed mainly hexanal, methyl nonanoate and decadienal. Another study (Chen et al., 1997) examined the stability of CLA in form of free fatty acids, methyl esters and triacylglycerols, respectively. The CLA free fatty acids were extremely unstable and had an oxidation rate considerably higher than linoleic, linolenic and arachidonic acid (Zhang and Chen, 1997). The CLA was also described as having an inhibition activity on lipid oxidation (Ip et al., 1991) whereas other studies reported that CLA might have a pro-oxidant activity (Van den Berg, 1995). It is still not very clear how CLA
behaves during oxidation. Therefore further studies are necessary, including on the storage stability of CLA-containing foods.
Several studies on the oxidative stability of milk, cheese and butter, enriched in CLA, showed no significant differences in flavor compared to the conventional ones (not enriched) (Avramis et al., 2003; Lynch et al., 2005). On the other hand, one sensory study on milk showed that CLA fortified milk was less acceptable than milk without CLA addition, because of its "grassy/vegetable oil" flavor (Campbell et al., 2003).
The objective of the present study was to evaluate the aroma compounds of UFA/CLA enriched butter versus conventional butter during 6 weeks of refrigerated storage. This period of storage was chosen to sufficiently cover the usual shelf life indicated on the label by Swiss butter manufactures (30 days).
The predominant odorants were identified in the two kinds of butter by AEDA coupled to gas chromatography olfactometry (GC/O) and then quantified using stable isotope dilution assay (SIDA). Additionally, oxidation was also induced in the butter samples, to evaluate the stability of UFA/CLA enriched butter under light exposure and in the dark under oxygen atmosphere.
4.2 Materials and methods
4.2.1 Chemicals
Diethyl ether, sodium carbonate, anhydrous sodium sulfate, sodium chloride, methanol Lichrosolv, potassium phosphate, anhydrous potassium hydrogenphosphate were obtained from Merck (Darmstadt, Germany), acetonitrile was supplied from Romil Pure Chemistry (Cambridge, UK). Demineralized water was obtained using a Millipore (Schwalbach, Germany) system. The compounds listed in Table 4.1 were obtained from commercial sources: pentanal (1), hexanal (2), heptanal (3), (E)-2octenal (4), (E)-2-nonenal (5), (E,Z)-2,6-nonadienal (6), decanal (7), methional (8), δoctalactone (9), δ-decalactone (10), δ-dodecalactone (11), 1-octen-3-one (12), butanoic acid (13) and hexanoic acid (14) were from Aldrich (Steinheim, Germany); nonanal (15) was from Acros Organics (Geel, Belgium); (Z)-3-hexenal (16) was from SAFC
(Hamburg, Germany). (Z)-2-nonenal (17) and trans-4,5-epoxy-(E)-2-decenal (18) were synthesized according to (Ullrich and Grosch, 1987) and (Schieberle and Grosch, 1991), respectively.
2-Methylindole and 3-methylindole (skatole) were from Aldrich (Buchs, Switzerland). The labeled internal standards were synthesized at the Deutsche Forschungsanstalt für Lebensmittelchemie, by the following published syntheses: [5,62 H2]hexanal [2-d (Guth and Grosch, 1993)], [2,32 H2]-(E)-2-octenal [4-d (Guth and Grosch, 1993)], [2,32 H2]-(E)-2-nonenal [5-d (Guth and Grosch, 1990b)], [2,32 H2]-(E,Z)-2,6nonadienal [6-d (Guth and Grosch, 1990b)], [5,62 H2]-decanal [7-d (Büttner and Schieberle, 2001)], [ 2 H3]-methional ([ 2 H3]-3-methylthio-propanal) [8-d (Sen and Grosch, 1991)], [8,92 H2]-δ-octalactone [9-d (Christlbauer, 2005)], [10,112 H2]-δdecalactone [10-d (Schieberle et al., 1993)], [12,132 H2]-δ-dodecalactone [11-d (unpublished synthesis)] was synthesized similarly to [ 2 H2]-δ-decalactone. [3,42 H2]-1octen-3-one [12-d (Guth and Grosch, 1990)], [3,42 H2]butanoic acid [13-d (Schieberle et al., 1993)], [5,62 H2]-hexanoic acid [14-d (Guth and Grosch, 1993)], [5,5,6,62 H4] nonanal [15-d (Kerscher, 2000)], [3,42 H2]-(Z)-3-hexenal [16-d (Guth and Grosch, 1990b)], [7,7,8,82 H4]-trans-4,5-epoxy-(E)-2-decenal [18-d (Guth and Grosch, 1990b)].
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Table 4.1: Compounds quantified in UFA/CLA and conventional butter by stable isotope dilution analysis
a Odorant quantified using FFAP capillary column
b Ion measured in Chemical Ionization (CI) mode
c Unsaturated fatty acid/conjugated linoleic acid enriched butter
d Conventional butter
e Odorant quantified using HS-SPME extraction.
4.2.2 Butter samples
Both UFA/CLA enriched butter and conventional butter were produced at the ALP pilot plant in September 2007. UFA/CLA enriched butter was obtained from Holstein cows (n=5) fed with pasture and sunflower seeds during 2 weeks. The cows had a similar stage of lactation and produced milk with similar contents of UFA/CLA. Control cows (n=5) were fed a conventional diet, composed of pasture and corn silage
(Mallia et al., 2008). The raw milk was collected separately from the two groups (150 L for each), preheated in the pilot plant at 45 °C and then centrifuged to obtain cream containing 35% of fat. The butter-making was already previously described (Mallia et al., 2008). Five kilograms of sweet cream butter were produced, for each kind of milk, wrapped in aluminum foil in pieces of 100 g and stored in the dark at 6 ± 1 °C. Butter samples kept under refrigerated conditions were analyzed for their odour-active composition at 0 (fresh) and 6 weeks of storage.
4.2.3 Oxidised butter samples
Fresh butter samples, in pieces of 100 g, were placed in a desiccator and exposed to a continuous flow of pure oxygen for 6 and 12 h at 6 °C, respectively, in the dark.
Fresh samples were also exposed to fluorescence light (Philips TL40W/33RS, 2000 lx) for 6 and 12 h at 6 °C, respectively. The samples were periodically turned to allow uniform light exposure.
4.2.4 Chemical composition of UFA/CLA and conventional butter
Moisture, non-fat solids and fat contents were determined according to reference procedures (IDF/ISO, 2002). Retinol and α-tocopherol were quantified using external standards of retinol and α-tocopherol, as described by (Mallia et al., 2008). Copper and iron were determined by atom absorption spectroscopy (Mallia et al., 2008). Shortchain fatty acids and unsaturated fatty acids were separated and quantified as described by Collomb and Bühler (2000). The free fatty acids were determined according to (De Jong and Badings, 1990). Conjugated linoleic acid isomers were analyzed and quantified by Ag+-HPLC according to (Collomb et al., 2004a).
4.2.5 Aroma extraction
Solvent-assisted flavor evaporation (SAFE), described by Engel et al. (1999) was used to isolate the volatile and semi-volatile aroma compounds from butter. The sample (100 g) was dissolved over 45 min in 250 mL diethyl ether freshly distilled, while stirring at room temperature. The solution was added during 1h (10 -5 Torr) to the distillation flask (50 °C). The SAFE apparatus was kept at 45 °C.
4.2.6 Butter Aroma Fractionation
The aroma extracts were separated into acidic and neutral/basic fractions to facilitate the GC analysis. The distillate (about 250 mL) was extracted twice with 50 mL sodium carbonate solution (0.5 mol/L) and once with 40 mL saturated sodium chloride solution. The organic phase, containing the neutral/basic volatiles, was dried over anhydrous sodium sulfate. The pooled aqueous phase was acidified to pH 2 with hydrochloric acid (1 mol/L) and extracted three times with freshly distilled diethyl ether (25 mL). The diethyl ether extract was then dried over anhydrous sodium sulfate. Both, acidic and neutral/basic fractions were concentrated to 200 μL first using a Vigreux column and then a micro-distillation. The concentrated extracts were finally analyzed by gas chromatography olfactometry (GC/O) and by high-resolution gas chromatography mass spectrometry (HRGC-MS) as described below.
4.2.7 GC/O
The analysis was performed on a Trace-GC (Thermo Fisher Scientific, Dreieich, Germany) equipped with a flame ionization detector (FID) and a sniffing port. The column carrier gas was helium with a pressure of 140 kPa for DB-5 column (60 m length, 0.32 mm i.d, 0.25 μm film thickness, JandW Scientific, Folsom, CA) and 75
kPa for a DB-FFAP column (30 m length, 0.32 mm i.d., 0.25 μm film thickness, JandW Scientific). At the end of the column, the flow was splitted through a Y glass splitter (Chrompack, Frankfurt, Germany) 1:1 to FID and sniffing port. The sample (1 μl) was injected cold on column. Both, the sniffing port and the FID were heated at 250 °C. The oven temperature was held at 40 °C for 2 min, then increased to 240 °C at a rate of 6 °C/min, and held at 240 °C for 5 min. Two trained panelists performed the GC/O analyses in duplicate.
The flavor dilution (FD)-factors of the odorants were determined by AEDA, diluting stepwise an aliquot of 50 μl of the SAFE extract with diethyl ether (1:1, v/v). The AEDA was performed using the DB-FFAP column.
4.2.8 HRGC/MS
Analysis was performed on an Agilent 5890 Series II gas chromatograph (Agilent Technologies, Santa Clara, CA, USA) coupled to a Finnigan MAT 95S mass selective detector (MSD; Thermo Fisher Scientific).
The sample (0.5 µl) was injected manually cold on-column. The carrier gas was helium with a flow of 1.9 mL/min. The volatiles were separated using DB-5 and DBFFAP capillary columns (both 30 m length, 0.25 mm i.d, 0.25 μm film thickness, JandW Scientific). After 2 min, the oven temperature was raised by 6 °C/min to 240 °C, and then held at 240 °C for 5 min. The MSD operated in scan mode at 2.9 scans/s (m/z 29-350) at 70 eV. Mass spectra of unknown compounds were compared with those in the Wiley 138. Retention indices (RI) were calculated in accordance to
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(Kovats, 1965). Positive identification was achieved by comparing mass spectra, odours as detected by GC/O analysis, RI in a database or of reference substances.
4.2.9 Quantification by stable isotope dilution assay (SIDA) using SAFE extraction
Two butter samples (100 g each) for every butter type were dissolved in diethyl ether (250 mL each) which contained the following labeled internal standards: [3,42 H2]butanoic acid (8 μg), [5,62 H2]hexanoic acid (9 μg), [5,62 H2]hexanal (11 μg), [5,5,6,62 H4]nonanal (13 μg), [5,62 H2]decanal (14 μg), [2,32 H2]-(E)-2-nonenal (3 μg), [2,32 H2]-(E,Z)-2,6-nonadienal (2.5 μg), [8,92 H2]-δ-octalactone (10 μg), [10,112 H2]-δ-decalactone (24 μg), [12,132 H2]-δ-dodecalactone (25 μg). The same procedure was applied to the oxidized samples using [5,62 H2]hexanal (18 μg), [5,5,6,62 H4]nonanal (13 μg), [2,32 H2]-(E)-2-nonenal (5.5 μg), [2,32 H2]-(E,Z)-2,6-nonadienal (2.5 μg), [7,7,8,82 H4]-trans-4,5-epoxy-(E)-2-decenal (0.5 μg), [ 2 H3]-methional (0.7 μg), [3,42 H2]-1-octen-3-one (2 μg), [3,42 H2]-(Z)-3-hexenal (2 μg) and [2,32 H2]-(E)2-octenal (12 μg).
The volatiles of butter and the labeled internal standards were isolated by SAFE. The distillate was separated in an acidic and a neutral/basic fraction and then concentrated, as described above. The quantification was performed by multidimensional gas chromatography mass spectrometry. This system consisted of a Trace 2000 gas chromatograph (Thermo, Egelsbach, Germany) and a CP 3800 gas chromatograph (Varian, Inc., Darmstadt, Germany) connected by a Moving-Column-StreamSwitching system (MCSS, Thermo). In off-line modus the MCSS led the effluent simultaneously to a FID and a sniffing port in the Trace-GC. Retention times (RT)
were determined by analyzing reference compounds by GC-FID and GC sniffing. The compounds in the SAFE extracts were first separated in the Trace GC using a DBFFAP column, then cryofocused and sent to the second GC, which was equipped with a OV1701 capillary column and a MS system ITD-Saturn 2000 (Finnigan, Bremen, Germany) running in the positive chemical ionization (CI) mode with methane as reagent gas.
Analyses were run in duplicate. The values obtained from the same sample differed by not more than ± 5 %.
4.2.10 Quantification by SIDA using Headspace Solid Phase Microextraction (HS-SPME)
The quantification of pentanal and heptanal was performed using [5,62 H2]hexanal as internal standard and HS-SPME as described by Roberts et al. (2000). The butter (5 g) was spiked with [5,62 H2]hexanal (6.8 μg in ethanol) molten at 40 °C in a water bath, homogenized and equilibrated for 12 h at 8 °C. The HS-SPME analysis was carried out using a Combi PAL Autosampler (CTC Analytics, Zwingen, Switzerland). The sample was equilibrated for 30 min and then extracted for 45 min at 45 °C using a 2 cm Divinylbenzene/Carboxen/Polydimethylsiloxane fiber (DVB/CAR/PDMS, Supelco, Bellefonte, USA). All samples were analyzed in triplicate using the same SPME fiber. The analysis was performed using a Trace ultra GC coupled to a Trace DSQ mass spectrometer (Thermo Fisher Scientific). The separation was performed using a DB-FFAP column (30 m length, 0.25 mm i.d., 0.25 μm film thickness, JandW Scientific). The oven program was 40 °C for 2 min, then at 8 °C/min until 150 °C, and then at 20 °C/min to 240 °C. The mass spectrometer operated in CI mode (positive) with isobutane as the reagent gas and in the SIM
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mode, monitoring the ions m/z 87 for pentanal, m/z 103 for [5,62 H2]hexanal and m/z 115 for heptanal (Table 4.1).
4.2.11 Quantification of skatole by high pressure liquid chromatography (HPLC)
Skatole was measured in butter using the following procedure based on different methods previously described (Chen et al., 2007; Verheyden et al., 2007; HansenMøller, 1994; Claus et al., 1993). 0.50±0.1 g of butter was introduced into a 2 mL centrifuge micro tube and heated at 45±5 °C in a heating block (Dri-Block, Witec AG, Littau, Switzerland). Then 1 ml of internal standard solution (MeOH: H2O 95:5, v/v), containing 0.05 mg/L 2-methylindole, was added into the tube and mixed with a vortex during 30 s. The samples were sonicated (Bandelin Sonorex RK 255H, Schalltec, Mörfelden-Walldorf, Germany) for 5 min at 30 °C, cooled during 20 min in an ice bath and centrifuged (Biofuge Stratos, Heraeus, Hanau, Germany) at 11000 rpm during 20 min at 4 °C. The supernatant was filtered (Chromafil 0-20/15MS PTFE, Pretech Instruments KB, Sollentuna, Sweden) and 5 μl were injected onto the HPLC column (Zorbax Eclipse XDB-C18 4.6 x 50 mm; 1.8 μm, Agilent). The HPLC (Agilent) was equipped with a G1367C SL autosampler (Agilent), column oven (G1316A TTC, Agilent), fluorescence detector (G1321A FLD, Agilent), pump (G1312B Bin pump SL, Agilent), and a degasser (G1379B, Agilent). Data acquisition was performed with the Chemstation Rev. B.0202 SR1 (260) software from Agilent. The mobile phase was 10 mM phosphate buffer pH 6.0 and methanol (55:45) at 1.3 mL/min flow. Fluorescence detection was with excitation at 285 nm and emission at 340 nm.
4.3 Results and discussion
4.3.1 Chemical composition of UFA/CLA enriched butter and conventional
butter
The chemical composition of UFA/CLA enriched butter and conventional butter is reported in Table 4.2.
Table 4. 2: Chemical composition of UFA/CLA enriched butter and conventional butter
aMean values for unsaturated fatty acid/conjugated linoleic acid enriched butter (n=6)
bStandard deviation for UFA/CLA enriched butter
cMean values for conventional butter (n=6)
dStandard deviation for conventional butter
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The UFA/CLA enriched butter was characterized by a lower fat content, 83 % versus 85 % fat in conventional butter, and on the other hand, by a higher moisture content. The lower fat content was already observed earlier in UFA/CLA by the authors (Mallia et al., 2008) and in general in dairy products, when the animal's diet is supplemented with oleaginous seeds (Collomb et al., 2004). α-Tocopherol and iron concentrations were significantly higher in UFA/CLA enriched butter, as previously observed (Mallia et al., 2008). The higher content of these components is probably related to the cow's diet supplemented with sunflower seeds, which are rich in vitamin E and iron (Souci et al., 2000).
The UFA/CLA enriched butter showed significantly lower saturated fatty acid levels and significantly higher mono- and polyunsaturated fatty acid content (Table 4.3).
Table 4.3: Fatty acid composition of UFA/CLA enriched butter and conventional butter determined by HRGC
*P<0.05, **P<0.01; ***P<0.001
a Unsaturated fatty acid/conjugated linoleic acid enriched butter
b Conventional butter
c C18:2 t11c15 + C18:2 c9c15, C18:3 c9c12c15, C20:3 (n-3), C20:5 (n-3), C22:5 (n-3) and C22:6 (n-3)
d C18:1 t12, C18:1 c12, C18:2 t9t12, C18:2 c9t12 + (c,c-MID + t8c13), C18:3 c6c9c12, C20:2 cc (n-6), C20:3 (n-6) and C20:4 (n-6)
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The free fatty acids C14:0, C16:0, C18:0, C18:1, C18:2 and C18:3 were significantly more present in the fresh and stored enriched butters than in the conventional ones, as shown in Table 4.4. Only C12:0 was found at higher level in the conventional butter. The index of lipolysis, defined as the sum of C6:0 until C20:0 fatty acids (FIL-IDF, 1974), was significantly higher in UFA/CLA butter and in particular almost twice as high in the stored enriched samples. The CLA isomers such as cis 9, trans 11 and trans 7, cis 9, which are the most prominent in milk fat, were significantly higher in UFA/CLA enriched butter as reported in Table 4.5. This butter is almost twice as rich in CLA as conventional butter: 22.48 mg/g fat versus 12.86 mg/g fat, respectively.
Table 4.4: Free fatty acid (FFA) composition in mg/kg butter of UFA/CLA enriched butter
and conventional butter determined by HRGC
*P<0.05, **P<0.01; ***P<0.001
a Unsaturated fatty acid/conjugated linoleic acid enriched butter
b Conventional butter
c Sum of C6 to C20
Table 4.5: Conjugated linoleic acid (CLA) isomers in UFA/CLA enriched butter and conventional butter
*P<0.05, **P<0.01; ***P<0.001
a Unsaturated fatty acid/conjugated linoleic acid enriched butter
b Conventional butter
4.3.2 Comparative AEDA of the UFA/CLA enriched butter and conventional butter
Among 58 odorants, detected by AEDA in the butter extracts, 23 had higher FD factors than 4 (Table 4.6). The fresh UFA/CLA enriched butter and fresh conventional butter had similar aroma profiles, characterized by soapy, milky and fruity notes, with high FD factors of nonanal, 2-nonanone, methyl-2-methylbutanoate, 3-methylbutyl acetate, (E,Z)-2,6-nonadienal, δ-decalactone and 2-phenylethyl acetate, respectively. Interestingly most of the odorants presented higher FD factors in fresh UFA/CLA butter. Only 2-phenylethyl acetate had a higher FD factor in conventional butter.
The odorants were more intensely perceived at the sniffing port after 6 weeks of storage, in both butter types and especially in UFA/CLA enriched samples. In particular, heptanal (soapy), (E,Z)-2,6-nonadienal (cucumber-like), δ-decalactone (peach-like) and δ-dodecalactone (peach-like) had the highest FD factors in stored UFA/CLA butter. Decanal (green), hexanoic acid (animal-like) and trans-4,5-epoxy- (E)-2-decenal (metallic), weakly or not perceived in fresh butter, became important odorants in stored samples and especially in the enriched butter. Interestingly, 2phenylethyl acetate that was an important odorant in fresh conventional butter, was not found after 6 weeks of storage. Furthermore the esters, with fruity notes, were less intensely or not perceived after storage.
Diss. ETH No. 18020 Table 4.6: Most odour-active compounds (FD factor ≥ 4) in fresh and 6 weeks stored (6 °C) UFA/CLA enriched butter and conventional butter
a FD factor determined by 2 panelists. The FD factors between the 2 panelists differed not more than by a factor of 2.
b The compounds were identified by comparing it with the reference substance on the basis of the following criteria: retention index (RI) on two column of different polarity, mass spectra obtained by MS (EI) and odor quality perceived at the sniffing port.
c Odour quality perceived at the sniffing port by two trained panelists.
d Unsaturated fatty acid/conjugated linoleic acid enriched butter
e
Conventional butter
4.3.3 Quantitative analysis
Fourteen of the most potent odorants were quantified in fresh and stored samples (Table 4.7). Pentanal, heptanal, and δ-decalactone had a higher concentration in UFA/CLA enriched butter. The corresponding odour activity values (OAVs) were calculated by dividing the concentration by its orthonasal odour threshold in sunflower oil (Rychlik et al., 1998). On the basis of OAVs, listed in Table 4.8, δ-dodecalactone and butanoic acid were the most important odorants in both UFA/CLA and fresh conventional butter. After 6 weeks of storage, the highest OAVs were found for δdecalactone, δ-dodecalactone and butanoic acid in both butter types. In particular δdecalactone, pentanal and heptanal showed significantly higher OAVs in UFA/CLA enriched butter after storage. A previous study on UFA/CLA butter, performed using SPME coupled to GC-MS-O, also showed heptanal and butanoic acid increasing in UFA/CLA butter after refrigerated storage (Mallia et al., 2008). In the same study, lactones, such as γ- and δ-decalactone, were on the other hand found to have weak odour intensity, probably due to the SPME extraction used that is more suitable for more volatile compounds.
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Table 4.7: Most important odorants quantified in fresh and 6 weeks stored (at 6 °C) UFA/CLA enriched butter and conventional butter.
aOdour compound quantified by stable isotope dilution assay (SIDA), except 3-methyl-1H-indole quantified using an internal standard not labeled by HPLC.
cConventional butter
bUnsaturated fatty acid/conjugated linoleic acid enriched butter
Table 4.8: Selected important odorants quantified in fresh and stored (at 6 °C) UFA/CLA enriched butter and conventional butter.
aOdour compound quantified by stable isotope dilution assay (SIDA), except for 3-methyl-1H-indole quantified using an internal standard not labeled by HPLC.
cConventional butter
bUnsaturated fatty acid/conjugated linoleic acid enriched butter
dUnsaturated fatty acid/conjugated linoleic acid enriched butter
82
eConventional butter
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Schieberle and co-workers (1993) quantified the important odorants in different kinds of butter and found δ-decalactone and butanoic acid as important odorants in sweet cream butter and sour cream butter.
The amount of δ-decalactone found in our study for UFA/CLA enriched butter is higher than the concentrations reported for sweet cream butter in the literature (Schieberle et al., 1993; Peterson and Reineccius, 2001). This could be related to the possible origin of lactones from CLA (Yurawecz, 2003). Interestingly hexanal, which is considered as an indicator of lipid oxidation (Christensen and Hølmer, 1996), remained constant during the storage period and it was present at similar amounts in both butter types. However, the hexanal concentration considerably increased in both UFA/CLA butter and conventional butter after 6 h light exposure as shown in Table 4.9. Surprisingly, for heptanal that had always higher concentration in UFA/CLA enriched butter, higher values were found in conventional butter exposed to fluorescence light.
Table 4.9: Important odorants quantified in UFA/CLA enriched butter and conventional butter after 0, 6 and 12 h of fluorescence light exposure
aOdour compound quantified by stable isotope dilution assay (SIDA), except 3-methyl-1H-indole quantified by HPLC using a not labeled internal standard.
cConventional butter
bUnsaturated fatty acid/conjugated linoleic acid enriched butter
dNot determined
The light induced also an increase of nonanal, (E)-2-nonenal, (E,Z)-2,6-nonadienal and trans-4,5-epoxy-(E)-2-decenal concentrations in conventional butter. This could be explained by the higher vitamin content (retinol and α-tocopherol) of the UFA/CLA enriched butter. Antioxidative properties of CLA, which might protect the butter from photo-oxidation, have been discussed in the literature (Van den Berg, 1995). Light exposure induced also the formation of aroma compounds not detected in fresh butter, such as methional (potato-like) and trans-4,5-epoxy-(E)-2-decenal (fatty, metallic). The OAV of most important odorants found in butter exposed to fluorescence light are
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listed in Table 4.10. The highest OAVs were found for hexanal and trans-4,5-epoxy- (E)-2-decenal. In particular the latter was more important in conventional butter. The OAV of pentanal and methional was significantly higher in UFA/CLA enriched samples. All these compounds originate from lipid oxidation, except methional that is formed from photodecomposition of methionine (Borle et al., 2001).The samples exposed to oxygen atmosphere for 6 and 12 h, respectively, developed fatty and metallic notes, due in particular to an increase of aldehydes, such as pentanal, hexanal, heptanal, nonanal and (E)-2-octenal (Table 4.11). As observed in the case of light exposure, the conventional butter presented higher concentrations of aldehydes such as heptanal, (E)-2-octenal (fatty), and (Z)-2-octenal (nutty). 1-Octen-3-one, with a mushroom-like odour, also increased especially in conventional butter exposed to oxygen atmosphere. Table 4.12 shows the odour compounds that had the highest OAVs during the induced oxidation in the dark. In particular, the OAVs of heptanal in conventional butter are the double compared to those of UFA/CLA enriched butter.
Table 4.10: Odour thresholds and odour activity values (OAV) of the most important odorants of UFA/CLA enriched butter and conventional butter exposed to fluorescence light
aOdour activity value
cOdour threshold in sunflower oil
bOdour compound quantified by stable isotope dilution assay (SIDA)
dUnsaturated fatty acid/conjugated linoleic acid enriched butter
eConventional butter
Table 4.11: Most important odorants quantified in UFA/CLA enriched butter and conventional butter exposed to oxygen for 0, 6 and 12 h
aOdour compound quantified by stable isotope dilution assay (SIDA)
cConventional butter
bUnsaturated fatty acid/conjugated linoleic acid enriched butter
dNot determined
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Table 4.12: Odour thresholds and odour activity values (OAV) of the most important odorants of UFA/CLA enriched butter and conventional butter exposed to oxygen
a
aOdour activity value
cOdour threshold in sunflower oil
bOdour compound quantified by stable isotope dilution assay (SIDA)
dUnsaturated fatty acid/conjugated linoleic acid enriched butter
eConventional butter
4.4 Conclusion
Cold storage seemed to affect in particular the contents of pentanal and heptanal in UFA/CLA enriched butter, with an increase of fatty and green notes. The higher concentration of free fatty acids in the UFA/CLA enriched butter also contributed to the flavour of this butter type and to its more intense aroma after storage. Surprisingly, the oxidative stability of UFA/CLA enriched butter that we expected to oxidize more easily was instead comparable to the one of conventional butter during induced photooxidation and oxidation in the dark under oxygen atmosphere. In particular, aldehydes such as heptanal, (E)-2-octenal, (E)-2-nonenal and trans-4,5-epoxy-(E)-2-decenal increased especially in conventional butter when subjected to oxidation. These findings suggest that the higher concentrations in retinol and α-tocopherol of UFA/CLA enriched butter combined with a potential antioxidative activity of CLA, may act as protection, even despite a higher iron content, which is a pro-oxidant, in this kind of butter.
Prior to commercialisation of a butter enriched in UFA/CLA, further studies on the oxidation kinetic and stability of this product are necessary, also in combination with sensory tests to evaluate the acceptability of this butter by the consumers. The chemical formation pathways involved in the potential odour formation from CLA also require further investigation.
5. Formation of odour-compounds from 9 cis, 12 cis ethyl linoleate and 9 cis, 11 trans ethyl-CLA ester – a model study ∗
The odour-active secondary oxidation products of CLA are not yet well known and the chemical pathways generating these compounds are also not fully elucidated. The aim of the present study was to understand which odorants could be generated from both, photo-oxidation and oxidation in the dark of CLA in model systems. These models contained the same proportion of linoleic acid and CLA, found in previous studies in UFA/CLA enriched butter, with the objective to translate the results obtained for the model to the enriched butter. The odour-active compounds in the models were identified by GC/MS/O and their origin from linoleic acid and/or from CLA was investigated by using [ 13 C18] labelled linoleate and unlabelled CLA, by monitoring the isotopomers formed after oxidation. (Z)-3-Hexenol (fruity odour) and (Z)-2-nonenal (green) were found 99 % and 88 % labelled, respectively, after 6 h of light exposure. This indicated their origin mainly from linoleate. On the other hand, hexanal and heptanal were found 66 % and 80 % unlabelled, respectively, after photo-oxidation. This means that these odorants formed mainly from CLA. In addition, the origin of (E)-2-octenal, (E)-2-nonenal, 2-octanone, furans, ethyl esters and acids was mainly related to CLA oxidation. Pentanal was found 50 % labelled and therefore, was
∗
This chapter has been prepared for publication as: Mallia, S., Escher, F., Schlichtherle-Cerny, H. Formation of odour-compounds from 9c, 12c ethyl linoleate
and 9c, 11t ethyl-CLA ester – a model study.
formed in equal proportions from both, linoleate and CLA. The majority of the odour compounds identified in the butter models were also previously found in UFA/CLA enriched butter, under the same oxidation conditions. The results obtained for the model systems can be translated to the UFA/CLA butter, but it is necessary to take in account important factors, such as vitamins and metal ions, which might influence the oxidation rate in butter. Finally, some chemical pathways for the formation of odour compounds from CLA are proposed.
5.1 Introduction
Oxidation can easily occur in foods containing unsaturated fatty acids during storage, resulting eventually in potential off-flavour development.
The formation of odour-active compounds from the autoxidation of oleic, linoleic, linolenic and arachidonic acids and their esters has been the subject of many studies (Badings, 1970; Frankel et al., 1986; Ullrich and Grosch, 1987) and reviews (Grosch, 1987; Collomb and Spahni, 1996). In particular, due to great abundance in foodstuffs and their high susceptibility to autoxidation, linoleic acid and its esters are among the most important precursors of aroma-active compounds such as aldehydes, ketones, alcohols, acids and esters (Ullrich and Grosch, 1987).
On the other hand, little is known about the initial stages of the autoxidation of CLA and their primary and secondary oxidation products. Zhang and Chen (1997) indicated that the oxidation rate of CLA, as free fatty acid, mainly consisting in a mix of 9-cis, 11-trans/9-trans, 11-cis and 10-trans, 12-cis/10-cis, 12-trans CLA, was greater than those of linoleic, linolenic and arachidonic acid.
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A recent study (Luna et al., 2007) compared the oxidation kinetics of methyl 9-cis, 11trans linoleate to methyl 9-cis, 12-cis linoleate at 30 °C in the dark. The results showed that conjugated methyl linoleate oxidised slower than its non-conjugated counterpart, and indicated also different oxidation pathways. Eulitz and co-workers (1999) and Yurawecz et al. (2003) suggested that the radical oxidation mechanism with formation of hydroperoxides, generally occurring in unsaturated fatty acids, is less probable in CLA, since more activation energy is required to separate the conjugated double bonds. Instead they postulated a 1,2 and 1,4 cycloaddition of oxygen. The first mechanism leads first to dioxetane and then to aldehydes and esters. The 1,4 cycloaddition forms endoperoxides, which give eventually furan fatty acids. The authors assumed that only a small part of secondary oxidation products of CLA are accounted for by the breakdown of the primary autoxidation products 9hydroperoxide (9-LOOH) and 13-hydroperoxide of linoleic acid (13-LOOH). In contrast to these hypotheses, Hämäläinen et al. (2001) and Pajunen et al. (2008) suggested that the hydroperoxides are primary products of CLA oxidation. The authors oxidised cis-9, trans-11 CLA methyl ester and trans-10, cis-12 CLA methyl ester for 16 days, in the presence of α-tocopherol (20 % per weight), under atmospheric oxygen at 40 °C in the dark. They concluded that hydroperoxide pathway is one of the reaction pathways of CLA oxidation in the presence of a good hydrogen atom donor. The authors proposed a mechanism for predicting the hydroperoxides and their isomeric distribution formed during autoxidation of CLA.
In a recent study (Garcia-Martinez et al., 2009) the volatiles formed from the oxidation of oil and triacylglycerols rich in CLA were investigated and compared to those
formed from oil and triacylglycerols rich in linoleic acid. The authors quantified the volatile compounds formed in the two cases and found hexanal and heptanal as the most abundant compounds formed from CLA.
The present study was undertaken as a model to understand which odour-active secondary oxidation products could be formed from CLA in UFA/CLA enriched butter.
In our previous work, butter enriched with UFA/CLA showed more intense fatty, green and metallic notes after storage compared to conventional butter, due in particular to an increase in pentanal, hexanal, heptanal, (E)-2-octenal and (E)-2nonenal (Mallia et al., 2008). After Photo-oxidation and oxidation in the dark of the UFA/CLA enriched butter, several volatile compounds, such as trans-4,5-epoxy-2decenal, (E)- and (Z)-2-octenal, (E)-2-nonenal, 1-octen-3-one, showed higher concentrations than before oxidation.
In the current study, a model system, which mimics UFA/CLA enriched butter, was produced. It contained the same proportion of linoleic acid and CLA (1.5 versus 2), both as ethyl esters, as the one found previously in the UFA/CLA enriched butter (Mallia et al., 2008). In this model system only the cis 9, trans 11 CLA isomer was used because it represents almost 90% of the total CLA in UFA/CLA enriched butter (Mallia et al., 2008). Isotope labelled ethyl linoleate was used to study the origin of the carbon atoms in the odour compounds formed in these models during oxidation. The model samples were oxidised under the same conditions (photo-oxidation and induced oxidation with oxygen in the dark at 6 °C) previously reported for the UFA/CLA
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enriched butter (cf. 4.2.3). The odour-active compounds were identified by GC/MS/O and their origin from linoleic acid ethyl ester and/or from CLA ethyl ester was studied by monitoring the isotopomers formed during oxidation. To our knowledge, this is the first study aiming to identify odour compounds originating from CLA.
5.2 Materials and methods
5.2.1 Chemicals
Chemicals were of analytical grade. Cis 9, trans 11 CLA ethyl ester was from Larodan Fine Chemicals AB (Malmö, Sweden); cis 9, cis 12 ethyl linoleate was from Nu-Chek Prep (Elysian, MN, USA); [ 13 C18]cis 9, cis 12 ethyl linoleate (98% enrichment) was purchased from Cambridge Isotope Laboratories (Andover, MA, USA). Miglyol ® 812 neutral oil SASOL used as lipid matrix was from Hänseler AG (Herisau, Switzerland).
5.2.2 Samples
Model UFA/CLA enriched systems were prepared on the basis of the same proportions of linoleic acid and CLA than the ones found in butter enriched with UFA/CLA. Three models were prepared as described in table 5.1. One model contained only CLA ethyl ester (EtCLA), the second one only ethyl linoleate (EtLn) and the third one a combination of both, CLA ethyl ester and 13 C18 labelled ethyl linoleate (EtCLA+[ 13 C18]EtLn). Miglyol ® , a neutral oil with neutral odour, used for farmaceuticals and cosmetics, was used as a matrix. This is a stable oil free of antioxidants, solvent or catalyst residues. Its composition is indicated in table 5.2. Triplicate samples of the three models were placed in open glass vessels (height 3 cm, diameter 4.5 cm). The three model systems were oxidised by exposure to light (2000
lx) at 6 °C and in the dark under an oxygen atmosphere for 0, 2, 4 and 6 h, respectively, as previously described for the oxidation of UFA/CLA butter (4.2.3).
Table 5.1: Composition of the three model systems used for the oxidation experiments of CLA and linoleate
Table 5.2: Fatty acid composition of the neutral oil Miglyol ® used as matrix in the model systems as analysed by HRGC
5.2.3 Analysis
All samples were analysed by headspace solid-phase microextraction (HS-SPME) combined with gas chromatography mass spectrometry and olfactometry (GC/MS/O). The analyses were carried out using a Combi PAL Autosampler (CTC Analytics,
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Zwingen, Switzerland). The SPME fiber (2 cm DVB/CAR/PDMS, Supelco, Bellefonte, USA) was exposed for 30 min at 45 °C into the headspace above the samples in closed 20 ml glass vials. Then the fiber was placed in the GC injector, heated at 250 °C, for 12 min, and equipped with a 0.75 mm i.d. liner (Supelco). GC/MS/O analyses were performed using an Agilent HP 5890 Series II gas chromatograph (Agilent, Palo Alto, CA, U.S.A.) coupled to a mass selective detector (MSD; HP 5971A) and a sniffing port (Sniffer 9000 system, Brechbühler, Schlieren, Switzerland), and equipped with a HP-5MS column (30 m length, 0.25 mm i.d., 0.25 μm film thickness, Agilent Technologies). GC/O analyses were carried out in duplicate by one trained sniffer. The same samples were also analysed on a Trace GC coupled to a Trace DSQ mass spectrometer (Thermo Fisher Scientific, Waltham, MA, USA) and equipped with a FFAP column (30 m length, 0.25 mm i.d., 0.25 μm film thickness, J&W Scientific, Folsom, CA, USA). The oven temperature was, in both of cases, held at 40 °C for 2 min, then increased to 240 °C at a rate of 6 °C/min, and held at 240 °C for 5 min. Mass spectra in the electron impact mode (EI) were obtained at 70 eV and a scan range from m/z 29 to 350. The volatile compounds were identified by comparing the mass spectra with the Wiley 138 mass spectra library (Wiley & Sons, Inc., 1990) and with the spectra of authentic reference compounds. The retention index, calculated running a series of n-alkanes under the same working conditions, were also compared to those of the reference compounds and to published data. The same odour perception as the one obtained for the reference compounds was another criterion for identification.
5.3 Results and discussion
The three model systems in table 5.1 were oxidised for 0, 2, 4 and 6 h, respectively, and then analysed by GC/MS/O. The unoxidised samples (0 h) presented very weak odour. These odour notes were due in particular to a compound tentatively identified as 3-heptanol (metallic) and to heptanal (fatty, oily) (Table 5.3). After 6 h of oxidation (photo-oxidation and oxidation in the dark under an oxygen atmosphere) the number and the intensity of odour compounds increased, especially in the mixed EtCLA/[ 13 C18]EtLn samples.
In the photo-oxidised samples, hexanal (oily/green), 3-heptanol (metallic), heptanal (fatty), 2-pentanol (oily/green) and 2-hexyl furan (painty) were more intensely perceived than in the samples oxidised in the dark. 2-Pentyl furan, described as plasticlike and nutty, and 2-hexyl furan were found especially in the mixed EtCLA/[ 13 C18]EtLn samples. Some volatiles were found only by GC/O in the photooxidised samples, such as (E,Z)-2,4-nonadienal (green) and (E,E)-2,4-decadienal (fried), in particular in the EtLn model system. Other compounds, tentatively identified as 4-ethoxy cyclohexanone or heptyl cyclohexane (not shown in Table 5.3), which were not odour-active, were found only in the three model systems subjected to oxidation in the dark.
γ-Nonalactone and δ-undecalactone, with fruity notes, were detected only by olfactometry in the mixed EtCLA/[ 13 C18]EtLn samples subjected to photo-oxidation and oxidation in the dark, respectively.
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Table 5.4 compares the odour compounds found in the oxidised EtCLA/[ 13 C18]EtLn model with those identified in oxidised UFA/CLA enriched butter. The majority of the odour compounds found in the model systems had already been previously found in UFA/CLA enriched butter (Chapter 3 and 4). However, trans-4,5-epoxy-2-decenal, methional, δ-decalactone and δ-dodecalactone, detected after (photo)-oxidation in UFA/CLA enriched butter, were not found in the oxidised models. It is concluded that they are not formed from CLA nor from [ 13 C18]EtLn under the oxidation conditions applied. The model did not contain methionine, as source for methional. Thus, methional could not be found in the models.
| Compound Odour quality RIa 0 h Light 6 h O 6 h 2 | | | |
|---|---|---|---|
| Pentanal Green, painty 738 Hexanal Oily, green 805 (Z)-3-Hexenol Sweet, fruity 858 3-Heptanole Metallic 877 Heptanal Fatty 906 2-Pentanol Oily, green 951 1-Octen-3-one Mushroom 967 2-Ethyl-2-hexenal Paint, soapy 988 2-Pentyl furan Plastic, nutty 991 2-Octanone Soapy 1002 Hexanoic acid ethyl ester Orange, fruity 1007 (E)-2-Octenal Flower, sweet 1057 2-Hexyl furan Painty 1136 Heptanoic acid ethyl ester Orange 1139 (E)-2-Nonenal Green, metallic 1170 (Z)-2-Nonenal Green 1189 (E,Z)-2,4-nonadienal Green 1219 Octanoic acid ethyl ester Flower 1295 (E,E)-2,4-decadienal Fried oil 1319 γ-Nonalactone Fruity 1366 δ-Undecalactone Fruity 1610 | EtCLAb EtLnc EtCLA + [13C ]EtLnd 18 1f 1 1 1 1 2 ndf nd 2 2 2 1 1 2 2 1 1 1 nd nd nd nd nd 2 nd nd 2 nd nd 2 2 nd nd 1 1 1 nd 2 2 nd nd nd 1 nd 3 2 nd 1 nd nd nd 1 nd 1 nd nd nd nd nd nd nd nd nd | EtCLA EtLn EtCLA + [13C ]EtLn 18 2f 2 2 2 3 3 nd 1 2 1 2 2 2 1 2 2 2 1 nd nd nd nd 2 2 1 nd 2 nd nd 1 nd nd 2 1 nd nd 2 1 2 1 1 1 1 nd 2 1 2 nd nd 2 1 nd nd 1 nd 2 1 nd nd 2 nd nd 2 | EtCLA EtLn EtCLA + [13C ]EtLn 18 2 2 2 1 1 2 nd 2 3 1 nd 3 1 1 2 nd nd 1 nd 2 3 1 2 1 2 nd 3 nd nd 1 nd nd 2 1 nd nd nd nd 2 1 nd 3 nd nd 3 nd 3 nd nd nd nd nd nd nd nd nd nd nd nd 1 nd nd 1 |
The effects of photo-oxidation and oxidation in the dark on the formation of odour compounds in model system EtCLA +[ 13 C18]EtLn are illustrated in table 5.5. The GCTIC (GC-total ion current) peak area showed that pentanal clearly increased during oxidation. The peak of hexanal increased 1.5 times after 6 h of oxidation. However, this compound was already present before oxidation in the EtCLA model. Heptanal and (Z)-3-hexenol increased faster under light exposure. Photo-oxidation seemed also to cause the degradation of esters, such as hexanoic acid ethyl ester and octanoic acid ethyl ester, which were found partly hydrolised after 6 h of light exposure. (Z)-2Nonenal significantly decreased after 6 h of photo-oxidation and oxidation in the dark, respectively. These results are only an indication of the decrease/increase of odouractive compounds in the model systems during oxidation. To provide more precise data, quantitative methods should be applied and other extraction techniques, complementary to SPME, should also be used to extract the less volatile compounds, formed during oxidation. However, the semi-quantitative results obtained during this study allowed some comparisons with UFA/CLA enriched butters. Pentanal, hexanal, heptanal and (E)-2-nonenal were also found as important compounds during the oxidation of UFA/CLA butter (Chapter 4). In particular, these volatiles increased after 6 h of light exposure and under oxygen atmosphere, as found in the model systems under the same oxidation conditions.
The GC/MS chromatograms of the three model systems after 4 h of photo-oxidation and oxidation in the dark are shown in Figures 5.1 and 5.2, respectively. In both cases, the numbers and the abundances of volatile compounds generated in the EtCLA samples, after 4 h of oxidation, was higher than in EtLn samples. Therefore, we conclude that EtCLA, under our oxidation conditions, oxidised faster than EtLn. These findings are in agreement with previous observations (Chen et al., 1997; Zhang and Chen, 1997; Yang, 2000) suggesting that the conjugated double bonds of CLA may be more vulnerable to autoxidation than the non-conjugated double bonds.
Table 5.6 shows the proportions of isotopomers formed in the mixed model system during oxidation. In particular, the carbon atoms of (Z)-3-hexenol were found labelled to more than 99 %. This means that (Z)-3-hexenol is a secondary oxidation product of ethyl linoleate and, under the experimental conditions applied, not formed from EtCLA. (Z)-2-Nonenal was also found labelled to 88 % and 82 % after 6 h of photooxidation and oxidation in the dark, respectively. Surprisingly, (E)-2-nonenal behaved differently from (Z)-2-nonenal and the percentage of the labelled carbon atoms was about 56 % (mean value) in photo-oxidised samples and 63 % (mean value) in the models oxidised in the dark. Pentanal was formed likewise from EtCLA and EtLn. The proportion of unlabelled/labelled carbon atoms in this compound was 50/50, after 6 h of oxidation in both experiments. On the other hand, other aldehydes, such as hexanal and heptanal, were found unlabelled to about 75 % (mean value) and therefore, originated mainly from EtCLA. However, the proportion of the labelled isotopomers increased in hexanal during oxidation, meaning that the formation of hexanal from [ 13 C18]EtLn increased during the oxidation experiment.
These findings confirm the study of García-Martínez et al. (2009), who found hexanal and heptanal as main secondary oxidation products in oil and triacylglycerols, containing equal amounts of cis 9, trans 11 CLA and trans 10, cis 12 CLA isomers.
The formation of pentanal and hexanal is predictable from the expected major 13hydroperoxide, formed from cis 9, trans 11 CLA (García-Martínez et al., 2009). However, hexanal can also be formed from a tertiary reaction, e.g., during the autoxidation of 2,4-decadienal (Belitz et al., 2004).
The origin of heptanal, in oxidised oil containing CLA, can be explained by β-scission of the alkoxyl radical formed from 12-hydroperoxy-trans-8, trans-10-octadecadienoate (García-Martínez et al., 2009), which was reported to originate from oxidised cis 9, trans 11 CLA (Hämäläinen et al., 2002).
(E)-2-Nonenal could originate from two hydroperoxides, 10-hydroperoxy-trans-8, trans-11-octadecadienoate and 10-hydroperoxy-trans-8, cis-11-octadiecanoate, formed in oxidised cis-9, trans-11 CLA (García-Martínez et al., 2009).
| Light O 2 | | | |
|---|---|---|---|
| No.b Compoundc RId RIe 0 h 2 h 4 h 6 h 2 h 4 h 6 h | | | |
| Pentanal 975 738 1 Hexanal 1082 805 2 Heptanal 1170 906 2-Octanone 1218 1002 3 Hexanoic acid ethyl ester 1222 1007 (E)-2-Octenal 1278 1057 4 2-Ethyl-2-hexenal 1305 988 5 Heptanoic acid ethyl ester 1330 1139 (Z)-3-Hexenol 1395 858 6 Octanoic acid ethyl ester 1430 1295 7 (Z)-2-Nonenal 1510 1189 8 (E)-2-Nonenal 1529 1170 9 Octanoic acid 2060 1290 10 Decanoic acid 2280 1380 | 4 217 67 14 77 81 69 65 13 70 34 38 22 14 | 9 12 13 266 360 385 124 195 184 24 15 14 66 59 39 70 70 64 66 70 66 56 58 54 20 52 52 61 59 52 33 49 19 35 48 43 25 26 22 16 16 12 | 8 12 13 283 323 392 99 128 140 25 14 32 72 74 82 67 67 92 64 66 81 59 60 75 15 18 20 60 57 86 41 48 14 36 39 52 23 20 23 17 11 14 |
EtCLA
N L :
3 .0 1 E 8
T IC F : M S
M IX 4 L
C
13
18
]EtLn
13
3 .6 0 E 8
T IC F : M S
M IX 4 O
EtCLA/[
C
18
]EtLn
| Proportion of unlabelled/labelled carbon atoms (%)a | | | |
|---|---|---|---|
| Compound m/z m/z Light Light O 2 (M+) (analysed and O 2 | | | |
| Pentanal 86 86; 91 Hexanal 100 100; 106 (Z)-3-Hexenol 102 102; 108 Heptanal 114 114; 121 2-Ethyl-2-Hexenal 126 126; 134 2-Pentyl furan 138 138; 147 2-Octanone 128 128; 136 Hexanoic acid ethyl ester 144 144; 152 (E)-2-Octenal 126 126; 134 | 0 h nd/nd 83/17 nd/nd 73/27 nd/nd 58/42 nd/nd >99/<1 >99/<1 | 2 h 4 h 6 h 67/33 50/50 50/50 77/23 70/30 66/34 nd/>99 nd/>99 nd/>99 75/25 81/19 80/20 98/2 89/11 86/14 57/43 57/43 51/49 71/29 69/31 66/34 >99/<1 >99/<1 >99/<1 >99/<1 >99/<1 >99/<1 | 2 h 4 h 6 h 58/42 50/50 50/50 76/24 75/25 74/26 nd/>99 nd/>99 nd/>99 75/25 76/24 75/25 98/2 76/24 97/3 60/40 59/41 55/45 70/30 71/29 73/27 >99/<1 >99/<1 >99/<1 >99/<1 >99/<1 >99/<1 |
Among the other odour compounds formed during oxidation of the mixed model system EtCLA/[ 13 C18]EtLn, 2-ethyl-2-hexenal and 2-octanone were mainly found unlabelled, from 76 % to 98 % and from 66 to 73 %, respectively. 2-Octanone originates from EtCLA and 2-ethyl-2-hexenal may be formed as an aldol product of butenal.
The proportion of unlabelled/labelled carbon atoms was between 51/49 % and 55/45% for 2-pentyl furan, whereas 2-hexyl furan was found unlabelled to more than 99 % in all samples. Our results point to the formation of these compounds mainly from EtCLA. However, in the literature, 2-pentyl furan and 2-hexyl furan are described as oxidation products of free linoleic acid (Min et al., 2003; Lee et al., 2003). To date, only furan fatty acids, such as 8,11-epoxy-8,10-octadecadienoic or 9,12-epoxy-9,11octadecadienoic acid, are reported as products of CLA oxidation. The furan fatty acids could arise from cyclic peroxides formed by a 1,4 addition mechanism (Eulitz et al., 1999; Yurawecz et al., 2003). The furan fatty acids themselves are susceptible to oxidation (Eulitz et al., 1999) which may lead to other products, including alkyl furans.
In the oxidation experiments, (E)-2-octenal, acids and esters were found almost completely unlabelled (>99 %). This means that these compounds probably originate from EtCLA oxidation. On the other hand, García-Martínez et al. (2009), who compared the oxidation products of a CLA-containing oil to a linoleic acid-containing oil, concluded that (E)-2-octenal was mainly formed from linoleic acid. This different
result might be explained by the different oxidation conditions and the different matrix used in this study. However, (E)-2-Octenal has been also reported to form from 11hydroperoxy-9,12-octadecadienic fatty acid, thus from cis 9, trans 11 CLA (GarcíaMartínez et al., 2009).
The degradation of hydroperoxides is one possible pathway leading to volatile compounds from CLA. However, the low temperature used in our oxidation experiment (6 °C) probably reduces or even inhibits the formation of the hydroperoxides. Luna et al. (2007) observed that the formation of hydroperoxides was negligible at 30 °C, whereas Hämäläinen et al. (2001) and Pajunen et al. (2008) obtained hydroperoxides from CLA methyl esters, oxidised under atmospheric oxygen pressure, at 40 °C in the dark.
Thus, in our study, the formation of volatile compounds from the oxidation of cis 9, trans 11 CLA, has probably to be attributed to a cycloaddition of oxygen, as proposed by Eulitz et al. (1999) and Yurawecz et al. (2003). The authors found hexanal, heptanal, octanoic acid methyl ester, 2-heptenal and 2-nonenal as secondary oxidation products in photo-oxidised cis 9, trans 11 CLA methyl ester. They suggested that cis 9, trans 11 CLA methyl ester undergoes a 1,2 cycloaddition of oxygen, resulting in 11,12-dioxetane or 9,10-dioxetane, leading to heptanal and 2-nonenal by scission, respectively.
5.4 Conclusion
The results obtained in this study allow a better understanding of the role of CLA in odour compound formation. The main chemical pathways leading to volatile formation from CLA oxidation are either a 1,2 or 1,4 cycloaddition or a hydroperoxide mechanism, respectively. Under our experimental conditions, low temperature and a relatively short oxidation time, the two cycloaddition mechanisms seem to be the most plausible pathway for the formation of the volatile compounds which have been detected in the model. The origin of hexanal, heptanal, (E)-2-octenal, (E)-2-nonenal, 2-octanone, furans, ethyl esters and acids, in the model system EtCLA /[ 13 C18]EtLn, is mainly attributed to EtCLA oxidation. However, to provide more precise data on odour formation from CLA, quantitative studies are needed. Besides, other aroma extraction techniques, complementary to SPME, should also be applied to identify the less volatile compounds formed from CLA oxidation.
These findings may also be translated to UFA/CLA enriched butter studied previously (Mallia et al. 2008). The odour compounds found in this butter, during storage, photo-oxidation and oxidation in the dark, respectively, are the same ones as found in the model system EtCLA /[ 13 C18]EtLn. Therefore, the odorants found in UFA/CLA butter may also be formed by CLA oxidation and not only by oxidation of linoleic, linolenic and arachidonic acid as previously described in the literature (Badings, 1970; Widder, 1994a, b).
However, our model systems do not take into account the influence of antioxidants, such as α-tocopherol, or pro-oxidants, such metals ions. The α-tocopherol and retinol contents of UFA/CLA enriched butter were always higher than in conventional butter (Mallia et al., 2008). Therefore, these vitamins could partly protect the UFA/CLA butter from oxidation. On the other hand, the iron content, which was always higher in UFA/CLA enriched butter, might negatively affect the oxidative aroma formation of this butter because of its pro-oxidant activity. Further studies are needed to better understand the odour formation from CLA, using model systems with pro-oxidants and anti-oxidants. Moreover, the formation of odour compounds from CLA should further be investigated under various oxidation conditions, including temperature, matrix, and interactions with other food components, such as water. The water content of about 12-15 % in butter may change the stability of CLA during oxidation and lead to different odorants. Seo et al. (1999) demonstrated, for example, that CLA was more stable than linoleic acid in an aqueous system. The aroma formation of different CLA isomers and different CLA forms, such as CLA esters or CLA free fatty acids, should also be further studied.
6. Conclusions and outlook
6.1 Effects of storage on UFA/CLA enriched butter compared to conventional butter
As expected, the present investigation showed that UFA/CLA enriched butter has a significantly lower percentage of SFA and, thus, a significantly higher percentage of MUFA and PUFA, including CLA, compared to conventional butter. The feeding regime of the dairy cows, based on pasture and sunflower seeds is particularly rich in unsaturated fatty acids. It is responsible for the different FA composition and for the higher content of antioxidants, such as α-tocopherol, in UFA/CLA enriched butter. This result supports the findings of earlier investigations by Chilliard et al. (2001), AbuGhazaleh et al. (2004) and Collomb et al. (2004). The UFA/CLA enriched butter is also characterised by a lower fat content, which is 1-2 % lower than in conventional butter. A lower fat content of dairy products was also observed by AbuGhazaleh et al. (2004) and Chilliard et al. (2001), when the diet of the cows contained a source of UFA. This phenomenon seems to be related to an increase in trans fatty acids, such as trans 10, cis 12 CLA, which inhibit the milk fat synthesis (Baumgard et al., 2000). The mechanisms of fat secretion inhibition are not yet clear and need further investigation. However, the inhibition of milk fat synthesis does not yet explain the particularly low fat content (80 %) and the subsequently higher moisture content (19
%) found in the UFA/CLA enriched butter sample, which was produced in September 2006 (cf. Chapter 3). This could be due to the butter-making process, which was noncontinous and partly carried out manually, such as in the kneading step. The complex organisation of the feeding experiments and the restricted availability of the cows made a replication of this trial impossible. A continous industrial butter production process could avoid similar experimental deficiencies, as automated adjustments of target fat and water contents would be controlled.
The UFA/CLA enriched butter also contained significantly more trans fatty acids than conventional butter (9 versus 5 g/100 g fat). The trans CLA isomers are not included in the sum of the total trans fatty acids, as recommended by the Swiss Regulation of FDHA (2008), because of their potential beneficial effects. At any rate, in fact, CLA have been reported to show potential anticarcinogenic and cholesterol lowering effects.
The role of trans fatty acids of animal origin in the human diet is still dibated in literature. The intake of trans fatty acids of animal origin and the occurrence of coronary heart diseases is negatively correlated according to Willet et al. (1993), Bolton Smith et al. (1996) and Pietinen et al. (1997). On the other hand, a decrease of coronary heart diseases was positively correlated with an intake of trans fatty acids from animal sources (Danish Nutritional Council, 2003).
Other differences in the chemical composition of UFA/CLA enriched butter compared to conventional butter are found in a higher content of essential fatty acids and vitamins.
Furthermore, the higher content in UFA causes a better spreadability of the butter, a further advantage for the consumer.
6.2 Effects of oxidation on UFA/CLA enriched butter and conventional butter
The aroma of UFA/CLA enriched butter was compared to that of conventional butter to investigate the oxidation behaviour of UFA/CLA during storage. The GC/MS/O findings showed no significant differences in the aroma composition between the two types of butter, when fresh (0 days until 2 weeks of cold storage). Their odour profiles, characterised by milky, soapy and sulphury notes in the beginning, were different after 2 to 8 weeks of storage. The UFA/CLA enriched samples developed more intense fatty, green and fruity notes. Quantification by stable isotope dilution analysis revealed significantly higher amounts of pentanal (fatty, green), heptanal (soapy) and δ-decalactone (peach) in the stored UFA/CLA enriched butter. Pentanal and heptanal are reported to form from oxidation of unsaturated fatty acids (Grosch, 1987). Delta-decalactone was already identified as an important aroma compound in sweet cream butter (Schieberle et al., 1993; Peterson and Reineccius, 2001a). However, our investigation showed a concentration of 2858 μg/kg in fresh UFA/CLA enriched butter, which was more than two times higher than the 1193 μg/kg found by
Peterson and Reineccius (2001a). Storage seemed to play an important role in the δdecalactone concentration which was more than twice as high in the stored UFA/CLA butter than in the fresh UFA/CLA samples. The significantly higher amount of δdecalactone in the UFA/CLA enriched butter could stem from CLA oxidation and not only from 5-hydroxy fatty acids already present in cream, as previously reported (Kinsella et al., 1967; Alweijn et al., 2007; Morán Hernández, 2007). By 1,2 cycloaddition of oxygen, CLA isomers can first form an instable intermediate, dioxetane, which gives, by scission, aldehydes and aldehyde esters (figure 6.1). The latter can form lactones by an intramolecular reaction of the aldehyde group with the carboxy group (Yurawecz et al., 2003). However, the chemical reaction pathway from CLA to lactones is not yet fully understood.
A sensory panel evaluated the samples and rated the two kinds of butter as very similar in aroma during storage. The sensory results contradict the GC/MS/O findings. It can be explained by the two different methodologies used. During the GC/O analysis the odour compounds are separated and perceived individually, one after another. The sensory panel perceive the odours simultaneously as an overall sensory impression, including complex odour-matrix and interactions between odorants.
The effects of storage on the aroma of UFA/CLA butter confirm the hyphothesis that UFA are prone to oxidation and produce aroma compounds by oxidation reactions. However, the higher concentrations of aldehydes and lactones in UFA/CLA enriched butter did not impair the overall butter flavour as demonstrated by the sensory
analyses of the stored samples. These results have to be considered in the context of the storage conditions chosen for this study. The results may change with different conditions.
When the butter samples were subjected to photo-oxidation, the GC/MS/O analyses allowed the identification of new compounds, such as methional (potato-like) and trans-4,5-epoxy-(E)-2-decenal (metallic), previously not found in the fresh and stored samples. Light exposure of butter induces different oxidation pathways and involves reactions with vitamins, such as riboflavin (vitamin B2), a photosensitiser. The photooxidation leads to losses of vitamins and amino acids, to discolouration of foods, as well as to formation of strong off-flavours, such as aldehydes, ketones and sulphurcontaining-compounds (Borle et al., 2001). Light exposure provoked a stronger metallic off-flavour in the conventional samples, due to a higher amount of trans-4,5epoxy-(E)-2-decenal compared to UFA/CLA enriched butter. The higher contents of α-tocopherol and retinol in the UFA/CLA enriched butter may protect it from photooxidation. A potential antioxidant activity of CLA on lipid oxidation has been described in the literature (Ha et al., 1990; Ip et al., 1991), but it is disputed by contradictory studies indicating CLA as prooxidant (van den Berg et al., 1995; Banni et al., 1998).
Exposure of the samples to a saturated oxygen atmosphere in the dark produced some different volatiles in the two types of butter. The concentration of heptanal (fatty), 1octen-3-one (mushroom-like), (Z)-3-hexenal (green), (E)- and (Z)-2-octenal (fatty and
nutty, respectively) significantly increased in conventional butter exposed for 12 h to the oxygen atmosphere. α-Tocopherol might play an important role in the protection of UFA from oxidation in this case, too.
6.3 Comparison of UFA/CLA butter with a butter model: origin and mechanisms of odour compounds formation during oxidation
An oxididation experiment with three model systems containing labelled EtLn, EtCLA and a mixture of both, respectively, under the same oxidation conditions as the ones used previously for butter showed that EtCLA oxidised faster than [ 13 C18]EtLn. This result suggests that a conjugated double bond is more susceptible to oxidation than a nonconjugated double bond under these experimental conditions. This is in agreement with observations published by van den Berg et al. (1995), Chen et al. (1997), Zhang and Chen (1997) and Yang et al. (2000). However, results obtained by Seo et al. (1999) and Suzuki et al. (2001) show that CLA may be more stable against oxidation than linoleic acid. These contradictions are most probably due to different oxidation conditions used in the experimental setups.
Monitoring the carbon atoms of the compounds formed after oxidation of the mixed model (EtCLA/[ 13 C18]EtLn) allowed to track the origin of the volatiles from [ 13 C18]EtLn or EtCLA. Some compounds, such as pentanal, were found 50 % labelled, indicating that it is equally formed from both precursors. (Z)-3-Hexenol, found labelled more than 99 %, was, on the other hand, formed from [ 13 C18]EtLn. Hexanal and heptanal were found mainly unlabelled and, therefore, stem predominantly from
EtCLA. These results are in agreement with a previous study from Garcia-Martinez (2009). Table 6.1 summarises the likely origin of the odorants found in UFA/CLA enriched butter from oleic, linoleic, linolenic, or from CLA. The compounds originating from UFA can be formed by a radical mechanism leading first to hydroperoxides and then, after breakdown of these, to odour-active carbonyl compounds (Grosch, 1987). On the other hand, the formation of odorants from CLA follows different chemical pathways and a radical oxidation mechanism with hydroperoxide formation is less probable than with UFA (Eulitz et al., 1999). In addition, the low temperature used in our oxidation experiment probably slowed down the formation of hydroperoxides. The volatile compounds are probably mainly formed by a 1,2 or 1,4 cycloaddition of oxygen. In particular, the 1,4 cycloaddition leads to the formation of cyclic peroxides and subsequently to furan fatty acids, which can form dioxoenes, formylfurans or α-oxo-furans (Figure 6.1). A radical mechanism can also lead, in particular, to aldehydes, such as 2,4-decadienal and hexanal, formed from 9-LOOH and 13-LOOH, respectively (Figure 6.1). Yurawecz et al. (2003) reported that 14% of the oxidation products of cis 9, trans 11 CLA result from the breakdown of 9- and 13-LOOH.
The majority of odour compounds detected in the mixed model system by GC/MS/O were the same as the ones found in UFA/CLA enriched butter. This confirms that the mixture of [ 13 C18]EtLn and EtCLA in miglyol was a suitable model to study the formation of individual aroma compounds and to compare it to the ones found in
UFA/CLA enriched butter. However, these models did not take into account the influence of antioxidants, such as α-tocopherol or pro-oxidants like metal ions. The emulsion nature of the butter was also not considered in the simplified model. The presence of water (12-15 % as in butter) might play an important role in the oxidation and can influence the speed of oxidation. A previous study (Seo et al., 1999) demonstrated that CLA was more stable than linoleic acid in an aqueous system. Another limitation of the model systems is the absence of other UFA, such as oleic, linolenic and arachidonic acids, which are also potential precursors of aroma compounds. A study with more complex butter models could further explain aroma formation by possible interactions with more different UFA.
Table 6.1: Origin of important odour compounds found in UFA/CLA enriched butter and conventional butter during oxidation
a The origin of volatile compounds from oleic, linoleic and linolenic acid is reported according to Grosch (1987) and Belitz et al. (2004)
cThe origin of this compound is based on the results reported in chapter 5 and on the literature (Grosch, 1987; Min et al., 2003)
bThe origin of volatile compounds from CLA is based on the results reported in chapter 5 and on the literature (Yurawecz et al., 2003)
dThe origin of this compound is based on the results reported in Chapter 5
H
Endoperoxides
Furan fatty acids
Endoperoxides
Furan fatty acids
H
7
13
7
H
13
heptanal heptanal
enal-ester enal-ester
6.4 Concluding remarks and perspectives
Although our findings allow to conclude that the enrichment of milk with UFA/CLA does not impart detectable off-flavours to butter during 8 weeks of cold storage, further studies on storage stability of UFA/CLA enriched dairy products would be advisable, to evaluate the possible flavour changes of these products during longer storage periods and at different temperatures.
The role of pro- and antioxidants during storage of UFA/CLA enriched milk products also needs to be clarified. The pro-oxidative effect of iron ions, found in high amount in UFA/CLA enriched butter, was probably balanced by the antioxidative properties of its high α-tocopherol content. CLA could also play an important role in protecting UFA/CLA enriched butter against oxidation. However, additional knowledge on the antioxidative properties of CLA is required. The antioxidative activity of other milk micro-nutrients, such as ascorbic acid, β-carotene, lutein, zeaxantine, and in addition the chelation of transition metals by milk proteins, such as albumin and lactoferrin, should also be taken in account in future investigations.
To date, the classical lipid oxidation mechanism fails to satisfactorily explain the oxidation pathways of CLA. Knowledge of the kinetics and mechanisms involved on these reactions would be important to develop strategies for the storage of CLAenriched foods.
It would also be interesting to compare a natural CLA enrichment by animal feeding to a direct CLA-fortification in dairy products. The latter may not yield the same CLA isomers or isomer ratios as via animal feeding (Linch et al., 2005). This could have consequences on the flavour quality and on the potential beneficial effects of the CLA in dairy products. A study by Campbell et al. (2003) on direct CLA-fortification with CLA oil found a "grassy/ vegetable oil" flavour in the fortified milk, which was less acceptable than the flavours of not fortified milk. In this case, off-flavours could be avoided by microencapsulation of CLA in dairy products. Kim and al. (2000) showed that it is possible to protect CLA from oxidation by encapsulation in cyclodextrins. Similar studies could also be applied to dairy products, which may be considered functional foods.
There is a lack of detailed sensory profiles and analyses of CLA-enriched dairy products. The sensory results available are mainly based on triangle tests (Linch et al., 2005; Jones et al., 2005) and sometimes indicated significant differences and sometimes no significant differences in flavour between UFA/CLA enriched dairy products and conventional samples. Thus, before commercialising UFA/CLA enriched dairy products, additional sensory tests would be recommended, not least to assess the acceptability of these products by the consumer.
Further clinical studies are still necessary to demonstrate and confirm the beneficial health effects claimed for the different CLA isomers, and to clarify the necessary daily CLA intake that would result in these beneficial health properties.
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Yurawecz, M. P., Hood, J. K., Mossoba, M. M., Roach, J. A. G., Ku, Y. (1995). Furan fatty acids determined as oxidation products of conjugated linoleic acids, Lipids, 30, 595-598.
Yurawecz, M. P., Delmonte, P., Vogel, T. Kramer, J. K. G. (2003). Oxidation of conjugated linoleic acid: initiators and simultaneous reactions: theory and practice. In Sébédio, J.., Christie, W. W., Adlof, R. (Eds.), Advances in Conjugated Linoleic Acid Research, Vol. 2 (pp. 56-70). Champaign, IL, USA: AOCS Press.
Zhang, A., Chen, Z. Y. (1997). Oxidative stability of conjugated linoleic acids relative to other polyunsaturated fatty acids. Journal of American Oil Chemist's Society, 74, 1611-1613.
Thanks
The journey till this point would not have been possible without the support of several people, who helped me during my three years of doctorate study.
To begin with, I express my sincere gratitude to my thesis supervisor Dr. Hedwig Schlichtherle-Cerny, for the guidance, collaboration and support that were readily available throughout my stay at ALP. I would also like to thank her for sharing with me her wisdom, knowledge and experiences.
Thanks to Prof. Dr. Felix Escher for accepting me as his student and giving me the opportunity to do the thesis under his guidance. It was for me a pleasure and an honour to collaborate with him.
I am grateful to Prof. Dr. Lacroix, for accepting to be co-referent of my thesis.
My special thanks goes to Brita Rehberger, who is responsible for the EU QLIF Project at the Agroscope Liebefeld-Posieux (ALP), for her helping, encouraging and enthusiastic support on my research.
I would like to aknowledge my colleagues from ALP for making my PhD journey enjoyable and a precious learning experience. I thank Ueli Bütikofer for the statistical analysis, René Badertscher for the discussion and the analysis on chemical composition of butter, Dr. Marius Collomb for the useful discussion on fatty acids and CLA, Sébastien Dubois for the analysis of skatole, Pius Eberhard for planning the oxidation experiments, Dr. Jörg Hummerjohann for the discussion on microbiology, Patrizia Piccinali for the results on sensory analysis and for the collaboration on articles and posters preparation, Ueli Wyss for his expertise on cow's diet. For their skilful technical support, many thanks to Martina Frank, Verena Kilchermann,
Hans-Peter Künzi, Agathe Liniger, Patrik Malke and Monika Spahni. I would also to thank the colleagues of the pilot plant at ALP and in particular, Claude Hegel, for the butter production. For the preparation of the thesis cover I would like to thank my colleagues Katharina Breme and Olivier Bloch.
Thanks to my colleagues at ETH and in particular to Heidi Sygrist, Melanie Tietz and Jurg Baggenstoss for help and valuable suggestions.
The five months spent at the Technical University of Munich in Garching, were an enriching and unforgettable period during my doctorate. For that I have to thank Prof. Dr. Peter Schieberle, for giving me the opportunity to work with him and his group. My thanks to Dr. Martin Steinhaus and Dr. Michael Granvogl for scientific discussions and to Petra Bail, Cornelia Hartl and Jörg Stein for the technical support. Letitia David, Julia Scherb and Diana Sinuco contributed with their sustain and friendship to make this period in Garching unforgettable.
Dr. Christoph Cerny has all my gratitude for helping me so diligently and efficiently with all my scientific manuscripts, by giving his valuable comments and suggestions.
I would also like to thank Dr. Jacques-Olivier Bosset, who first invited me to spend some months at ALP for a practical period and transmitted me the enthusiasm for the research on aroma of dairy products.
Doing PhD would have been much difficult without friends. In particular I would like to thank Francina Sagaya for her moral support, her enthusiasm to know about my research and its practical implication, and for sharing her leisure hours having stimulating discussions, meals, outings.
I am particularly grateful to my family in Italy, who always supported and incouraged my choises.
A good private life is important to find the right concentration for work, for that I have to thank my boyfriend Tim: without his patience, support, encouragement and help this thesis would not have been completed.
Curriculum Vitae
Silvia Mallia
born April 27, 1972
from Italy
2005-2008
Doctoral student and research assistant in the group of Prof. Dr. Felix Escher, Laboratory of Food Chemistry and Technology, Institute of Food Science and Nutrition, Swiss Federeal Institute of Technology (ETH), Zurich, and in the group of Dr. Hedwig Schlichtherle-Cerny, Laboratory of Aroma and Taste, Agroscope Liebefeld-Posieux (ALP), Berne.
2000-2005
Reponsible of the Aroma Research Laboratory of CoRFiLaC, Dairy Research Center, Ragusa, Italy.
1999-2000 Master on "Valorisation of typical products of the Mediterranean diet",
University Federico II – Naples (Italy) and ENITIAA, Nantes (France).
1999
Diploma degree in Food Science and Technology, University of Catania, Italy.
1993-1999 Studies of Food Science and Technology at the University of Catania, Italy.
1986-1991 High School at the "Liceo Scientifico G. Galilei", Modica, Italy
1978-1986 Primary School in Modica, Italy
The research described in this thesis was financially supported from the European Community under the 6 th FP for Research, Technological Development and Demonstration Activities for the Integrated Project QUALITYLOWIMPUTFOOD,
FP6-FOOD-CT-20003-506358, and from the Swiss State Secretariat for Education and Research.
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Charities SORP Committee Minutes
(approved at the 6 February 2015 SORP Committee meeting)
Date
11 December 2014
Venue
Directory of Social Change, 24 Stephenson Way, London, NW1 2DP
Joint Chair
Nigel Davies
Charities Commission
Members Present Sarah Anderson
Deloitte LLP
Caron Bradshaw
CFG
Richard Bray
Cancer Research UK
Michael Brougham ACIE
Tom Connaughton The Rehab Group
Pat Dennigam
Focus Ireland
Mark Hill
Sainsbury Family Charitable Trusts
Geoff Hunt
Wolfson Foundation
Noel Hyndman
Queen's University, Belfast
Kenneth McDowell Chiene & Tate
Sheila Nordon
ICTR
Simon Ling
National Association of Almshouses
Carol Rudge
Grant Thornton
Joe Saxton
nfpSynergy
Jenny Simpson
Wylie & Bissett LLP
David Spivey
Royal National Lifeboat Institution
Mark Spofforth
Spofforths Chartered Accountants
In attendance
Mei Ashelford David McConnell Una Ní Dhubhghaill Pesh Framjee
FRC
Charity Commission Northern Ireland
Charity Regulatory Authority
Crowe Clark Whitehill, Technical Advisor to
CIPFA Secretariat
Alison Scott Anne Davis
CIPFA, Secretary to the SORP Committee CIPFA
Apologies
Laura Anderson
OSCR, Joint Chair of the SORP Committee
Action
1 Welcome, Apologies for absence and declarations of interest
1.1 Nigel Davies welcomed members to the meeting and noted with thanks that the Directory of Social Change had hosted the meeting. The meeting was one of many firsts: the first with CIPFA providing the Secretariat support, the first with member representation from the Republic of Ireland and the first to have the newly established Charity Regulatory Authority represented.
1.2 Apologies for absence were received from Laura Anderson.
1.3 Nigel Davies clarified that declarations of interest arise where a member has already given advice or has a published position on a particular matter which is before the Committee for debate. He asked if there were any declarations of interest to be made. No declarations of interest were noted by members.
2 Introductions by members of the Committee
Nigel Davies invited members of the Committee to introduce themselves briefly, regarding their professional background, areas of expertise and interests for wanting to be a Committee member and in the charities SORP.
3 Networking over lunch
4 The SORP Agenda – a 3 year perspective
4.1 Nigel Davies invited Committee members to give their views on key themes and issues facing the charity and voluntary sector, by jurisdiction, in the next three years.
4.2 Republic of Ireland (ROI)
Committee members highlighted the following key issues for the charity and voluntary sector in the Republic of Ireland:
- the impact on the Companies Law Bill 2012 which is due to be enacted in 2015 and possible implications for the audit exemption threshold for charities. In the ROI, the audit exemption threshold for charities is 250,000 euro (old threshold);
- charity regulation is developing in ROI. There is a new Charity Regulator, the Accounting and Reporting Regulations are yet to be finalised, and there is concern about the overall regulatory approach, particularly a nervousness about what will be mandated for small unincorporated charities;
- given that the Accounting and Reporting Regulations are awaiting final approval, the SORP is regarded as best practice in ROI and is not mandatory;
- there is a desire in the ROI to adopt best practice; and
- there is no current provision for independent examinations.
4.3 Northern Ireland
Committee members highlighted the following key issues for the charity and voluntary sector in Northern Ireland:
- charity regulation in Northern Ireland is still in its infancy and the Charity Commission for Northern Ireland are only beginning to map the sector;
- pending this mapping, it is currently believed that Northern Ireland's charity sector consists of mostly small charities;
- unlike England & Wales, the legislation in Northern Ireland does not provide exemptions for small charities and there is no equivalent to excepted charity status;
- therefore any sort of reporting will be a shock to many charities;
- accounting and reporting regulations are being drafted by the Department for Social Development but are not yet in force;
- until these regulations are in force, adoption of the SORP is not mandatory but remains best practice
- a quirk of company legislation in Northern Ireland means that the audit gross income threshold for incorporated charities is currently £250k; and
- this means that many smaller incorporated charities above this threshold are potentially going to be held to the standard of the SORP until the DSD regulations come into force.
4.4 Scotland
Committee members highlighted the following key issues for the charity and voluntary sector in Scotland:
- OSCR's ongoing consultation on its regulatory framework;
- issues in financial reporting relating to which of the SORPs to follow, accounting issues such as pension liabilities for final salary pension schemes, loan instruments and possible impact on bank loan covenants and some disclosures e.g. trustee disclosures;
- there is no exemption from filing charity accounts in Scotland. In Scotland, 60% of charities are below the £25k income ;
- different audit thresholds across jurisdictions would result in a charity having to comply with the stricter regime i.e. the lowest audit threshold; and
- need to think small first when developing standards and regulations.
4.5 England and Wales
Committee members highlighted the following key issues for the charity and voluntary sector in England and Wales:
- public perception of charities and what is important. Recent research by nfpSynergy found that 25% of the public don't believe that a charity chief executive should be paid anything. Although this may be unrealistic, this is typical of a perceptions gap between the public and the sector. There are currently gaps in knowledge about how charities operate and how the public think they are. Transparency is important in order to enhance the public's understanding of charities and promote public trust.
- The SORPs should be made as accessible as possible.
- The SORPs must address financial reporting concerns such as the impact of defined benefit schemes, switch from grants to performance contracts, capital and revenue grants and implications on fund accounting, distinction between promise, commitment and liability for grant-making bodies, sources of funding, allocation of overheads across activities, risk management, financial performance and measurement and financial stability.
- audit exemptions levels, including the recent Cabinet Office consultation in this area;
- dual or multiple registration requirements for charities in the UK and associated regulatory jurisdictional differences;
- changing landscape of charities and different legal structures;
- better understanding about how charities can be distinctive and demonstrate public benefit;
- encouraging charities to have a holistic approach to financial reporting rather than a mechanistic one;
- better link between the Charity SORP and the work done on integrated reporting internationally;
- level of detail included in the SORP. It should not be assumed that the quality of financial reports will improve if more detail is required by the SORP. Need to consider learning from the standard setting
process by other regulators and perhaps consider setting up a reporting panel to pick up accounting and financial reporting issues not dealt with adequately in the SORP; and
- online Financial Reporting and best practice in this area.
4.6 Secretariat
Nigel Davies invited the Secretariat to provide their views on any additional key themes and issues facing the charity and voluntary sector in the next three years:
- Link between revenue recognition changes in IFRS, FRS 102 and the SORP;
- Boundary and links between the not-for-profit sector and the public sector in relation to accounting and governance; and
- Implications of a possible increase in the audit threshold on the Charity SORP, in particular the Trustees Report requirements that apply to larger charities; and
- Future development of International not for profit financial reporting standards for areas where there are no legal or regulatory guidance. This initiative is being led by Ian Carruthers (CIPFA) on the back of CCAB Research in to this area.
5 Update from the FRC
5.1 Mei Ashelford, Project Director at the FRC, provided a verbal update on the developments to UK accounting standards at the FRC.
5.2 Mei reported that the FRC has consulted on the future of financial reporting for small entities as part of its implementation of the EU Accounting Directive. The FRC proposed to withdraw the FRSSE and replace it with a standard for micro-entities (FRS 105) and bring other small entities within the scope of FRS 102 with limited mandatory disclosures (FRS 102 for Small Entities). The initial analysis of responses suggests strong support for this proposal.
5.3 The Committee discussed the implications for charities of the new accounting standard for micro-entities. A micro entity is legally defined as a company with a turnover less than £632,000 a year. The FRC proposes that FRS 105 will be based on the recognition and measurement requirements of FRS 102 but that further simplifications may be introduced.
5.4 The Joint Chair noted that the applicable UK Companies Act regulations excluded charitable companies from adopting the micro-entity reporting framework. He noted that when the previous SORP Committee had considered this option it had decided against it and had recommended that charities be kept outside of the scope of micro-entity reporting.
5.5 The Committee considered whether it would be appropriate to request a change in law in order to allow charities to benefit from the micro-entity standard. However, after some discussion, the Committee rejected this on the grounds of public interest.
5.6 It is expected that the FRC will issue detailed exposure drafts of FRS 105 and other amendments to FRS 100 to 102 for consultation by the end of February 2015.
5.7 Based on the above update, Nigel Davies gave the Committee an overview
of the key timescales for developing the replacement to the SORP (FRSSE). The Committee would have to discuss a draft replacement for the SORP (FRSSE) at its meeting on 6 February 2015 meeting, in order to seek approval for consultation from the FRC by mid-March 2015. If approved by the FRC, a three month consultation period would follow.
5.8 Final approval of the SORP solution for small entities will be sought from the FRC in December 2015 with the intention is to issue it for accounting periods on or after 1 January 2016.
5.9 The Committee noted that timings were very tight for drafting, consulting and finalising the SORP (FRSSE) replacement. Further information on this is available in agenda item 8 below.
6 Implications of revisions to FRS 102 for the Charities SORP (FRS 102)
6.1 In advance of the discussion on the paper, Nigel Davies explained the types of guidance that the SORP-making body could issue in addition to a SORP:
- Information Sheet: the purpose of an information sheet is to provide supplementary advice or support to particular issues, which may be the result of ambiguity in the text of the SORP. Information sheets are advisory in nature and there is no requirement for users to apply them. Information sheets can be issued without FRC approval.
- Update Bulletin: implement a change to the text of a SORP itself. Bulletins have to follow due process including a 3-month consultation and seek FRC approval.
6.2 Alison Scott informed the Committee that in July 2014 the FRC issued amendments to FRS 102 relating to the classification of basic financial instruments and hedge accounting. These amendments revised the criteria for the types of financial instruments that can be accounted for as basic financial instruments and removes some of the hedge accounting restrictions broadening the eligibility criteria.
6.3 The Committee discussed whether it would be appropriate to issue an information sheet.
6.4 The Committee was of the view that it was not appropriate to issue an information sheet in this area for the following reasons:
- Paragraph 3 in the SORP (FRS 102) makes it clear that users and advisers need to take into account the developments in FRS 102, since these requirements take precedence over the SORP.
- The scope of the change affects only a small minority of larger charities who are either already familiar with these changes or have the resources to buy in advice;
- There was concern that this type of subject may not be the right topic for the first information sheet because it is too narrow in scope; and
- There was also concern that it was not the role of this Committee to keep users and their advisers informed of all changes in FRS 102 but only those changes that directly affect the text of a SORP.
6.5 Anne Davis raised the point that the new SORPs are different to the preceding SORP. Users and their advisers need to keep abreast of changes
in the underlying accounting standards. Previously, the SORP was largely a one-stop shop for financial reporting for charities and there was less need to do this.
6.6 On the basis of the above, the Committee concluded that no Information Sheet should be issued but that a link to the FRC's website signposting changes to accounting standards should be inserted into the SORP microsite in order to increase awareness. ND
7 Changes to the UK-Irish GAAP for small company accounting and the options for the charities SORP
7.1 Alison Scott introduced this paper and noted that the SORP (FRSSE) would need to be replaced as the FRC are proposing to withdraw the FRSSE as part of their implementation of the Accounting Directive.
7.2 There are three possible options for dealing with the replacement to the SORP (FRSSE) and the advent of micro-reporting (FRS 105):
- re-issue the existing the SORP (FRS 102) to incorporate amendments to reflect the new requirements of FRS 102 for Small Entities;
- replace the Charities SORP (FRSSE) with two new SORPS; one based FRS 102 for Small Entities and the other one based on FRS 105 for micro-sized charities; and
- replace the Charities SORP (FRSSE) with a new SORP based on FRS 102 for Small Entities.
7.3 Given the previous discussion on the applicability of the micro-entity framework to charities (see paragraph 5.3), the possibility of issuing a wholly new SORP for micro-sized charities was rejected. Therefore a charity would be permitted to apply to either full FRS 102 or if it qualifies, FRS 102 for Small Entities. The issue was how to best facilitate this choice. Currently there are two SORPs but should there continue to be two SORPs or should the FRSSE SORP simply be withdrawn and an Update Bulletin issued to advise small entities about how to use the FRS 102 SORP?
7.4 The Committee discussed the following points:
- consistency in recognition and measurement for charities of all sizes;
- stability for charities that have adopted SORP (FRS 102);
- implications for FRSSE users and small charities in general; and
- the best time for harmonisation of the two SORPS into one SORP.
7.5 On the basis of the above discussions, the Committee were asked to vote on two proposals:
- issuing a replacement SORP based on FRS 102 for Small Entities and keep SORP (FRS 102) i.e. keep two separate SORPs;
- issuing an Update Bulletin which withdraws SORP (FRSSE) and identifies for small entities those items they do not have to provide when using SORP (FRS 102) This would enable the combination of the Update Bulletin and the FRS 102 SORP to incorporate the requirements of FRS 102 for Small Entities i.e. This would be a stepping stone to only having one SORP incorporating both full FRS 102 and FRS 102 for Small Entities at a future date.
7.6 The Committee unanimously voted to issue an Update Bulletin as it is expected that the recognition and measurement criteria between FRS 102 and FRS 102 for Small Entities would be consistent, with the only difference
being in relation to disclosures. The Committee noted that the mandatory disclosures for small entities required by FRS 102 for Small Entities would be very limited under the new legal restrictions, but that the SORP was free to require additional disclosures for small charities on top of those required by the standard. Also small entities would be required to make additional disclosures over and above the legal minimum where these are necessary for the accounts (financial statements) to give a true and fair view.
7.7 Nigel Davies asked the Secretariat to start developing the Update Bulletin including consideration of possible disclosures that may be mandated in the SORP. This will be reviewed at the meeting on 6 February 2015.
8 Arrangements for the consultation on the Charities SORP (FRSSE)
8.1 Nigel Davies gave a verbal update on the key dates for the consultation of the replacement of the SORP (FRSSE) as follows:
- Suggested approval time-line for Committee:
o 6 February 2015: discuss draft Update Bulletin
o late March 2015: discuss consultation process and invitation to comment document (minimum of 3 month consultation process)
o August 2015: review consultation feedback
o September 2015: agree final Update Bulletin for FRC approval
o Subject to the FRC time-line for revising FRS 102, December 2016: review of SORP (FRS 102) begins.
- The Committee was notified that there were fixed dates to seek FRC approval which would need to be taken in account in the development of the Update Bulletin.
8.2 In addition to the above suggested Committee dates, telephone conference calls may be needed after each FRC stage of FRC approval.
8.3 Nigel Davies requested that each Committee member think about how they might be able to promulgate the consultation process for the next Committee meeting on 6 February 2015.
8.4 Joe Saxton suggested that it would be helpful to have a twitter account to promulgate developments of the SORP Committee, in particular the consultation process. Nigel Davies responded the currently any updates to the SORP Microsite are communicated via the Charity Commission twitter account. The SORP micro-site does not have this facility. The Secretariat will explore whether this could be done via a CIPFA twitter account.
9 Any other business
9.1 Mark Spofforth enquired as to whether it would be possible to:
- have conference call facilities at future meetings; and
- a dedicated area of the website to access papers for the meeting.
Alison Scott and Anne Davis will look into this and report back at the next meeting.
9.2 Alison Scott enquired as to whether Committee members were happy to share email addresses with each other. The Committee agreed that his would be appropriate.
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9.3 Alison Scott invited members to suggest points for the agenda for future meetings. In addition, the Secretariat is available to help on technical matters relating as necessary.
9.4 Anne Davis suggested that the Committee should consider the possible implications of raising the statutory audit threshold in the jurisdiction of England and Wales on the definition of 'larger charity' used by the SORP. Nigel Davies agreed that this should be added the agenda for the meeting on 6 th February.
The next meeting of the Committee will be on 6 th February, CIPFA Offices in Edinburgh, 10 am until 1pm
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International Journal of Engineering Research and Modern Education (IJERME)
ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
A STUDY ON DEALER SATISFACTION WITH SPECIAL REFERENCE TO ACC CEMENTS LIMITED
Anumesh Kariappa* & Maharoof Mahamood Akv**
**2 nd Year MBA, Srinivas Institute of Management Studies, Pandeshwar, Mangalore, Karnataka
* Assistant professor, Srinivas Institute of Management Studies, Pandeshwar, Mangalore, Karnataka
Abstract:
Marketing is a communication process which is the purpose for individuals or groups – Customers are directly or indirectly able to purchase the productsand services that may satisfy their existing or newly-identified needs or wants. The objective of this paper was to find the Dealer's Satisfaction Level with ACC CEMENTS. To examine the factors influencing the dealers, to deal with ACC CEMENTS.The study was with various areas that needs for improvement in ACC cements from dealers point of view. Theclose impact of sales promotion on sales was also considered in the study. The study was conducted through the data analysis and interpretation which suggested that most of the dealers have 10-15 years of experience in dealership of cement among them there are dealers who are dealing with ACC cements above 10 years. Most of the dealers are very much satisfied with the quality of cement and rated the brand very high. The major promotional factor which influenced the dealers to choose ACC cements is Discounts. According to dealers outdoor advertisement and electronic media are consider to be more effective to promote ACC cements. The major supports required to dealers are Promotional schemes and service from the company. Thestudy suggests that Dealers should be encouraged through arranging special meeting and engagements. Most of the dealers suggested for non-sticky cement packing. Promotional activities can be improved like discounts, gifts, prizes etc. This study also suggested that media impact is more, so company should go for more advertisements in mass media and outdoor advertisements to promote their brand. In time delivery (service) should be improved. Improvement in awarding the dealers who make highestsales turnover yearly. Regular feedback shouldalso be improved. Most of the dealers report price is below the satisfactory level for the product. The company should have a reasonable credit period for the dealers so that both company and dealers are benefited.
1. Introduction:
Index Terms: Customer Satisfaction, Sales Promotion Dealers & ACC
Individuals or firms buy goods from a manufacturer or distributor for wholesale and/or retail reselling. A dealer is a principal part of the business and not an agent other than distributors) the dealers became important when communications were difficult with consumers and it was very important to have anaim of distribution. The dealers help the manufacturers by developing the policy of manufacturers according to the demand and support them in creating the markets for their goods. The dealers also exempt the manufactures from importance of having sales department. The manufactures are not forced for the task of collecting and securing orders and the numbers of accounts they have to open are lesser compared to dealing directly with the customers. Dealer usually enters in to advance contracts for supply of goods with the results the manufactures do not stock up heavy goods. The dealers in close contact with consumers so they are the best people to advice the manufacturer by giving proper feedback about the customer's requirements. The dealer occupies a very important position; Henot only assists the manufacture but also acts as the link in the chain of
International Journal of Engineering Research and Modern Education (IJERME) ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
distribution between the manufacturer and consumers, for which purpose the dealer maintains an efficient and comprehensive firm. The dealer can evaluate the public and mass demand and see that marketable goods are manufactured in right quantity, thus protecting the manufacturer from wasteful and general production as well as the consumer against goods which are neither satisfaction nor dissatisfaction of good value. Large manufacturer'scounts on dealer to sell their products, therefore cordial relations are most important to them. Every manufactures thus wants to motivate his distribution channel to sell more of their products. Here the manufacturer must recognize that dealers are themselves business men and must be viewed as customers and human beings rather than mechanical entities for flow of his products. The dealers are interested in maximizing their profits and thus good dealer relations can be achieved if the manner is clear to his dealers in his attitude.For example- salesmen of some manufactures dump their products on dealers through belligerent selling and extendedmarketing. Thereafter, the dealer finds difficult to sell when stocks are lying at heavy on his hands and he cannot sell those products adequately. Advertising of the products is the field of the concern the manufacturer should supply his dealers with promotional material.They should communicate to them as frequently as necessary to show that the manufacturer is there to help the dealers to sell and thus makes profit for them. Adequate trade discounts, display facilities and contests among the dealers are encouraged to motivate them towards better results. The manufacture should recognize that the company dealers are more valuable assets. If they are assisted with promotional help they will appreciate the efforts and would be more in demand to support the organisation campaigns in advertising. Satisfaction in level of individuals felt state resulting from company's products comprehend performance in relation to the person's expectations. Satisfaction is a procedure of the difference between the perceived performance and actual expectations. Company seeks to win in today's market. They must track their expectations; perceive company performance and dealers satisfaction.
Dealer satisfaction and dissatisfaction is not just by analyzing complaints and customers suggestions. When we treat dealer's complaints as minor they will be made to feel inferior which actually results in fewer dealers for the company. Instead of using complaints as a parameter of judging dealer satisfaction by conducting periodic survey it's better to find out the opinion in order to get accurate results. The questionnaire schedule is used from random sample of customers and clients. From the sample the company can elicit various aspects of the company's performance in the sector. They also can understand the competitor's performance and their strategies. The respondents are asked to list the problems they had and offering list of improvements they can suggest for the companies and the amendment companies should make in the system. Various components of the company are analysed in the order of various aspects which are important for the customers. Exclusive dealers help in bringing dealer satisfaction. Many dealers are more comfortable in exclusive channels for their products and services. This is a strategy in which the manufacturer allows only certain concerns to carry its products. Exclusive agreements are appreciated by dealers. This is an agreement where the manufacturer expects that these dealers should not keep competitors products and that strategy is very popular amongst the dealers.
Cement industry is one of the important industries in India. Today there are more than 130 large cement plants and around 300 mini plants operating across the country. India is one of the countries producing cement under various brands and grades .The cement market is one of the competitive markets in India. There are various
(www.rdmodernresearch.com) Volume I, Issue I, 2016
brands of cement which are bound by geographical areas spread across country. Various segments of the business like rural market, urban market and metro cities are targeted by this industry. Each market has various brands giving customers a variety of choice in respect of quality and price. But sales of cement in India depend on promotional strategies of the dealers, awareness of the constructor or contractor and opinion of the customer for various brands. But the ultimate sales depend on dealers and their opinion with respect to the brands of cement. Therefore the cement manufacturers should get lots of information about dealer's satisfaction on different aspects like product quality, price, service, supply and promotional efforts to sell the brands.
2. The Scope and Objective of Study:
To study the dealers satisfaction levels towards ACC cements regarding promotional activities, Supply, quality and quantity of cement and to know demand level of ACC cements in the market by the customers
To find the Dealer's Satisfaction Level with ACC Cements.
To analyze the factors influencing the dealers to deal with ACC Cements
Table 1
ACC (ACC Limited) is India's world class manufacturer of cement and concrete. ACC's operations are spread across the country with 14 modern cement factories, 19 Ready mix concrete plants, 19 sales offices, and several zonal offices. 3). the company has a workforce of about 9000 people and a countrywide distribution network of over 9,000 dealers. ACC's research and development facility has anunparalleled track record of innovative research, product development and specialized consultancy services. Since its origin in 1936, the company has been a change setter and greatest benchmark for the cement industry in respect of its production, marketing and personnel management processes. The company is dedication to environment-friendliness; high ethical standards in business dealings and its on-going commitment in community welfare programs have gained it acclaim as a responsible corporate citizen. ACC has made substantial contributions to the nation building process by way of quality products, services and sharing its expertise. The Factors enable you to be the Dealer of ACC Cement:
| S.No | Criteria | No. of Respondents | % of Respondents |
|---|---|---|---|
| 1. | Promotions | 06 | 8% |
| 2. | Quality | 20 | 25% |
| 3. | Company Policy | 12 | 15% |
| 4. | Margin | 04 | 04% |
| 5. | Demand | 38 | 48% |
| | Total | 80 | 100 |
Graph 1
3. Interpretation:
What do You Feel about Dealers Satisfaction of ACC Cement
About 48% of the dealers are dealing with ACC cements for its demand, 25% for quality, 15% for company policy, 8% of dealers are dealing for promotional activities and remaining 4% are dealing by seeing Margin
Table 2
Graph 2
| S.No | Criteria | No. of Respondents | % of Respondents |
|---|---|---|---|
| 1. | Very good | 27 | 34% |
| 2. | Good | 32 | 40% |
| 3. | Satisfactory | 19 | 24% |
| 4. | Poor | 02 | 02% |
| | Total | 80 | 100 |
About 34% of the dealers rated very good toward the dealers satisfaction of ACC cements,40% of dealers rated good, 24% of dealers rated satisfied and remaining 02% rated poor toward quality of ACC cements. From this above tables and graph we study that ACC is one of the best brands in India and the dealers and very much satisfied with the company's strategy and commitment towards the dealers and customers.
Interpretation:
4. Conclusions:
Most of the dealers have 8-10 years of experience in dealership among that they are dealing with ACC cements Above 10 years. Out of the survey conducted many number of the dealers' rated that the Quality of ACC cement is very good the most important was promotional factor which influenced the dealers to choose ACC cements is Discounts. According to some dealers outdoor advertisement and electronic media are consider to be more effective to promote ACC cements. 4) The major support required to dealers is Promotional schemes and service from the company. Overall 85% of the dealers rated ACC cements as Good. The study also specified that dealers should be encouraged through arranging special meetings. Most of the dealers suggested for non-sticky cement packing and better designing. Promotional activities can be improved like discounts, gifts, prizes etc as media impact is more, so company should go for more advertisements in mass media and outdoor advertisements to promote their brand and product. In time delivery (service) should be improved and made more efficient.Improvement in awarding the dealers who make the highest turnover yearly. Dealer feedback should be continuous process and be improved. Occasional schemes should help to achieve higher sales anddifferent discount scheme should be launched for dealer benefits and improvement .ACC should focus on the achievement of brand
International Journal of Engineering Research and Modern Education (IJERME) ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
promotion for the product mainly in the new developing areas and sites.. The company is holding a great market share which is the result of efforts made by the company's management and the executives. From the market survey we can conclude that: Supply and quality factors are fetching to the movement of brand. The company is having a good dealer network and it is maintaining good relations with them, the service rate of the company is verygood compared to its competitors. The price of ACC cement is matching with the quality of the cement with the ideal promotional strategies and increasing the satisfactory level of the dealers the company can grow and become a market leader in the future.
1. Utkas H. Trivedi & Jignesh B. Togadiya, "The Brand Image & satisfaction level of Dealers and surrogate buyers of Ambuja Cement Ltd in Saurashtra Region". International Journal of research in Commerce &Management Volume No.3 , Issue No. 8 ISSN 0976-2183(August 2012)
5. References:
2. Cement industry in India. (2014). Cement Industry in India, Indian Cement Industry, Sector, Analysis, Trends. Retrieved June 15, 2014, from http://www.ibef.org/industry/cement-india.aspx
3. Singh, R. Top Cement companies in India. Top 10 Companies In India. Retrieved June 15, 2014, from http://top10companiesinindia.com/2013/08/08/topcement-companiesin-india(2013, January 1)
4. Maas Dava Debt management. A journal of finance; 20(2), 35-40. 2 (2008).
6. I.M. Pandey, "Financial Management", Vikas Publishing House Pvt. Ltd, 01- Nov2009 4.
5. James C. Van Horne, John Martin Wachowicz, "Fundamentals of Financial Management", Prentice Hall of India (PHI), 2005.
7. Websites of selected cement companies.
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Nomenclature
γ
Kurtosis y(t)
Measured response vector n y Number of response channels
Hj Harmonic indicator f j j th discrete frequency
m Median of Kurtosis
Gyy(f) Spectral density of measured response at the fth discrete frequency
j
n Number of Projection Channels
S
p
i,j yy
ith singular value ofG at thejth discrete frequency
Xi,j ith normalized singular value of Gyy at the jth discrete frequency
ABSTRACT
In this paper addresses the problems of separating structural modes and harmonics arising from sinusoidal excitation. Though the problem is mostly know in mechanical engineering applications such as rotating machinery, some civil engineering applications experiences the same challenges. A robust and fast harmonic detection procedure is presented and illustrated on a civil engineering case.
1 Introduction
One of the major advantages of testing civil engineering structures compared to mechanical structures is that the ambient excitation nearly always is broad-banded and multiple input. This makes the response measurements obtained from such structures extremely suitable for all popular estimation algorithms in Operational Modal Analysis. They all rely on the assumptions that the input forces are derived from Gaussian white noise and are exciting in multiple points.
Mechanical engineering structures such as engines and other structures having rational part tend to be much more difficult to handle for most algorithms, especially if the sinusoidal forces have more energy than the ambient excitation. In this case the structural modes typically are weakly excited and sometimes they are more or less drowning in the noise. To account for this the measurement systems used must a high measurement range to be able to catch the weak structural response and at the same time prevent clipping from the strong sinusoidal forces.
Modal Estimation of Civil Structures Subject to Ambient and Harmonic Excitation
Palle Andersen
Structural Vibration Solutions A/S, NOVI Science Park, Niels Jernes Vej 10, DK-9220 Aalborg East, Denmark
Rune Brincker Department of Civil Engineering, Aalborg University, Sohngaardsholmsvej 57, DK-9000 Aalborg, Denmark
Carlos Ventura Department of Civil Engineering, The University of British Columbia, 6250 Applied Science Lane, Vancouver, B.C, V6T-1Z4, Canada
Reto Cantieni RCI Dynamics, Raubbühlstrasse 21B, CH-8600 Dübendorf, Switzerland
However, even with good measurements system it is impossible to prevent the harmonics from the sinusoidal excitation to appear in the acquired data, which means that also the modal estimation algorithms must be able to handle the presence of harmonics. Further, it turns out that the presence of harmonics not only is limited to mechanical application, there is a range of cases where civil engineers have to face the harmonics presence as well. Large structures like gravity dams have rotating parts in terms of the turbines, production facilities in cement and mining industry have large rotating parts as well and bell towers exhibits sinusoidal excitation during ringing with the bells.
In this paper, we will present a fast algorithm for detection of harmonics originating from sinusoidal excitation. The technique consists of two steps; first a fast search for potential harmonics is performed in frequency domain. In step two a statistical assessment of the potential harmonics is made to determine if they are in fact harmonics. In the following, step 2 is described first running over all discrete frequencies between DC and the Nyquist frequency. After that we describe how to optimize the algorithm by the introduction of step 1.
When the harmonics are detected, the information is fed to the modal estimation algorithm, enabling it to account for the harmonic presence. The harmonic detection approach will be demonstrated on a civil engineering case; A gravity dam.
2 Testing for Harmonics at Spectral Frequencies
2.1 The Central Limit Theorem
According to the central limit theorem the distribution of the response of a structural system subject to multiple random inputs will tend to a Gaussian distribution as the number of independent input goes to infinity. If the distribution of the different inputs have a bell shaped distribution indicating that most amplitudes will be close to their mean value, which is typical for wind and wave loading, then only a few number of inputs are necessary for the response to become approximately Gaussian. However, if the input on the other hand is dominates by amplitudes far from the mean value, which is the case of a sinusoidal excitation, then it takes much more inputs before the structural response will turn Gaussian, Wirsching et al. [1].
Therefore, testing of the shape of Probability Density Function (PDF) of the measured response is an effective way to detect if a few sinusoidal excitation forces are presents. Especially, if the response is examined in narrow frequency intervals, it is possible to obtain information about which intervals that are dominated by harmonics and which are not.
2.2 Testing PDF's Shape using Kurtosis
There are a numerous ways to test if sampled data has a specific PDF or not, like the Χ 2 -test, Papoulis [2], most in some ways based on the sampled mean value µ and the sampled standard deviation σ. Here, we will use the fact that the Kurtosis γ of a the ny × 1 dimensional vector y(t) of measured response, defined as
for Gaussian distributed data with zero mean value and unit variance, is equal to 3. The Kurtosis for a sinusoidal data with zero mean value, unit variance and a random phase is on the other hand always 1.5.
2.3 The Basic Testing Algorithm
In practice we have to be able to test the probability density function in several frequency intervals, characterized by their center frequency fj, and in several measurement channels yi(t), for i = 1 to ny. The output of the test algorithm should an indicator Hj, for j = 1 to nf. Hj is a function of the center frequency fj, where j is all center frequencies we like to test between DC and the Nyquist frequency setting DC to j = 1 and the Nyquist frequency to j = nf. The indicator should be 1 at center frequencies where a harmonic is present and otherwise 0.
The algorithm used here contains the following steps:
1. Normalize each measurement channels yi(t) to zero-mean and unit variance using sampled mean and variance.
2. For all center frequencies fj of interest, perform a narrow band-pass filtering around f
j.
3. Calculate the Kurtosis γij for the at fj band-pass filtered signal yi(t)
.
4. For each center frequency fj calculate the median value mj of the Kurtosis γj over all measurement channels yi(t). This median is a robust measure for the mean value used to account for possible outliers due to noise etc.
5. For each center frequency fj assess if mj deviates significantly from 3. If so set Hj equal to 1, and otherwise 0.
This algorithm has been tested on a series of real data cases and proven efficient, Jacobsen et al. [3],[4].
3 Optimizing Search for Possible Harmonics
The major drawback of the basic algorithm for harmonic detection is that it becomes rather time consuming in case of many measurement channels ny and when testing many frequencies nf. It would be desirable to find ways of reducing both ny and nf.
3.1 Reducing the Number of Measurement Channels
Since the spectral density matrix Gyy(f) of the measured response at some discrete frequency f typically consist of much more columns than there are modes participating at that frequency, many of the columns of are linear dependent upon each other resulting in a rank deficiency of the spectral matrices. For system with many measurement channels ny there is therefore typically a substantial amount of redundancy, indicating that it might not be necessary to actually Kurtosis test on all channels. The subset of channels we will test is called the Projection Channels in the following and the number of projection channels denoted np.
In case of multiple testing using multiple setups, where a certain amount of sensors are kept at the same locations, while the rest are moved from one measurement setup to another, a good initial choice of projection channels is to choose them as the reference channels. The quality of this choice can be verified by applying the Singular Value Decomposition (SVD) to the spectral densities matrices Gyp(f),
where index y indicate the measurement vector y(t) and p the subset of channels selected as the projection channels. The matrices Gyp(f) and S both have dimension ny × np. S is diagonal matrix consisting of np singular values.
By plotting the singular values for all the frequencies all modes in the projection channels will be revealed. If the last plotted singular value forms a horizontal line over the frequency band of interest, and if the other singular values display a good mode separation, then the choice is fine. If not then other and / or more projection channels should be included. If more projection channels are needed, the channels to look for should contain as much new information as possible about the system compared to the channels already selected. This evaluation can be performed using a simple analysis of the correlation coefficients between the difference measurement channels. Figure 3.1 display a poor choice of projection channels for a system, whereas figure 3.2 shows an appropriate choice.
Figure 3.1: 16 projection channels were chosen resulting in 16 singular values per frequency. All the lower singular values being completely horizontal indicates a substantial amount of redundant information at all frequencies.
Figure 3.2: 6 projection channels were chosen resulting in only 6 singular values per frequency. Only the lowest singular values is significantly flat (horizontal) this indicates that 6 measurement channels are sufficient to contain all information about the system dynamics.
3.2 Reducing the Number of Frequencies Needed Check
In figure 3.3 the singular values of the spectral densities of a system excited with a broad-banded excitation as well as a sinusoidal excitation. The natural frequency first mode appear at 354 Hz, and only the first singular value is significant larger that the rest at this frequency. This indicates that this particular mode is dominating at this particular frequency. On the other hand, at 374 Hz and even more clear at 748 Hz a distinct narrow peak appear in several of the singular values. The peak at 374 Hz indicates the rotational speed of the harmonic excitation and the peak at 748 Hz is the first over-harmonic originating from the same sinusoidal excitation source. That more than one singular value has a peak at these two frequencies indicates that several modes have been significantly excited at these frequencies compare to the surrounding frequencies.
We will make use of this phenomenon that always happens in case of sinusoidal excitation, when the ambient excitation acting on a structure is much weaker. If the sinusoidal excitation is much weaker than the broadbanded ambient excitation, the sinusoidal excitation becomes negligible and does not affect the modal analysis algorithms. If an abrupt change happens at the same frequency at least in two singular value lines, then we have detected a potential harmonics. This potential harmonics should then be tested using the basic algorithm described in section 2.3. In this way it is possible to limit the number of times that the Kurtosis needs to be checked. In the example in figure 3.3 it reduces the number of times from 1024 to 7 times. There are several ways to test if there is an abrupt change on a curve, see e.g. Basseville et al. [4]. Here we apply a simple approach based on a median calculation. Given a sequence of positive and non-zero singular values Si,j of length ns, where index i is the singular value number and j the discrete frequency index, we construct the following normalized sequence Xi,j
where k is a small number, say 2-5. If the median of the values Si,j-k to Si,j+k is equal to the value Si,j then Xi,j is 0 and otherwise Xi,j will be a non-zero value. Since the sequence is normalized using the median that is robust towards outliers, the result is that Xi,j will have significant values at the locations where the singular values have significant but narrow peaks.
The algorithm used here contains the following steps:
1. For each singular value Si,j calculate the sequences Xi,j for i = 1 to np and j = 1 to ns.
.
2. Calculate the sampled standard deviations of the sequences Xi,j.
4. If, for a certain index j, more than one of the nsB sequences Xi,j exceeds the threshold, then a potential harmonic has been detected at position j.
3. Check if some of the values of Xi,j exceeds a threshold of say 2-3 times the standard deviation of Xi,j.
5. Apply Kurtosis check described in section 2.3 at position j
In figure 3.4 the sequences Xi,j are shown for 3 singular values corresponding to the example shown in figure 3.3. The number of potential harmonics to check has been decreased to only 7. Once the harmonics have been detected they can easily be removed from any frequency domain based modal parameter estimation algorithm, see e.g. Jacobsen et al. [3],[4], Brincker et al. [6] and Andersen et al. [7].
4 Example
In the following the complete harmonic detection algorithm is tested on measurements of a Canadian gravity dam. In figure 4.1 two pictures display the dam from both the low and high water level sides. The dam is 130 m long and 58 m high, and built in 1930. An ambient vibration test was conducted using 20 setups of 8 channels. In setup 8, channel 8 was dead and was disabled from the analysis. A 3D accelerometer served as reference station mounted on the dam itself. Some part of the rock at both side of the dam was also measured.
In figure 4.2 all measured degrees of freedom are presented on the test geometry used by the operational modal analysis software ARTeMIS Extractor. The measurements were conducted using an 8-channel measurement system for 819 seconds. The sensors were Kinemetrics Episensors accelerometers of the forced balanced type. Due to the turbines running the measurements are affected by harmonics at every 2 Hz.
Since setup 8 only have 7 active channels the number of projection channels used in this analysis is 7. The 7 largest singular values of the spectral densities of all 20 setups were then averaged, and the harmonic detection described in section 3.2 was applied using k = 2 in eq. (3). In step 3 of the algorithm, the threshold was set to 2 times the standard deviation of the sequence Xi,j. In figure 4.3 the results of the harmonic detection analysis are shown. All harmonics at 2 Hz intervals have been detected. The algorithm has mistakenly detected two harmonics at 19.5 Hz and 39 Hz. Taking the scatter of the SVD spectrum from the poor signal to noise ratio into account, it is a quite satisfactory results.
5 Conlusions
In this paper, we have presented a fast algorithm for detection of harmonics from sinusoidal excitation. A statistical assessment algorithm of potential harmonics, based on evaluation of the Kurtosis of band pass filtered measurement, has been introduced. The speed of this algorithm has been optimized by applying a search algorithm that looks for abrupt changes in more than one singular value at a certain frequency, since this is a typical phenomenon in case of harmonics. This search algorithm typically increases the performance of the statistical assessment algorithm significantly. The harmonic detection approach has been demonstrated on measurements from a gravity dam.
6 Reference List
[1] P. H. Wirsching, T.L. Paez and K. Ortiz: Random Vibrations, Theory and Practice. Wiley, ISBN 0-47158579-3, 1995.
[2] A. Papoulis: Probability and Statistics. Prentice-Hall, ISBN 0-13-711730-2, 1990.
[3] N.J. Jacobsen, P. Andersen, R. Brincker: Using Enhanced Frequency Domain Decomposition as a Robust Technique to Harmonic Excitation in Operational Modal Analysis. Proceedings of ISMA2006, Leuven, Belgium, 2006.
[4] N.J. Jacobsen, P. Andersen, R. Brincker: Eliminating the Influence of Harmonic Components in Operational Modal Analysis. Proceedings of The 25th International Modal Analysis Conference (IMAC), Orlando, Florida, 2007.
[5] M. Basseville and I. Nikiforov: Detection of Abrupt Changes - Theory and Applications. Prentice Hall, ISBN 0-13-126780-9, 1993.
[6] R. Brincker, P. Andersen, N.J. Jacobsen: Automated Frequency Domain Decomposition for Operational Modal Analysis. In Proceedings of The 25 th International Modal Analysis Conference (IMAC), Orlando, Florida, 2007.
[7] P. Andersen, R. Brincker, M. Goursat, L. Mevel: Automated Modal Parameter Estimation of Civil Engineering Structures. In Proceedings of The Evaces Conference, Porto, Portugal, 2007.
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================================================================
In The Supreme Court of the United States
♦
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LOS ANGELES COUNTY, CALIFORNIA,
Petitioner, vs.
CRAIG ARTHUR HUMPHRIES and WENDY DAWN ABORN HUMPHRIES,
Respondents.
♦
--------------------------------- ---------------------------------
On Writ Of Certiorari To The United States Court Of Appeals For The Ninth Circuit
♦
--------------------------------- ---------------------------------
BRIEF OF PETITIONER
♦
--------------------------------- ---------------------------------
TIMOTHY T. COATES, ESQ. Counsel of Record ALISON M. TURNER, ESQ. LILLIE HSU, ESQ. GREINES, MARTIN, STEIN & RICHLAND LLP 5900 Wilshire Boulevard, Twelfth Floor
Los Angeles, California 90036
Telephone: (310) 859-7811
Facsimile: (310) 276-5261
E-Mail: email@example.com
MARK D. RUTTER, ESQ. CARPENTER, ROTHANS & DUMONT 888 South Figueroa Street, Suite 1960
Los Angeles, California 90017
Telephone No.: (213) 228-0400
Facsimile No.: (213) 228-0401
E-Mail: firstname.lastname@example.org
Counsel for Petitioner Los Angeles County, California ================================================================
QUESTION PRESENTED
Are claims for declaratory relief against a local public entity subject to the requirement of Monell v. Department of Social Services, 436 U.S. 658 (1978) that the plaintiff demonstrate that the constitutional violation was the result of a policy, custom or practice attributable to the local public entity or are such claims exempt from Monell's requirement?
PARTIES TO THE PROCEEDING
The parties to the proceeding in the court whose judgment is to be reviewed are:
* Craig Arthur Humphries and Wendy Dawn Aborn Humphries, plaintiffs, appellants below, and respondents here.
* Los Angeles County, defendant, appellee below, and petitioner here.
* Bill Lockyer, Attorney General, in his official capacity as Attorney General of the State of California, defendant, appellee below, and nominal respondent here, no appearance having been made on his behalf in this court.
In addition Leroy Baca, Michael Wilson, and Charles T. Ansberry were defendants in the underlying action, appellees in the proceedings below, but not parties to the fee order that is the subject of this proceeding.
There are no corporations involved in this proceeding.
TABLE OF CONTENTS
i ii
1
2
3
5
5
6
TABLE OF CONTENTS – Continued
v
TABLE OF CONTENTS – Continued
TABLE OF AUTHORITIES
TABLE OF AUTHORITIES – Continued
TABLE OF AUTHORITIES – Continued
OPINIONS BELOW
The order of the United States Court of Appeals for the Ninth Circuit that is the subject of this proceeding was not reported and is found in the Appendix to the Petition For Writ Of Certiorari ("App.") at pages 1-4. The court's subsequent order setting an amount of attorney's fees was not reported and is in the Appendix to the Reply To Brief In Opposition ("Rep. App.") at pages 1-2. The Ninth Circuit's initial opinion in the underlying appeal was published at 547 F.3d 1117 (9th Cir. 2008), but was subsequently withdrawn from the official bound volume and can be found in the Appendix at pages 143209. The Ninth Circuit's order of January 15, 2009 amending opinion and order denying appellee County of Los Angeles' petition for rehearing and rehearing en banc, denying appellee Bill Lockyer's petition for rehearing and rehearing en banc, granting appellants' motion for clarification, and in part, appellants' petition for rehearing or reconsideration and amended opinion is not published in the official reports and is found in the Appendix at pages 73-142. The Ninth Circuit's second order amending opinion and amended opinion of January 30, 2009 is published in the official reports at 554 F.3d 1170 (9th Cir. 2009) and is found in the Appendix at pages 5-72.
The decision of the district court, granting in part and denying in part, defendants' motions for summary
judgment was not reported, and is found in the Appendix at pages 210-54.
♦
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BASIS FOR JURISDICTION IN THIS COURT
The Ninth Circuit initially filed an opinion in this case on November 5, 2008. (App. 143.) Petitioner and each of the respondents filed petitions for rehearing. On January 15, 2009, the Ninth Circuit issued an order amending the opinion and denying the petitions for rehearing of petitioner Los Angeles County and respondent Bill Lockyer, and granting in part plaintiffs' petition for rehearing as well as plaintiffs' motion for clarification and issued its amended opinion. (App. 73.) After petitioner filed a motion to correct a misstatement in the amended opinion, on January 30, 2009, the Ninth Circuit issued its second order amending the opinion as well as an amended opinion. (App. 5-72.) Following respondent Humphries' motion for attorney's fees on appeal and the filing of opposition by petitioner Los Angeles County and respondent Bill Lockyer, on June 22, 2009, the Ninth Circuit issued its order finding plaintiffs to be prevailing parties for purposes of an attorney fee award, directing that any fees be split 90%-10% between the State and the County, and remanding to the Appellate Commissioner for a report and recommendation concerning only the amount of fees. (App. 1-4.) On September 20, 2009, Los Angeles County timely filed a Petition for Writ of Certiorari in this court and jurisdiction is proper in this Court under 28 U.S.C. § 1254(1).
♦
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CONSTITUTIONAL AND STATUTORY PROVISIONS AT ISSUE
The underlying action was brought by the respondents pursuant to 42 U.S.C. § 1983, which reads as follows:
Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory or the District of Columbia, subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress, except that in any action brought against a judicial officer for an act or omission taken in such officer's judicial capacity, injunctive relief shall not be granted unless a declaratory decree was violated or declaratory relief was unavailable. For the purposes of this section, any Act of Congress applicable exclusively to the District of Columbia shall be considered to be a statute of the District of Columbia.
The June 22, 2009 order of the Ninth Circuit was made pursuant to 42 U.S.C. § 1988(b) which provides as follows:
In any action or proceeding to enforce a provision of §§ 1981, 1981a, 1982, 1983, 1985, and 1986 of this title, title IX of Public Law 92-318 [20 U.S.C.A. § 1681, et seq.], the Religious Freedom Restoration Act of 1993 [42 U.S.C.A. § 2000bb et seq.], the Religious Land Use and Institutionalized Persons Act of 2000 [42 U.S.C.A. § 2000cc et seq.], title VI of the Civil Rights Act of 1964 [42 U.S.C.A. § 2000d et seq.] or § 1983 of this title, the court, in its discretion, may allow the prevailing party, other than the United States, a reasonable attorney's fee as part of the costs, except that in any action brought against a judicial officer for an act or omission taken in such officer's judicial capacity, such officer shall not be held liable for any costs including attorney's fees, unless such action was clearly in excess of such officer's jurisdiction.
The respondents allege that petitioner Los Angeles County, as well as respondent State of California, through its then Attorney General Bill Lockyer, violated their rights under the Fourteenth Amendment to the United States Constitution, the relevant part of which reads as follows:
Fourteenth Amendment (Section I):
All persons born or naturalized in the United States, and subject to the jurisdiction thereof, are citizens of the United States and of the State wherein they reside. No State shall make or enforce any law which shall abridge the privileges or immunities of citizens of the United States; nor shall any State deprive any person of life, liberty, or property, without due process of law; nor deny to any person within its jurisdiction the equal protection of the laws.
♦
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STATEMENT OF FACTS
A. The California Child Abuse Index.
This case arises from respondents having been placed on the California Child Abuse Index (the "CACI"), a centralized database of reported child abusers maintained by the State of California as required by the Child Abuse and Neglect Reporting Act (California Penal Code § 11164 et seq., "CANRA").
Under CANRA, when a child protective agency such as the Los Angeles County Sheriff 's Department receives a report of child abuse, it must conduct an "active investigation." California Penal Code §§ 11165.9, 11169. If the agency determines the allegations are "not unfounded," it must submit a § 11169 report to the California Department of Justice, which maintains an index of such reports. California Penal Code §§ 11169, 11170(a). Allegations of child abuse are "not unfounded" if the investigating agency determines they are not "false" or "inherently improbable" and do not "involve an accidental injury" or "constitute child abuse." California Penal Code § 11165.12(a). A report of alleged child abuse may be "substantiated," meaning (under the statutory definition in effect when the Los Angeles County defendants submitted the § 11169 report on plaintiffs) the agency has determined it is "based upon some credible evidence;" or it may be "inconclusive," meaning the agency has determined it is not unfounded but "there is insufficient evidence to determine whether child abuse . . . occurred." California Penal Code section 11165.12(b) & (c) (1990) (amended and rewritten by Stats. 2000, ch. 16).
If a previously filed report later proves to be unfounded, the California Department of Justice must be notified and may not retain it. California Penal Code section 11169(a). Otherwise, the report is removed from the Index after ten years, provided the Department of Justice receives no further child abuse reports regarding the listed person. California Penal Code section 11170(a)(3).
B. Allegations And Subsequent Investigations Of Child Abuse Lead To The Humphries Being Listed In The CACI.
In July 2000, S.H., a minor, came to California to live with plaintiffs, her father and stepmother; she
had previously lived with her mother in Utah. (ER 5.) 1
S.H. asserted that plaintiffs began abusing her around December 2000. (ER 144; SER 7.) For example, S.H. stated plaintiffs would "quiz" her on her studies and, when her answers were unacceptable, would yell epithets at her and hit her, often with a book or cooking utensil; she also reported they would force her to study in her underwear or to jog in place in her underwear while they hit her and sprayed her with water. (ER 144-48; SER 7-18.)
On March 18, 2001, S.H., then 15, took plaintiffs' car and drove to her mother's home in South Jordan, Utah, where she reported the abuse. (ER 148, 144; SER 17-20.) An emergency room physician diagnosed her with non-accidental trauma, noting "multiple linear and circular contusions" on her extremities, which appeared to have been incurred over a period of time. (ER 144-45; SER 6-8.) A South Jordan police officer photographed bruises on S.H.'s arms and legs, some of which appeared to have been caused by a stick or other long, skinny object, and one of which looked like a large handprint. (ER 145; SER 13.)
1 The district court docket (included in appellants Humphries' Excerpts of Record in the Ninth Circuit at 832-55) is cited as "TR" followed by docket number. The Excerpts of Record is cited as "ER," and the County defendants' Supplemental Excerpts of Record as "SER."
On March 26, 2001, Wilson, a detective with the Los Angeles County Sheriff 's Department, received a report of the alleged abuse from the Utah Department of Human Services, Division of Child and Family Services. (ER 143-44.) He contacted the South Jordan Police Department and requested assistance in interviewing S.H. (ER 145.) On April 3, 2001, the South Jordan Police Department conducted a videotaped interview of S.H., and she wrote a statement detailing her abuse. (ER 145-46; SER 15, 17-20.)
On April 10, 2001, Wilson received the South Jordan Police Department's report, the videotaped interview of S.H., and her statement. (ER 145.) Wilson also discussed the allegations with S.H. and her mother by telephone. (ER 148-49.)
Based on S.H.'s written statement, the videotaped interview of S.H., the reports from the South Jordan Police Department and Utah Department of Family Services, the emergency room report detailing S.H.'s injuries, photographs of the injuries, and statements by S.H. and her mother in the telephone conversations, Wilson obtained a warrant to arrest plaintiffs for violations of section 273a(a) (Cruelty to Child) and section 206 (Torture). (ER 149; SER 22-26, 28-32.)
On April 16, 2001, Wilson, accompanied by Ansberry, arrested plaintiffs. (ER 149.) Plaintiffs were booked only for felony torture under section 206. (ER 203, 210, 255-56.) Ansberry interviewed Respondent Wendy Humphries. (ER 151; SER 60-62.) Respondent Craig
Humphries refused to talk to the detectives. (ER 151; SER 82-83, 45-46.)
The same day, plaintiffs' two remaining minor children were taken into protective custody and placed in foster care. (SER 74-81, 100-01.) Both children were interviewed and confirmed various aspects of S.H.'s allegations. (ER 150-51.)
On April 17, 2001, as required by California Penal Code section 11169, Wilson submitted a report of child abuse to the California Department of Justice (the "§ 11169 report"), so plaintiffs' names could be entered into the Index database of known or suspected child abusers. The form indicated the charges against plaintiffs were "substantiated." (ER 241, 46970; SER 34, 88-89.)
On April 18, 2001, Wilson filed a misdemeanor complaint in the Los Angeles County Superior Court, charging plaintiffs with corporal injury to a child under section 273d(a) and cruelty to a child by endangering health under section 273a(b). (ER 433-34.) These charges were later dismissed "in the interests of justice." (ER 792, 436, 562-63, 566-69; see also SER 116.) The felony torture charges on which the Humphries had been booked were also dismissed. (ER 262-63.) The Humphries then successfully petitioned the court under California Penal Code section 851.8 for orders finding them "factually innocent" of the felony torture charges, and requiring the arrest records pertaining to that charge sealed and destroyed (the "sealing orders"). (ER 262-63.) The sealing orders did not apply to the misdemeanor charges. (ER 262-63, 792-94, 802; see also SER 115-16.)
On April 19, 2001, the County filed a dependency petition against plaintiffs in the Los Angeles County Superior Court, juvenile division ("juvenile court"). (ER 159-70.) The juvenile court's order adjudicating the dependency petition stated the petition's allegations were "not true." (ER 427-31.)
Subsequently, the Humphries' attorney contacted Sheriff 's Department Sergeant Michael Becker and informed him of the criminal court's sealing orders and "factual innocence" finding and the juvenile court's "not true" finding. Becker reviewed plaintiffs' case, obtaining additional information about the sealing orders and the juvenile court's finding, and ultimately, he concluded the findings and additional information did not warrant notifying the Department of Justice that plaintiffs should be removed from the Index. (See SER 178-79, 191-92, 194, 112.) In response to a California Department of Justice questionnaire in October 2003, the Sheriff 's Department confirmed it was maintaining investigation records and that the § 11169 report was still substantiated. (ER 576-77.)
C. Plaintiffs File Suit Against The State Attorney General And The County.
The Humphries initially filed a federal complaint on August 27, 2002 (TR 1) with the operative first amended complaint ("complaint"), filed on January 14,
2003, naming as defendants the County of Los Angeles, Sheriff Baca, detectives Wilson and Ansberry, and California Attorney General Bill Lockyer. (TR 13; ER 1.)
The complaint alleged claims under 42 U.S.C. § 1983 and state law based on three categories of events: (1) plaintiffs' inclusion in the Index, (2) their arrests for child abuse, and (3) the temporary removal of their children from their custody. (ER 2-28.) The district court dismissed the state claims without leave to amend. (ER 88-89, 95-96.) Under § 1983, the remaining claims sought, inter alia, damages based on the allegedly improper submission of a child abuse investigation report to the California Department of Justice and the subsequent failure to notify the Department of Justice that the report was unfounded, an injunction to compel the County defendants to notify the Department of Justice that the report was unfounded, and a judicial declaration that CANRA and the County's Index-related policies are unconstitutional because they do not provide procedures by which individuals such as plaintiffs may reverse their Index listings. (ER 18-19, 24, 28.)
On November 15, 2004, the County defendants moved for summary judgment. (TR 66-69.) With respect to plaintiffs' Index-related Monell claims, the County asserted that plaintiffs could not establish the merits of their underlying Due Process claim. (TR 66 at 13-28.) Plaintiffs opposed. (TR 93-101, 105-110.) The district court granted summary judgment to defendants on all of plaintiffs' Index-related claims and on their claims regarding their arrests for child abuse, but denied it as to the claims for removal of their children. (ER 723-47; App. 210-54.) Because the district court found no violation of plaintiffs' substantive or procedural due process right arising from their listing on the Index, it concluded it need not decide whether the County would otherwise be liable under Monell. (App. 245.)
On September 21, 2005, plaintiffs appealed from the portions of the district court's order granting summary judgment on their Index-related claims. (ER 717-18.)
D. The Appeal.
Plaintiffs appealed the district court's dismissal of their due process claims for injunctive, declaratory and damages relief stemming from inclusion in the CACI. On November 5, 2008, the Ninth Circuit issued an opinion reversing the judgment as to the County and the State. (App. 143.) The court found that CANRA and the CACI did not afford due process with respect to allowing those listed in the database to be removed once charges had been determined to be unfounded. (App. 205-06.) As to the County, the court observed that unlike the individual defendants, it was not entitled to qualified immunity. (App. 208.) The court acknowledged the County could only be subject to liability under Monell, if a policy or custom deprived the Humphries of their constitutional rights. (Id.) The court noted that the district court "did not address the County's liability under Monell because it found no violation of the Humphries' constitutional rights." (Id.) It then stated that in order to avoid summary judgment, a plaintiff need only show there was a question of fact regarding whether a city, custom or policy caused a constitutional violation. (App. 209.) The court then noted that while CANRA itself did not create a sufficient procedure by which the Humphries could challenge their listing in the Index, nothing in CANRA "prevented the LASD (Los Angeles County Sheriff 's Department) from creating an independent procedure that would allow the Humphries to challenge their listing on the Index" and therefore "LASD's custom and policy violated the Humphries' constitutional rights. Therefore, we deny the County's summary judgment on this issue." (Id.)
The County of Los Angeles petitioned for rehearing, arguing that the question of whether the actions of its Sheriff 's Department personnel with respect to the CACI was the result of a policy, custom, or practice fairly attributable to the County under Monell had not been litigated in the motion for summary judgment or on appeal. Summary judgment had been granted solely on the basis that there was no constitutional violation in the first instance. (App. 244-45.) The County observed that under California authorities, it was not free to alter the State's statutory scheme governing inclusion or removal from the CACI, and hence, at the very least, the question whether the County could be held responsible for any constitutional violation under Monell was an open question yet to be litigated. The other parties filed petitions for rehearing as well.
On January 15, 2009, the Ninth Circuit issued an order amending the opinion and denying the petitions for rehearing of the County and the State and granting in part plaintiffs' petition for rehearing and motion for clarification. (App. 73.) The court repeated its conclusion that "CANRA itself did not create a sufficient procedure by which the Humphries could challenge their listing" on the CACI, and that nothing in CANRA prevented the County Sheriff 's Department "from creating an independent procedure that would allow the Humphries to challenge their listing on the Index." (App. 142.) It stated that "[b]y failing to do so, it is possible that the LASD adopted a custom and policy that violated the Humphries' constitutional rights. However, because this issue is not clear based on the record before us on appeal – and because the issue was not briefed by the parties – we remand to the district court to determine whether or not the County is entitled to qualified immunity." (Id.; emphasis added.)
Since the opinion previously noted that the County as a public entity was not entitled to invoke "qualified immunity," the County filed a request for the court to correct what appeared to be an error in the opinion. The County suggested that the court had inadvertently substituted the phrase "qualified immunity" for "Monell" liability and submitted proposed language to correct the mistake.
On January 30, 2009, the court issued a second order amending the opinion as well as an amended opinion. (App. 5, 7.) As to the County's Monell liability, the court repeated its earlier conclusion that it was possible that the County Sheriff 's Department had adopted a custom and policy that violated the Humphries' constitutional rights and remanded "to the district court to determine the County's liability under Monell." (App. 72.) In the disposition of the case, the court stated: "For the reasons described above, CANRA violates the Humphries' procedural due process rights, in violation of 42 U.S.C. § 1983. We therefore reverse the district court's grant of summary judgment to the State and the County and remand for further proceedings consistent with this opinion." (Id.) 2
E. The Ninth Circuit Determines Plaintiffs Are Prevailing Parties For Purposes Of A Fee Award.
Plaintiffs filed a motion for attorney's fees on appeal, arguing that they were prevailing parties given the court's determination that the State statutory scheme under CANRA and the CACI violated their rights to due process, and that the County did not create additional procedural protections in order to
2 The court, as it did in its prior opinions, affirmed the grant of summary judgment to the individual defendants based on qualified immunity. (App. 72.)
prevent their constitutional injury. Plaintiffs sought $652,000 as Lodestar attorney's fees and a 2.0 multiplier.
The County opposed the motion for attorney's fees, arguing, among other grounds, that plaintiffs had not prevailed as against the County in that as the opinion recognized, plaintiffs still had to prove that the constitutional violation at issue was the result of a policy, custom, or practice attributable to the County under Monell. The County also noted that plaintiffs had not sought or obtained summary judgment with respect to their claims for declaratory relief and that in fact no judgment for declaratory relief existed. Rather, the court had simply remanded to the district court for further proceedings consistent with the opinion.
On June 22, 2009, the Ninth Circuit issued its order determining that plaintiffs were prevailing parties for purposes of a fee award as against both the State and the County. (App. 1-4.) Citing earlier Ninth Circuit authority, the court held that neither a formal order nor judgment for declaratory relief was necessary for purposes of a fee award. (App. 2.) It concluded that its opinion finding "that the State and County procedures used in maintaining" the Index were "constitutionally insufficient" and "violate[d] the Humphries' procedural due process rights" " 'materially alters the legal relationship between the parties by modifying the defendants' behavior in a way that directly benefits the plaintiff,' " so as to justify a fee award. (Id.)
The court also found that based upon its earlier decisions in Chaloux v. Killeen, 886 F.2d 247, 250 (9th Cir. 1989) and Truth v. Kent School District, 542 F.3d 634, 644 (9th Cir. 2008), the "limitations to liability established in Monell do not apply to claims for prospective relief." (App. 4.) Hence, plaintiffs' failure to establish the County's Monell liability did not impact whether plaintiffs were prevailing parties for purposes of a fee award. (Id.) The court concluded, however, that because of the County's relatively minor role in the procedural scheme, it would only be liable for 10% of any attorney's fees. (App. 3.) The court directed the Appellate Commissioner to issue a report and recommendation solely concerning the amount of reasonable fees. (App. 4.)
On December 2, 2009 the court issued an order adopting the October 2, 2009 report and recommendation of the Appellate Commissioner regarding the amount of fees. (Rep. App. 1-2.) It awarded the Humphries a total of $590,950 in fees and $1,630.92 in costs, with the State of California, through its Attorney General to pay $533,322.83 of that amount, and Los Angeles County to pay $59,258.09. (Ibid.)
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SUMMARY OF ARGUMENT
In Monell v. Department of Social Services, 436 U.S. 658 (1978), this court expressly held that municipalities "can be sued directly under § 1983 for monetary, declaratory, or injunctive relief where, as here, the action that is alleged to be unconstitutional implements or executes a policy statement, ordinance, regulation, or decision officially adopted and promulgated by that body's officers." Id. at 690, emphasis added. Despite this clear language, in Chaloux v. Killeen, 886 F.2d 247 (9th Cir. 1989), the Ninth Circuit, alone among the federal appellate courts, expressly declined to follow Monell and held that claims for declaratory and prospective injunctive relief are not subject to Monell's policy, custom, or practice requirement. 3 The result is that in this case, the respondents have been declared prevailing parties for purposes of an award of attorney's fees on appeal based upon the Ninth Circuit's determination that its opinion declaring a state law and county procedures unconstitutional ex post facto constituted declaratory relief as against the County. The Ninth Circuit did so even though it acknowledged that the question of whether the County inflicted any constitutional injury on the plaintiffs by virtue of a policy, custom, or practice remained at issue. (App. 2-3.)
3 Two circuits have expressly declined to follow Chaloux, holding that it is flatly inconsistent with the plain language of Monell. Dirrane v. Brookline Police Department, 315 F.3d 65, 71 (1st Cir. 2002); Reynolds v. Giuliani, 506 F.3d 183, 191 (2d Cir. 2007). Two other circuits, without reference to Chaloux, have found that Monell governs claims for prospective relief. Greensboro Professional Firefighters Association, Local 3157 v. City of Greensboro, 64 F.3d 962, 966-67 (4th Cir. 1995); Church v. City of Huntsville, 30 F.3d 1332, 1342-47 (11th Cir. 1994).
Chaloux's limitation of the Monell causation factors to claims for damages does not withstand scrutiny. It is contrary to this Court's interpretation of the language and legislative history of § 1983 and undermines the basic principles of federalism that underlie the policy, custom, or practice causation requirement.
First, contrary to Chaloux's assertion, Monell's rejection of respondeat superior liability was not premised on the view that Congress had attempted to alleviate financial burdens on municipalities. Rather, congressional concern in the form of rejection of the Sherman amendment, focused on setting a limit on the sorts of obligations that the federal government could impose on municipalities by exposing them to damage claims. Monell, 436 U.S. at 694-95. Congress did not believe it could impose an obligation on municipalities to enforce laws that they were not otherwise empowered to enforce under state law and balked at holding them accountable for the acts of others. However, where municipalities were authorized to enforce the law, it could require that those laws be enforced in a manner consistent with the Constitution. Yet, that control over the actions of municipalities was limited to those circumstances where the entity itself inflicted the constitutional injury. The statutory language limiting liability to those who "subject or cause another to subject" the plaintiff to a constitutional violation necessarily repudiated respondeat superior as a basis for invoking the remedies of § 1983, which included both damages and equitable relief.
Second, following Monell, the court has repeatedly reaffirmed that the policy, custom, or practice requirement is a rule of causation going to core principles of federalism by limiting the circumstances in which federal power through § 1983 may invade the internal operations of municipalities. City of Canton v. Harris, 489 U.S. 378, 390 (1989); Board of the County Comm'rs v. Brown, 520 U.S. 397, 415 (1997). While the court has announced this rule in the context of cases concerning claims for damages, these causation requirements and concerns of federalism apply with equal, indeed arguably even greater force with respect to claims for declaratory and prospective relief against municipalities. As the Monell court observed, damage claims act indirectly to compel particular actions by municipalities through deterring particular types of conduct. Yet, declaratory and prospective relief act directly upon public entities, with courts undertaking to review and declare the adequacy or inadequacy of particular actions or procedures. It is illogical to impose a higher standard of causation, i.e., proof of a policy, custom, or practice for purposes indirectly controlling municipalities through potential damage claims, while applying a lesser standard to more direct judicial intervention via declaratory or prospective injunctive relief.
Third, allowing claims for declaratory relief to proceed on a lesser standard of causation than applicable to claims for damages, leads to inconsistent and illogical results. For example, here, the Ninth Circuit has declared the County's procedures with respect to the CACI to be violative of due process, without specifically identifying the particular procedures, and more importantly, acknowledging that it is an open question whether in fact these procedures constitute a policy, custom, or practice fairly attributable to the County under Monell. The result is that the County could prevail on liability based upon the absence of any unconstitutional procedure fairly attributable to the County yet, in contradictory fashion, be determined to have maintained an unconstitutional policy for purposes of declaratory relief. Moreover, in allocating attorney's fees 90%-10% between the State and the County, the Ninth Circuit necessarily made some determination of fault, albeit completely untethered to any standard for assessing liability enunciated by this Court.
Fourth, contrary to Chaloux's reasoning, application of the Monell requirements to a claim for declaratory or prospective relief is consistent with the manner in which this Court has treated official capacity claims against state officials under the doctrine of Ex Parte Young, 209 U.S. 123 (1908). Chaloux asserts that when an unconstitutional state law is left solely to municipal officials to enforce, then Ex Parte Young allows declaratory relief without attempting to show that the statute in question was attributable to a policy, custom, or practice of the municipality. But Chaloux's reasoning is particularly inapt here, where the State Attorney General responsible for enforcing the state law in question and indeed, in maintaining the Index, is a party to the action. Moreover, Chaloux's misreading of this Court's decision is even more fundamental. This Court has repeatedly invoked Monell in the context of official capacity suits against state officials noting that "the entity's 'policy or custom' must have played a part in the violation of federal law." Kentucky v. Graham, 473 U.S. 159, 166 (1985); Hafer v. Melo, 502 U.S. 21, 25 (1991). Nothing in this Court's Eleventh Amendment jurisprudence supports abandonment of Monell's policy, custom, and practice requirement with respect to claims against municipalities for declaratory relief.
As this Court has made plain in Monell, and in the long line of decisions following it, the policy, custom, or practice requirement is a rule of causation defining the limits of federal power. Unless a plaintiff establishes constitutional liability under that standard, no remedy, whether it be damages, injunctive or declaratory relief, is appropriate.
♦
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ARGUMENT
MONELL CORRECTLY CONCLUDED THAT ALL CLAIMS FOR RELIEF AGAINST A MUNICIPALITY UNDER § 1983, INCLUDING CLAIMS FOR DECLARATORY RELIEF ARE SUBJECT TO THE REQUIREMENT THAT THE PLAINTIFF PROVE THAT THE CONSTITUTIONAL INJURY WAS INFLICTED AS A RESULT OF A POLICY, CUSTOM, OR PRACTICE OF THE MUNICIPALITY.
In finding respondents to be prevailing parties as against the County for purposes of a fee award on appeal, the Ninth Circuit concluded that its opinion reversing summary judgment for the County and the State of California was tantamount to a grant of declaratory relief. (App. 2.) Although the County had opposed the fee motion on the ground that the court had expressly left open the issue of whether plaintiffs could establish that any constitutional violation was the result of a policy, custom, or practice under Monell, the court rejected the argument, relying on its previous decision in Chaloux v. Killeen, 886 F.2d 247 (9th Cir. 1989), which held that claims for declaratory and prospective injunctive relief were not subject to the Monell requirements. (App. 3-4.)
In Chaloux, the plaintiffs challenged state garnishment procedures by filing suit against a county sheriff charged with enforcing the provisions under state law. 886 F.2d at 248. In finding that the claims for declaratory and prospective injunctive relief were not subject to the Monell policy, custom, or practice requirements, the court construed those limitations as serving only "to alleviate the imposition of financial liability on local governments based solely on respondeat superior theory." 886 F.2d at 250.
Yet, in Monell, the court plainly stated:
Local governing bodies . . . can be sued directly under § 1983 for monetary, declaratory, or injunctive relief where, as here, the action that is alleged to be unconstitutional implements or executes a policy, statement, ordinance, regulation, or decision officially adopted or promulgated by that body's officers.
Monell, 436 U.S. at 690; emphasis added.
As we discuss, review of Monell belies the Ninth Circuit's narrow interpretation and confirms that based upon the statutory language and legislative history, a municipality is subject to the remedial scheme of § 1983 – whatever form the remedy may take – only where the constitutional injury was inflicted as a result of a policy, custom, or practice of the municipality.
A. The Language And Legislative History Of § 1983 Establish That Judicial Intervention, Whether In The Form Of Damages, Declaratory, Or Injunctive Relief Is Only Appropriate Against A Municipality Where The Injury Was Inflicted By The Municipality Itself, i.e., Through A Policy, Custom, Or Practice.
1. The Civil Rights Act of 1871 and rejection of the Sherman amendment.
In Monell v. Department of Social Services, 436 U.S. 658, the court reversed its earlier decision in Monroe v. Pape, 365 U.S. 167 (1961) and held that municipalities were "persons" under § 1983. Monell arose from a challenge to official policies of the City of New York Department of Social Services and Board of Education, which compelled pregnant employees to take unpaid leaves of absence before such leaves were required for medical reasons. 436 U.S. at 660-61. Plaintiffs sought injunctive relief and backpay for periods of unlawful forced leave. Id. Suit was brought directly against the municipality and its various departments, as well as individuals in their official capacities. Id.
The district court granted summary judgment, finding the claims for prospective injunctive and declaratory relief moot because the city had changed its policies, and that plaintiffs' claims for backpay were barred because the city and the individuals in their official capacities were not "persons" under § 1983 as
interpreted by Monroe v. Pape, 365 U.S. at 265. Monell, 436 U.S. at 662.
In reversing Monroe, Justice Brennan, writing for the Court, relied on virtually the same legislative history as the Monroe court concerning the Civil Rights Act of 1871, most particularly the 42nd Congress's actions with respect to what was termed the Sherman amendment.
There were three stages in the legislative consideration of the bill which became the Civil Rights Act of 1871. Representative Shellabarger, acting for a House select committee, reported H.R. 320, as a bill to enforce the provisions of the Fourteenth Amendment, among other purposes. Monell, 436 U.S. at 665. That bill contained four sections, and section 1 is essentially codified as 42 U.S.C. § 1983. Id. As the court observed, section 1 "was the subject of only limited debate and was passed without amendment." Id., citing Cong. Globe, 42d Cong., 1st Session, 522 (1871) (hereinafter "Globe"). The remaining sections dealt with the other purpose of suppressing Ku Klux Klan violence and were the subject of the balance of congressional debate. Monell, 436 U.S. at 665.
Just prior to the vote on H.R. 320, Senator Sherman introduced an amendment to be added as section 7. Globe at 663. The amendment made the inhabitants of a municipality liable for damage inflicted by persons "riotously and tumultuously assembled. . . ." It allowed the recovery of damages in federal courts as suits against the county, city or parish in which the damage had occurred. Id. However, execution of the judgment was not to run against the property of the government unit, but against the private property of any inhabitant. Id.
The House rejected several of the amendments made by the Senate, including the Sherman amendment, and the various versions of the bill went to conference committee. The conference committee draft of the Sherman amendment altered it substantially. It created a cause of action for persons injured by "any persons riotously and tumultuously assembled together . . . with intent to deprive any person of any right conferred upon him by the Constitution and laws of the United States, or to deter him or punish him for exercising such right, or by reason of his race, color, or previous condition of servitude. . . ." Globe 749, 755, quoted at Monell, 436 U.S. at 666, 702. In stark departure from the earlier version, it directly provided for municipal liability.
* The action could be maintained against the county, city or parish in which the riot had occurred. Id. at 667.
* If a judgment could not be satisfied by the individual defendants who had committed the violence, the judgment could be collected from the municipality by execution, attachment, mandamus, garnishment or any other proceeding, with the judgment itself a lien upon the municipal treasury. Id.
The House rejected this version of the Sherman amendment as well, with the result that a second conference substitute for the amendment abandoned municipal liability and, instead, made any person having knowledge of, and power to prevent, a conspiracy to violate civil rights, liable to any person injured by the conspiracy. Monell, 436 U.S. at 668-69; Globe 804. That amendment was eventually codified as 42 U.S.C. § 1986.
2. Monell construes rejection of the Sherman amendment as evidencing congressional understanding of the coercive power of civil claims and refusal to make municipalities vicariously responsible for the acts of others.
As Justice Brennan explained in Monell, the House's rejection of the prior versions of the Sherman amendment appeared to be based upon concerns that through the threat of damage awards, it indirectly imposed obligations on local municipalities to enforce the law and control the actions of third parties. These were obligations that the federal government had no constitutional power to impose, since the states and only the states could say what law enforcement or other powers would be exercised by their local governments. 4 The court observed that:
4 The court quoted extensively from the views of Representative Blair and noted his concerns were shared by other (Continued on following page)
[T]here was ample support for Blair's view that the Sherman amendment, by putting municipalities to the Hobson's choice of keeping the peace or paying civil damages, representatives. 436 U.S. at 674-75. These included the following observations by Blair:
* The "amendment claims the power in the General Government to go into the States of this Union and lay such obligations as it may please upon the municipalities, which are the creations of the States alone. . . .
* [H]ere it is proposed, not to carry into effect an obligation which rests upon the municipality, but to create that obligation, and that is the provision I am unable to assent to.
* [T]here are certain rights and duties that belong to the States, . . . there are certain powers that inhere in the State governments. They create these municipalities, they say what their powers shall be and what their obligations shall be. If the Government of the United States can step in and add to those obligations, may it not utterly destroy the municipality? If it can say that it shall be liable for damages occurring from a riot, . . . where [will] its power . . . stop and what obligations . . . might [it] not lay upon a municipality. . . .
* It was held also in the case of Prigg vs. Pennsylvania, 16 Pet. 539, 10 L.Ed. 1060 (1842), that it is not within the power of the Congress of the United States to lay duties upon a State officer; that we cannot command a State officer to do any duty whatever, as such; and I ask . . . the difference between that and commanding a municipality, which is equally the creature of the State, to perform a duty." Globe 795, alterations in original.
attempted to impose obligations on municipalities by indirection that could not be imposed directly, thereby threatening to "destroy the government of the States."
436 U.S. at 679.
The Monroe court had interpreted Congress's rejection of the early versions of the Sherman amendment as evidencing an intent that municipalities not be considered "persons" subject to the provisions of § 1983 at all. Monroe, 365 U.S. at 187. In contrast, the Monell court observed that while rejection of the Sherman amendment indicated doubt that the federal government could impose new law enforcement functions on a state and its municipalities, there was little dispute that Congress could constitutionally require states and municipalities to enforce state laws they were already empowered to enforce in a manner consistent with the federal Constitution. Monell, 436 U.S. at 679-90. The court held, however, that rejection of the Sherman amendment signaled congressional reluctance to impose vicarious liability on a municipality, a concern reflected in the language of § 1983 as originally passed which subjected to liability:
[A]ny person who, under color of any law, statute, ordinance, regulation, custom, or usage of any State, shall subject, or cause to be subjected, any person . . . to the deprivation of any rights, privileges, or immunities secured by the Constitution of the United States. . . .
436 U.S. at 691, quoting 17 Stat. 13, alterations in original.
As the court observed:
The . . . language plainly imposes liability on a government that, under color of some official policy, "causes" an employee to violate another's constitutional rights. At the same time, that language cannot be easily read to impose liability vicariously on governing bodies solely on the basis of the existence of an employer-employee relationship with a tortfeasor. Indeed, the fact that Congress did specifically provide that A's tort became B's liability if B "caused" A to subject another to a tort suggests that Congress did not intend section 1983 liability to attach where such causation was absent.
436 U.S. at 692.
Significantly, the court also observed that in Rizzo v. Goode, 423 U.S. 362 (1976) it had previously rejected an often cited justification for respondeat superior, i.e., that liability follows the right to control the actions of a tortfeasor. In Rizzo, the court rejected injunctive relief against supervisors where they did not personally know of or participate in the constitutional violations attributed to their employees. As the Monell court explained, in Rizzo, "we would appear to have decided that the mere right to control without any control or direction having been exercised and without any failure to supervise is not enough to support section 1983 liability." 436 U.S. at 693 n.58.
Thus, the Monell court held:
We conclude, therefore, that a local government may not be sued under section 1983 for an injury inflicted solely by its employees or agents. Instead, it is when execution of a government's policy or custom, whether made by its lawmakers or by those whose edicts or acts may fairly be said to represent official policy, inflicts the injury that the government as an entity is responsible under section 1983.
Id. at 694.
Although Monell arose in the context of a claim for monetary relief, by its plain terms and analysis, it applies to all claims for relief under § 1983. Contrary to Chaloux's characterization, rejection of the doctrine of respondeat superior in Monell was not the result of any concern that damage awards would financially devastate local public entities. To the contrary, the Monell court rejected that as a consideration, asserting that it was not supported by the congressional debates. 436 U.S. at 664 n.9. Rather, as noted above, Monell rested its holding on the language of § 1983 viewed against the background of congressional understanding of the coercive power of allowing civil claims and a reluctance to impose obligations on municipalities to control or protect against the conduct of others.
B. The Court Has Repeatedly Held That The Policy, Custom Or Practice Requirement Is A Rule Of Causation Implicating Federalism Concerns By Setting Limits On Judicial Intervention Into The Operation Of Municipal Governments.
Following Monell, this Court has uniformly reaffirmed the policy, custom or practice requirement as a rule of causation, even if members of the Court have at times sharply disagreed as to its application in particular cases.
See:
* Pembaur v. City of Cincinnati, 475 U.S. 469, 479 (1986) ["municipal liability is limited to actions for which the municipality is actually responsible"];
* City of St. Louis v. Praprotnik, 485 U.S. 112, 122 (1988) (plurality) ["For our purposes here, the crucial terms of the statute are those that provide for liability when a government 'subjects [a person], or causes [that person] to be subjected,' to a deprivation of constitutional rights. Aware that governmental bodies can act only through natural persons, the Court concluded that these governments should be held responsible when, and only when, their official policies cause their employees to violate another person's constitutional rights," alterations in original]. Id. at 138 (Brennan, J., joined by Marshall J. and Blackman, J. concurring [" 'the touchstone of the § 1983 action against a government body is an allegation that official policy is responsible for the deprivation of rights protected by the Constitution' "];
* City of Canton v. Harris, 489 U.S. 378, 385 (1989) [" 'It is only when the "execution of the government's policy or custom . . . inflicts the injury" that the municipality may be held liable under § 1983,' " alteration in original];
* Board of the County Comm'rs v. Brown, 520 U.S. 397, 403 (1997) ["in Monell and subsequent cases, we have required a plaintiff seeking to impose liability on a municipality under § 1983 to identify a municipal 'policy' or 'custom' that caused the plaintiff 's injury"];
* McMillian v. Monroe County, 520 U.S. 781, 785 (1997) ["We held in Monell . . . that a local government is liable under § 1983 for its policies that cause constitutional torts. These policies may be set by the government's lawmakers, 'or by those whose edicts or acts may fairly be said to represent official policy' "].
This court has repeatedly recognized that the policy, custom, and practice requirement draws a proper line between permissible and impermissible judicial intervention in the internal operation of local governments. In City of Canton v. Harris, 489 U.S. 378 (1989), the court held that municipal liability premised upon failure to train law enforcement officers was only appropriate where the failure to train amounts to deliberate indifference to the rights of persons with whom the police come into contact. It is only then that inadequate training could "fairly be said to represent a policy for which the city is responsible and for which the city may be held liable if it actually causes injury." 489 U.S. at 390. The court observed that allowing such cases to go forward "on a lesser standard of fault would result in de facto respondeat superior liability on municipalities," and
[W]ould also engage the federal courts in an endless exercise of second-guessing municipal employee-training programs. This is an exercise we believe the federal courts are illsuited to undertake, as well as one that would implicate serious questions of federalism.
Id. at 392.
Similarly, in Board of the County Comm'rs v. Brown, 520 U.S. 397 (1997), the court observed:
A failure to apply stringent culpability and causation requirements raises serious federalism concerns, in that it risks constitutionalizing particular hiring requirements that States have themselves elected not to impose.
520 U.S. at 415.
While these cases admittedly concerned claims for damages, that is a distinction without a difference. These causation requirements apply with equal, indeed arguably even greater force with respect to claims for declaratory and prospective relief against municipalities. As we discuss, it would be no more acceptable to constitutionalize "particular hiring requirements" (Brown, 520 U.S. at 415) or allow federal courts to engage in "endless exercise of second-guessing municipal employee-training programs" (Harris, 489 U.S. at 390) via declaratory or prospective injunctive relief based on the isolated actions of a single municipal employee than it would be through imposing a damage award for the same conduct.
C. The Statutory Language And Principles Of Federalism Underlying The Monell Policy, Custom, Or Practice Rule Of Causation Apply With Equal Force To Claims For Declaratory And Other Prospective Relief.
As noted, by its plain terms, Monell does not purport to limit the policy, custom, or practice causation requirement to claims for damages. To the contrary, Monell expressly states that this rule of causation applies to claims for "declaratory, or injunctive relief. . . ." Monell, 436 U.S. at 690. Indeed, Monell pointedly does not repeatedly tie the policy, custom, or practice requirement to damages claims, but rather, refers to it as a threshold requirement before a claim is even actionable under § 1983. In short, "a local government may not be sued under § 1983 for an injury inflicted solely by its employees or agents." Id., emphasis added. It is only when "execution of a government's policy or custom . . . inflicts the injury that the government as an entity is responsible under § 1983." Id.; emphasis added; see also Pembaur, 475 U.S. at 478 ["Monell is a case about responsibility"].
As stated in Monell and its progeny, it is only when a policy, custom, or practice of the municipality inflicts the constitutional injury that the defendant "shall be liable to the party injured in the action at law, suit in equity, or other proper proceeding for redress. . . ." 42 U.S.C. § 1983. Declaratory relief under 28 U.S.C. § 2201 is nothing more than an additional remedy to be afforded if and only if the plaintiff meets the causation requirements set forth in § 1983. 5
5 28 U.S.C. § 2201 reads in pertinent part as follows: Section 2201. Creation of remedy.
(a) In a case of actual controversy within its jurisdiction, except with respect to Federal taxes other than actions brought under section 7428 of the Internal Revenue Code of 1986, a proceeding under section 505 or 1146 of title 11, or in any civil action involving an antidumping or countervailing duty proceeding regarding a class or kind of merchandise of a free trade area country (as defined in section 516A(f )(10) of the Tariff Act of 1930), as determined by the administering authority, any court of the United States, upon the filing of an appropriate pleading, may declare the rights and other legal relations of any interested party seeking such declaration, whether or not further relief is or could be sought. Any such declaration shall (Continued on following page)
Moreover, as Justice Brennan stated in Monell, the 42nd Congress well understood that claims for damages under a federal statute were a means by which the federal government could indirectly impose obligations on states and municipalities to take particular actions. Id., 436 U.S. at 679. As noted, the court concluded that Congress did not believe it could indirectly impose an obligation on municipalities to enforce state laws or undertake other acts that they were not empowered to enforce under state law. However, Congress could indirectly compel municipalities to enforce those laws they were authorized to enforce in a manner consistent with the United States Constitution by exposing them to potential damage claims, but only where injury was inflicted as a result of a policy, custom, or practice. Thus, indirect control over local public entities is subject to a policy, custom, or practice requirement. Yet, paradoxically, under the Ninth Circuit's view, direct control over a local public entity either through declaratory relief or prospective injunctive relief is subject to a lesser standard of causation. This illogical rule simply does not withstand scrutiny in light of the legislative history of § 1983 and the court's holding in Monell.
In addition, the federalism concerns this court has identified as inextricably linked to the policy, custom, or practice causation requirement apply with
have the force and effect of a final judgment or decree and shall be reviewable as such.
equal force to claims for declaratory or other prospective relief that operate directly on a public entity. While damage awards can pose a threat to a public treasury, declaratory and injunctive relief allow a court to directly control the manner in which a local public entity operates, and set specific standards or procedures for even the most basic government functions. As this court observed in Rizzo v. Goode in rejecting injunctive relief against municipal supervisors who had not personally violated the plaintiffs' constitutional rights:
The scope of federal equity power, it is proposed, should be extended to the fashioning of prophylactic procedures for a state agency designed to minimize this kind of misconduct on the part of a handful of its employees. However, on the facts of this case, not only is this novel claim quite at odds with the settled rule that in federal equity cases 'the nature of the violation determines the scope of the remedy,' . . . [Citation] but important considerations of federalism are additional factors weighing against it. Where, as here, the exercise of authority by state officials is attacked, federal courts must be constantly mindful of the 'special delicacy of the adjustment to be preserved between federal equitable power and State administration of its own law." Stefanelli v. Minard, 342 U.S. 117, 120, 72 S. Ct. 118, 120, 96 L. Ed. 138 (1951), quoted in O'Shea v. Littleton, 414 U.S. [488] at 500, 94 S. Ct. at 678 [(1974)].
Rizzo, 423 U.S. at 378.
Similarly, here, the high level of intrusion into the operation of a municipality occasioned by declaratory relief is justified only when a plaintiff at least establishes that a constitutional injury has been inflicted as a result of some policy, custom, or practice fairly attributable to the public entity.
Further, claims for declaratory relief and prospective injunctive relief can have profound financial impact on a local public entity. Declarations with respect to the sufficiency or insufficiency of particular procedures, or prospective injunctive relief directing particular types of procedures be instituted, may spawn significant collateral costs. And as this case indicates, an award for declaratory relief can lead to fee awards, which in many cases may be substantial.
D. Applying A Lesser Standard Of Causation To Claims For Declaratory Relief Leads To Illogical And Inconsistent Results.
Allowing claims for declaratory relief to proceed on a lesser standard of causation than applicable to a claim for damages leads to inconsistent and illogical results. For example, here, the Ninth Circuit found that plaintiffs had essentially established declaratory relief as against the County because it had "held that the State and County procedures used in maintaining the Child Abuse Central Index . . . were constitutionally insufficient, and thus the Child Abuse and Neglect Reporting Act . . . 'violates the Humphries' procedural due process rights.' " (App. 2.) Yet, what are the "procedures" of the County that have been declared violative of due process? The procedures in this particular case? Procedures that are the equivalent of a policy for purposes of Monell? Surely not the latter, since, as the Ninth Circuit acknowledged, at this stage of the litigation the existence of a policy, custom, or practice under Monell has not even been litigated and remains an open issue.
Moreover, in apportioning the fee award 90%10% as between the State and the County, the court determined that the State would bear the lion's share because it crafted "the statutory and regulatory provisions that created the CACI and its attendant review procedures[,]" while the County had failed "to craft its own additional procedural protections. . . ." (App. 3.) This allocation, however, necessarily required the court to make some assessment of fault and ultimate liability, albeit untethered to any substantive principle of liability. Thus, the County is liable for failing to craft additional procedures, without any showing that the County, through a responsible policymaking official, should have been so plainly aware of the need for additional training, procedures or policies, that the failure to take action rose to the level of deliberate indifference. See, e.g., City of Canton v. Harris, 489 U.S. at 388; City of Oklahoma City v. Tuttle, 471 U.S. 808, 823-24 (1988).
In addition, the very question of whether the County could, under state law impose its own procedures over and above those set forth in CANRA was an issue that went squarely to the County's potential liability under Monell. California law suggests that the County was not free to impose its own procedures under state law and substantial federal authority supports the proposition that Monell liability cannot be imposed on a public entity merely for enforcing state law. 6
As the Ninth Circuit acknowledged in its opinion, the County's liability for damages under Monell remains at issue. (App. 72.) With respect to the damage claim, it could be determined that in fact no policy, custom, or practice fairly attributable to Los Angeles County inflicted any sort of constitutional injury on the plaintiffs. Whether any alleged injury was inflicted as a result of a random act of an employee,
6 See, Birkenfeld v. City of Berkely, 17 Cal. 3d 129, 15052, 550 P.2d. 1001; 130 Cal. Rptr. 465 (1976) [city could not create additional procedures for unlawful detainer actions]; American Financial Services Ass'n v. City of Oakland, 34 Cal. 4th 1239, 1251, 104 P.3d 813, 23 Cal. Rptr. 3d 453 (2005) [city ordinance could not regulate predatory lending practices more stringently than state regulations]; Surplus Store & Exch., Inc. v. City of Delphi, 928 F.2d 788, 790-93 & n.4 (7th Cir. 1991) [merely enforcing state law is insufficient to establish a municipal policy under Monell]; Bockes v. Fields, 999 F.2d 788, 791 (4th Cir. 1993) [county not liable under Monell for County Social Services Board's termination of director, where Board "enjoyed its discretion to fire (director) at the prerogative of and within the constraints imposed by the (state)"]; Familias Unidas v. Briscoe, 619 F.2d 391, 404 (5th Cir. 1980) [county not liable under Monell for county judge's ministerial role in enforcing unconstitutional state statute]; Doby v. De Crescenzo, 171 F.3d 858, 868 (3d Cir. 1999) ["when a county is merely enforcing state law, without adopting any particular policy of its own, it cannot be held liable under . . . Monell . . . "].
or whether, in the end the County cannot be held liable merely for enforcing state law, the result is the same – a determination that is squarely at odds with the finding of "liability" with respect to the declaratory relief claim.
The Ninth Circuit's asymmetrical imposition of municipal liability depending upon the nature of the relief sought must be rejected. There is no justification for imposing a lower causation threshold on claims for declaratory or other prospective relief against public entities than for damages. As recognized by Monell and its progeny, the policy, custom, and practice requirement is a rule of causation defining the limits of federal power and absent establishing constitutional liability under those standards, no remedy, whether it be damages, injunctive or declaratory relief, is appropriate.
E. Application Of The Monell Requirements To Claims For Declaratory Or Other Prospective Relief Is Consistent With The Manner In Which The Court Has Treated Official Capacity Claims Against State Officials.
As noted, in Chaloux, the Ninth Circuit held that plaintiffs seeking to challenge Idaho execution and garnishment statutes could properly obtain declaratory and injunctive relief against a county sheriff and other county officials in their official capacities without satisfying Monell's policy, custom, or practice requirement. As we have explained,
Chaloux premised its holding on an incorrect interpretation of Monell as being limited solely to damage claims against local public entities. It further found, however, that its approach – allowing plaintiffs to obtain declaratory and injunctive relief against local officials in their official capacity based on enforcement of state law – was consistent with this Court's decision in Ex Parte Young, 209 U.S. 123 (1908) allowing claims for injunctive relief against state officials charged with the responsibility of enforcing state law. See Chaloux, 886 F.2d at 251. The Ninth Circuit concluded that because only county sheriffs could enforce the state law at issue, they were proper parties under Ex Parte Young. Id.
Yet, Chaloux's reasoning does not withstand scrutiny. As a threshold matter, here, plaintiffs have brought an official capacity suit against the very state official charged with defending the constitutionality of all state laws and maintaining the Index – the California Attorney General. And, plaintiffs' claim for declaratory relief against the County is premised on allegations not simply that the County was merely enforcing an unconstitutional state law, but also purported County policies, customs, and practices concerning what information it would provide to the state in requesting that individuals be taken off the database. (ER 24-25.) Thus, Chaloux's rationale for invoking Ex Parte Young is simply inapplicable here since the actual state official charged with enforcing state law is a defendant and, more fundamentally, one aspect of plaintiffs' declaratory relief claim is premised upon the conduct of individual county employees.
More critically, Chaloux misreads this Court's Eleventh Amendment jurisprudence as purportedly making prospective relief available against state officials without establishing action fairly attributable to the state equivalent to those factors imposing Monell liability on municipalities. Yet, this Court has repeatedly invoked Monell in discussing the manner in which state officials may be sued in their official capacity for enforcing state law.
In Kentucky v. Graham, 473 U.S. 159 (1985), the Court invoked Monell in explaining the differences between suing a state official in a personal, as opposed to official, capacity:
On the merits, to establish personal liability in a § 1983 action, it is enough to show that the official, acting under color of state law, caused the deprivation of a federal right. [Citation.] More is required in an officialcapacity action, however, for a governmental entity is liable under § 1983 only when the entity itself is a " 'moving force' " behind the deprivation, Polk County v. Dodson, 454 U.S. 312, 326 (1981) (quoting Monell [436 U.S.] at 694); thus, in an official-capacity suit, the entity's "policy or custom" must have played a part in the violation of federal law.
Id. at 166, parallel citations omitted, original emphasis.
Hafer v. Melo, 502 U.S. 21, 25 (1991) reaffirmed Graham: "Suits against state officials in their official capacity . . . should be treated as suits against the State" and "[b]ecause the real party in interest in an official capacity suit is the governmental entity and not the named official, 'the entity's "policy or custom" must have played a part in the violation of federal law.' "
Indeed, consistent with Hafer and Graham, in Reynolds v. Giuliani, 506 F.3d 183, 191 (2d Cir. 2007) the court rejected claims for prospective injunctive relief against state officials because plaintiffs failed to satisfy Monell's requirements of a policy, custom or practice attributable to the state as causing plaintiffs' injuries.
The same is true with respect to claims for declaratory and other prospective relief against County officials in their official capacity or against a county directly itself. The challenged action or statue must be fairly attributable to the County itself. Nothing in this Court's Eleventh Amendment jurisprudence supports, let alone compels abandonment of Monell's policy, custom, and practice requirements to claims against municipalities for declaratory or other prospective relief.
♦
--------------------------------- ---------------------------------
CONCLUSION
Petitioner respectfully submits that any claim for declaratory relief is subject to the Monell policy, custom or practice requirement. Because petitioner's liability under Monell remains an open issue, respondents are not prevailing parties under Hanrahan v. Hampton, 446 U.S. 754 (1980) and the Ninth Circuit's order determining respondents to be prevailing parties and subsequent fee award, must be reversed.
Respectfully submitted,
TIMOTHY T. COATES, ESQ. Counsel of Record ALISON M. TURNER, ESQ. LILLIE HSU, ESQ.
GREINES, MARTIN, STEIN & RICHLAND LLP 5900 Wilshire Boulevard, Twelfth Floor Los Angeles, California 90036
Telephone: (310) 859-7811
Facsimile: (310) 276-5261
MARK D. RUTTER, ESQ.
CARPENTER, ROTHANS & DUMONT 888 South Figueroa Street, Suite 1960 Los Angeles, California 90017
Telephone No.: (213) 228-0400
Facsimile No.: (213) 228-0401
Counsel for Petitioner Los Angeles County, California
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NY CLS Bus Corp § 630
Current through 2018 Chapters 1-356
New York Consolidated Laws Service > Business Corporation Law (Arts. 1 — 20) > Article 6 Shareholders (§§ 601 — 630)
§ 630. Liability of shareholders for wages due to laborers, servants or employees
(a)The ten largest shareholders, as determined by the fair value of their beneficial interest as of the beginning of the period during which the unpaid services referred to in this section are performed, of every domestic corporation or of any foreign corporation, when the unpaid services were performed in the state, no shares of which are listed on a national securities exchange or regularly quoted in an over-the-counter market by one or more members of a national or an affiliated securities association, shall jointly and severally be personally liable for all debts, wages or salaries due and owing to any of its laborers, servants or employees other than contractors, for services performed by them for such corporation. Before such laborer, servant or employee shall charge such shareholder for such services, he shall give notice in writing to such shareholder that he intends to hold him liable under this section. Such notice shall be given within one hundred and eighty days after termination of such services, except that if, within such period, the laborer, servant or employee demands an examination of the record of shareholders under paragraph (b) of section 624 (Books and records; right of inspection, prima facie evidence) of this article, such notice may be given within sixty days after he has been given the opportunity to examine the record of shareholders. An action to enforce such liability shall be commenced within ninety days after the return of an execution unsatisfied against the corporation upon a judgment recovered against it for such services. The provisions of this paragraph shall not apply to an investment company registered as such under an act of congress entitled "Investment Company Act of 1940."
(b)For the purposes of this section, wages or salaries shall mean all compensation and benefits payable by an employer to or for the account of the employee for personal services rendered by such employee. These shall specifically include but not be limited to salaries, overtime, vacation, holiday and severance pay; employer contributions to or payments of insurance or welfare benefits; employer contributions to pension or annuity funds; and any other moneys properly due or payable for services rendered by such employee.
(c)A shareholder who has paid more than his pro rata share under this section shall be entitled to contribution pro rata from the other shareholders liable under this section with respect to the excess so paid, over and above his pro rata share, and may sue them jointly or severally or any number of them to recover the amount due from them. Such recovery may be had in a separate action. As used in this paragraph, "pro rata" means in proportion to beneficial share interest. Before a shareholder may claim contribution from other shareholders under this paragraph, he shall, unless they have been given notice by a laborer, servant or employee under paragraph (a), give them notice in writing that he intends to hold them so liable to him. Such notice shall be given by him within twenty days after the date that notice was given to him by a laborer, servant or employee under paragraph (a).
History
Add, L 1961, ch 855, eff Sept 1, 1963; amd, L 1962, ch 834, § 44; L 1963, ch 746, eff Sept 1, 1963; L 1964, ch 725, § 8; L 1965, ch 803, § 24, eff Sept 1, 1965; L 1984, ch 212, § 1, eff June 12, 1984; L 2015, ch 421, § 1, eff Jan 19, 2016; L 2016, ch 5, § 1, eff Jan 19, 2016.
Annotations
Notes
Revision Notes:
Applies only to unlisted corporations and to ten largest shareholders in such corporations. Right of contribution given. See § 624, which gives employee right to inspect record of shareholders.
Editor's Notes:
Laws 1984, ch 212, § 2, provides as follows:
§ 2. This act shall take effect immediately and shall be deemed to apply where termination of services has occurred at any time within ninety days prior to, as well as at any time on or after, the effective date of this act.
Amendment Notes:
The 2015 amendment by ch 421, § 1, in (a), in the first sentence, added "domestic" and "or of any foreign corporation, when the unpaid services were performed in the state" and added "of this article" in the third sentence.
The 2016 amendment by ch 5, § 1, in (a), added "(other than an investment company registered as such under an act of congress entitled 'Investment Company Act of 1940')" following "domestic corporation" in the first sentence and added the last sentence.
Commentary
PRACTICE INSIGHTS:
WHEN SHAREHOLDERS CAN BE PERSONALLY LIABLE FOR CORPORATE DEBTS
By Glenn J. Bobeck, Esq., Phillips Lytle LLP www.phillipslytle.com
General Editor, Glenn J. Bobeck, Esq., Phillips Lytle LLP www.phillipslytle.com
INSIGHT
It is axiomatic that shareholders are generally not personally liable for the debts of the corporation. Indeed, that is probably the primary reason for incorporation in the first place. In certain limited circumstances (not including fraud or ultra vires), however, shareholders have personal liability for certain debts of a corporation. For example, the ten largest shareholders of a corporation, for example, are personally liable for unpaid wages to employees. BCL § 630. The practitioner should be aware of this issue when advising clients at the formation stage.
ANALYSIS
BCL § 630 has been recently amended to provide that shareholders of foreign corporations are liable for unpaid wages.
For many years, BCL § 630 has provided that the ten (10) largest shareholders of a New York corporation could be held liable for unpaid wages payable to employees. Also, until 2015, there was no comparable provision in the New York Limited Liability Company Law. Thus, it was common for practitioners to advise clients upon entity formation of this issue and thus, consider the advantages of forming a foreign corporation or a limited liability company to avoid the possibility of an entity owner being held personally liable for unpaid wages.
Recently however, this has changed. First, as of February 27, 2015, New York's limited liability company law was amended to add new LLCL § 609(c), which essentially created a mirror provision applicable to the ten members of a limited liability company with the largest percentage ownership. See LLCL § 609(c). Then, effective as of January 19, 2016, the New York legislature took the next step by extending the applicability of BCL § 630 to provide that the top ten (10) shareholders of privately held foreign corporations can now be held personally responsible for unpaid wages where services were performed in the State of New York.
As a result of these changes, the formation of a foreign corporation will longer insulate a shareholder from potential responsible for wages.
Advise passive investor shareholder to monitor corporation's business and finances.
BCL § 630 imposes full liability for unpaid wages on each of the shareholders, who are then relegated to seeking indemnification from other shareholders. The context in which this is most often problematic, of course, is in the investment context, where the shareholder may be a passive investor and may hold a small portion of the corporation, but may have more personal wealth than many of the other shareholders. Such a shareholder is well-advised to keep a close eye on the corporation's business and finances because even a passive investor could be fully liable without regard to percentage of ownership.
Notes to Decisions
1.In general
2.Purpose
3.Applicability
4."Employee"
5."Wages" and other terms
6.Notice, generally
7.—Particular cases
8.Execution unsatisfied
9.Parties; subrogation
10.Timeliness of action
11.Jurisdiction
12.Miscellaneous
1. In general
Section 71 of former Stock Corp. L., from which this section of the Bus. Corp. L. is said to have been "derived," was dissimilar in a number of respects, most notably in its application to all stockholders and regardless of whether the corporation's shares were listed on a recognized securities exchange. Section 71 was inapplicable to foreign corporations, and their shareholders were not personally liable for amounts due employees thereunder, even though the corporation did business in New York and the contract was entered into and the services rendered in New York. Armstrong v Dyer, 268 N.Y. 671, 198 N.E. 551, 268 N.Y. (N.Y.S.) 671, 1935 N.Y. LEXIS 1141 (N.Y. 1935); Spector v Brandriss, 54 N.Y.S.2d 527, 184 Misc. 40, 1933 N.Y. Misc. LEXIS 951 (N.Y. App. Term 1933); Gonzales v Tuttman, 59 F. Supp. 858, 1945 U.S. Dist. LEXIS 2471 (D.N.Y. 1945); Bogardus v Fitzpatrick, 247 N.Y.S. 692, 139 Misc. 533, 1931 N.Y. Misc. LEXIS 1068 (N.Y. Sup. Ct. 1931).
Business Corporation § 630 is not pre-empted by Employee Retirement Income Security Act (29 USCS § 1144) on grounds that it impermissibly regulates terms and conditions of employee benefit plans; trustees of welfare and pension plan may seek recovery of payments which corporation failed to contribute to welfare and pension plan from shareholders of corporation pursuant to Business Corporation § 630. Sasso v Vachris, 66 N.Y.2d 28, 494 N.Y.S.2d 856, 484 N.E.2d 1359, 1985 N.Y. LEXIS 16996 (N.Y. 1985).
A proceeding against a principal stockholder of a corporation to require him to pay a judgment obtained against the corporation pursuant to § 71 of the Stock Corporation Law could only, after effective date of this law (September 1, 1963) be commenced and carried forward under this section of the Business Corporation Law and within the 90-day period prescribed herein. Tessler v Suskind, 42 Misc. 2d 27, 247 N.Y.S.2d 537, 1964 N.Y. Misc. LEXIS 2003 (N.Y. Dist. Ct. 1964).
Statute permitting employees to bring action for wages or salaries due and owing for services performed for corporation in which defendants hold stock does not require termination of employment relationship as condition precedent to bringing action thereunder. Grossman v Sendor, 89 Misc. 2d 952, 392 N.Y.S.2d 997, 1977 N.Y. Misc. LEXIS 2726 (N.Y. Sup. Ct. 1977), modified, 64 A.D.2d 561, 407 N.Y.S.2d 22, 1978 N.Y. App. Div. LEXIS 12312 (N.Y. App. Div. 1st Dep't 1978).
Action brought under CLS Bus Corp § 630 is not renewed determination on merits but constitutes enforcement mechanism to protect employees of closely held corporation, so that large shareholder may not collaterally attack judgment for which there was full opportunity to litigate. Matarazzo v Segall, 153 Misc. 2d 176, 580 N.Y.S.2d 644, 1992 N.Y. Misc. LEXIS 31 (N.Y. Civ. Ct. 1992), rev'd, 156 Misc. 2d 1, 600 N.Y.S.2d 890, 1993 N.Y. Misc. LEXIS 263 (N.Y. App. Term 1993).
But former Stk Corp § 71 was considered penal in nature and to be strictly construed. Kabaker v Gelb, 52 N.Y.S.2d 678, 1941 N.Y. Misc. LEXIS 2661 (N.Y. City Ct. 1941); Harris v Lederfine, 92 N.Y.S.2d 645, 196 Misc. 410, 1949 N.Y. Misc. LEXIS 2871 (N.Y. Sup. Ct. 1949); Burns v Stento, 9 N.Y.S.2d 736, 1939 N.Y. Misc. LEXIS 1485 (N.Y. County Ct. 1939).
CLS Bus Corp § 630, providing that in certain cases obligation to make contributions to employee benefit funds could be enforced against 10 largest corporate shareholders, made explicit reference to ERISA plans and significantly affected ERISA plans, and thus related to ERISA plans and was preempted by ERISA; although statute did not specifically reference ERISA plans, references to insurance or welfare benefits and pension or annuity funds that were supported by employer contributions described with sufficient specificity welfare benefit plans regulated under ERISA and, by changing remedies, statute would alter incentives for employers to create and maintain ERISA plans. Romney v Lin, 94 F.3d 74, 1996 U.S. App. LEXIS 22017 (2d Cir. N.Y. 1996), reh'g denied, 105 F.3d 806, 1997 U.S. App. LEXIS 1044 (2d Cir. 1997), cert. denied, 522 U.S. 906, 118 S. Ct. 263, 139 L. Ed. 2d 189, 1997 U.S. LEXIS 6000 (U.S. 1997).
CLS Bus Corp § 630, providing that in certain cases obligation to make contributions to employee benefit funds could be enforced against 10 largest corporate shareholders, did not serve basic purpose of ERISA preemption (namely, to avoid multiplicity of regulation in order to permit nationally uniform administration of employee benefits) and thus was preempted by ERISA, as it provided alternative enforcement mechanism to ERISA. Romney v Lin, 94 F.3d 74, 1996 U.S. App. LEXIS 22017 (2d Cir. N.Y. 1996), reh'g denied, 105 F.3d 806, 1997 U.S. App. LEXIS 1044 (2d Cir. 1997), cert. denied, 522 U.S. 906, 118 S. Ct. 263, 139 L. Ed. 2d 189, 1997 U.S. LEXIS 6000 (U.S. 1997).
Union's claim under CLS Bus Corp § 630 for recovery of arbitration award was not preempted by federal Labor Management Relations Act § 301, and thus majority shareholders who were held liable for award in state court action were not entitled to judgment declaring such preemption, since § 630 requires that action may be commenced only after there has been adjudication of amount due and owing, judgment and rights created by collective-bargaining agreements (CBAs) were determined by arbitrators prior to action under § 630, and court in § 630 action would therefore not be required to interpret CBAs. Albradco, Inc. v Bevona, 982 F.2d 82, 1992 U.S. App. LEXIS 33436 (2d Cir. N.Y. 1992).
CLS Bus Corp § 630 (which provides that 10 largest shareholders of corporation are jointly and severally liable for debts owing to employees, including amounts owed to employee benefit funds) is not preempted by Labor Management Relations Act. Romney v Lin, 894 F. Supp. 163, 1995 U.S. Dist. LEXIS 12323 (S.D.N.Y. 1995), aff'd, 94 F.3d 74, 1996 U.S. App. LEXIS 22017 (2d Cir. N.Y. 1996).
Employee Retirement Income Security Act (ERISA) preempts CLS Bus Corp § 630 (which provides that 10 largest shareholders of corporation are jointly and severally liable for debts owing to employees, including amounts owed to employee benefit funds), since question of whether shareholders of corporate employer are to be held liable for unpaid contributions to benefit fund has "connection" to benefit fund, and § 630 contradicts ERISA (which does not authorize any action against officers and stockholders of corporate employer to recover contributions owed to ERISA fund). Romney v Lin, 894 F. Supp. 163, 1995 U.S. Dist. LEXIS 12323 (S.D.N.Y. 1995), aff'd, 94 F.3d 74, 1996 U.S. App. LEXIS 22017 (2d Cir. N.Y. 1996).
2. Purpose
The phrasing and purpose of § 71 of former Stock Corp. L. were regarded as excluding stockholder liability for amounts due to a major stockholder, principal contributor, director, or principal executive, even though the claim was asserted as one for services rendered. Askowith v Carlton, 249 N.Y. 579, 164 N.E. 590, 249 N.Y. (N.Y.S.) 579, 1928 N.Y. LEXIS 929 (N.Y. 1928); Kabaker v Gelb, 52 N.Y.S.2d 678, 1941 N.Y. Misc. LEXIS 2661 (N.Y. City Ct. 1941); Harris v Lederfine, 92 N.Y.S.2d 645, 196 Misc. 410, 1949 N.Y. Misc. LEXIS 2871 (N.Y. Sup. Ct. 1949).
Defendants, the income beneficiaries and remaindermen of a trust which was comprised of the preferred stock in a corporation, would be deemed shareholders for the purposes of Bus Corp Law § 630 and therefore would be jointly and severably liable for the payment of wages due the corporation's employees in the form of fringe benefit contributions, since by specifying in the statute that the ten largest shareholders are to be determined by valuing their "beneficial interests" in the corporation, the legislature made clear its intention not to make a fiduciary holding legal title personally liable therein, but to make the equitable owners of the stock responsible for the payment of employee wage claims. Sasso v Gallucci, 112 Misc. 2d 865, 447 N.Y.S.2d 618, 1982 N.Y. Misc. LEXIS 3206 (N.Y. Sup. Ct. 1982).
Section 71 of former Stock Corp. L. had for its purpose the protection of all classes of labor beneath the grade of a viceprincipal or a direct representative of the employer. Kabaker v Gelb, 52 N.Y.S.2d 678, 1941 N.Y. Misc. LEXIS 2661 (N.Y. City Ct. 1941).
Purpose of Business Corporation Law § 630 is to safeguard those protected by it from being left without recourse for payment of wages and salaries due in case of insolvency of corporation within meaning of statute; this purpose would be significantly undermined by requiring member of protected class to pursue those responsible for payment of wages and salaries in remote jurisdiction and, thus, defendants' ownership of shares in New York corporation allegedly subject to terms and conditions of § 630 is purposeful activity from which instant cause of action arises which satisfies requirements of transaction of business in New York for actions brought against nondomiciliary under CPLR § 302(a)(1). Kane v Benson, 86 F.R.D. 460, 1980 U.S. Dist. LEXIS 11065 (E.D.N.Y. 1980).
3. Applicability
An action relating to the recovery of a deposit made by the plaintiff with the corporation as a guaranty of the faithful performance of his duties, was not one brought to recover a debt for services performed. Bradigan v Bayliss, 255 A.D. 934, 8 N.Y.S.2d 756, 1938 N.Y. App. Div. LEXIS 5894 (N.Y. App. Div. 1938).
Claim, that two individual majority stockholders, who owned more than majority of shares of corporate majority stockholder, conspired to depress profits of bankrupt corporation and to increase profits of corporate majority stockholder and that the two individual majority stockholders wasted assets of bankrupt corporation to benefit of corporate majority stockholder, belonged to the bankrupt corporation rather than to stockholders and should have been brought as a derivative suit. Carpenter v Sisti, 45 A.D.2d 529, 360 N.Y.S.2d 13, 1974 N.Y. App. Div. LEXIS 3841 (N.Y. App. Div. 1st Dep't 1974).
CLS Bus Corp § 630(a) applied, and thus defendants' motion to dismiss complaint was properly denied, where plaintiffs sought compensation for labor and services performed before subject New York corporation merged with foreign corporation, and merger did not extinguish defendants' liability for that compensation. La Vigne v Feinbloom, 255 A.D.2d 896, 680 N.Y.S.2d 348, 1998 N.Y. App. Div. LEXIS 12086 (N.Y. App. Div. 4th Dep't 1998).
An action by trustees of a union welfare fund under Bus Corp Law § 630 to hold officers and shareholders of a bankrupt corporation liable for the corporation's failure to pay contributions to the welfare fund on behalf of union employees as required by the terms of a collective bargaining agreement would be dismissed, since the subject employee benefit plan falls within the purview of federal law (ERISA) which nearly totally preempts regulation of employee benefit plans and which grants federal courts exclusive jurisdiction of such an action. Sasso v Vachris, 116 Misc. 2d 797, 456 N.Y.S.2d 629, 1982 N.Y. Misc. LEXIS 3961 (N.Y. Sup. Ct. 1982), modified, 106 A.D.2d 132, 482 N.Y.S.2d 875, 1984 N.Y. App. Div. LEXIS 21307 (N.Y. App. Div. 2d Dep't 1984).
Because the use of the term "corporation" in N.Y. Bus. Corp. Law § 630 was plainly limited to domestic corporations, and because the corporation in question was a defunct Delaware corporation, the shareholders' motion to dismiss an employee's claims brought pursuant to that statute had to be granted. Stuto v Kerber, 888 N.Y.S.2d 872, 26 Misc. 3d 535, 2009 N.Y. Misc. LEXIS 3077 (N.Y. Sup. Ct. 2009), aff'd, 77 A.D.3d 1233, 910 N.Y.S.2d 215, 2010 N.Y. App. Div. LEXIS 7726 (N.Y. App. Div. 3d Dep't 2010).
District Court will not exercise ancillary jurisdiction over law firm's attorney's fees claims against individual shareholders of corporate employer which firm represented in underlying wage and hour cause of action, where judgment has not been entered in underlying wage and hour action against corporate employer, because, under CLS Bus Corp Law § 630, personal liability of 10 largest shareholders is not only contingent upon judgment against corporation for employee compensation but is subject of separate action commenced within 90 days of judgment against corporation. Wong v East River Chinese Restaurant, 884 F. Supp. 663, 1995 U.S. Dist. LEXIS 5211 (E.D.N.Y. 1995).
Action to collect money owed to union benefit funds is dismissed, where employer failed to pay funds, judgment was obtained, and amount owed is now sought from principal shareholder of employer, because statute authorizing such collection action against "ten largest shareholders of every corporation," CLS Bus Corp Law § 630, is preempted by ERISA (29 USCS §§ 1001 et seq.) as state law relating to employee benefit plan. Romney v Lin, 894 F. Supp. 163, 1995 U.S. Dist. LEXIS 12323 (S.D.N.Y. 1995), aff'd, 94 F.3d 74, 1996 U.S. App. LEXIS 22017 (2d Cir. N.Y. 1996).
4. "Employee"
An attorney at law was not deemed to be in the "employee" class, notwithstanding he was regularly employed. Bristor v Smith, 158 N.Y. 157, 53 N.E. 42, 158 N.Y. (N.Y.S.) 157, 1899 N.Y. LEXIS 660 (N.Y. 1899).
The plaintiffs, whose principal duties were to travel around the country instructing the purchasers of annealing furnaces in the method of their operation, necessitating the actual operation of furnaces, making research tests and doing stenographic and typing work, for which they received meagre salaries in keeping with such positions, were "employees" within the meaning of § 71 of former Stock Corp. L. Evans v Lawrence Stern & Co., 270 N.Y. 177, 200 N.E. 777, 270 N.Y. (N.Y.S.) 177, 1936 N.Y. LEXIS 1529 (N.Y. 1936).
The word "employee" included a bookkeeper employed at a weekly salary who, in addition to the usual duties of such position, attended to the banking business of the corporation and answered inquiries in the absence of officers. It seems, that such an employee is within the terms of the statute although he receives an annual salary. Farnum v Harrison, 167 A.D. 704, 152 N.Y.S. 835, 1915 N.Y. App. Div. LEXIS 7450 (N.Y. App. Div. 1915), aff'd, 218 N.Y. 672, 113 N.E. 1055, 218 N.Y. (N.Y.S.) 672, 1916 N.Y. LEXIS 1171 (N.Y. 1916).
A salesman employed by corporation and at all times subject to the direction and control of his employer, which is entitled to command his entire time and attention, was an "employee" and within the protection of § 71 of former Stock Corp. L., though he was paid commission on accepted sales. Hitchcock v Pagenstecher, 198 A.D. 511, 190 N.Y.S. 706, 1921 N.Y. App. Div. LEXIS 8131 (N.Y. App. Div. 1921).
Despite what plaintiff described as his "fancy title" of "Sr. Vice-President—Sales," he stated cause of action for recovery of unpaid wages as "employee" under CLS Bus Corp § 630 where he alleged that he had no supervisory responsibilities over other employees, no authority to make spending decisions, no check writing privileges, and no financial interest in corporation, that his sole responsibility was to sell finished products, and that all of his contracts were subject to approval of corporation's president. Moses v Polk, 251 A.D.2d 75, 673 N.Y.S.2d 678, 1998 N.Y. App. Div. LEXIS 6508 (N.Y. App. Div. 1st Dep't 1998).
Court erred in granting defendants' summary judgment motion in action under CLS Bus Corp § 630 on ground that plaintiff lacked standing inasmuch as he was attorney and not "employee" within meaning of statute since plaintiff was full-time salaried employee of corporation, who throughout his employment was under direction and control of corporation's managers and officers. Klepner v Dorfman, 256 A.D.2d 163, 681 N.Y.S.2d 532, 1998 N.Y. App. Div. LEXIS 13739 (N.Y. App. Div. 1st Dep't 1998).
Plaintiff whose claim against largest stockholders of insolvent corporation for sums due him from corporation was an integral part of buy-out agreement under which plaintiff sold his shares to corporation and received cash plus a noncancelable ten-year contract for a guaranteed salary of $1,000 per month was not an "employee" within meaning of statute making ten largest stockholders of certain corporations which become insolvent liable for debts, wages and salaries of laborers, servants and employees of corporation. Herman v Levanne, 77 Misc. 2d 653, 354 N.Y.S.2d 361, 1974 N.Y. Misc. LEXIS 1208 (N.Y. Dist. Ct.), aff'd, 79 Misc. 2d 799, 363 N.Y.S.2d 323, 1974 N.Y. Misc. LEXIS 1752 (N.Y. App. Term 1974).
The word "laborer" was considered to have the same connotation as the word "workman" as used in § 17 of the Bankruptcy Act, giving certain claims priority status in bankruptcy proceedings. In re Fabbri, 8 F. Supp. 35, 1934 U.S. Dist. LEXIS 1282 (D.N.Y. 1934).
5. "Wages" and other terms
Employer contributions for welfare benefits and two pension funds are expressly included as wages and salaries, and action may be taken against shareholders for unpaid contributions to pension trust funds. Sasso v Vachris, 66 N.Y.2d 28, 494 N.Y.S.2d 856, 484 N.E.2d 1359, 1985 N.Y. LEXIS 16996 (N.Y. 1985).
Although § 71 of former Stock Corp. L. was less specific than this section of the Bus. Corp. L. with respect to what constituted "wages" and "salaries" as including special pay and "fringe benefits," it was construed as permitting trustees of a Union Health and Welfare Fund to impose personal liability on stockholders where the corporation failed to pay contributions to the fund as required by a collective bargaining agreement. Greenberg v Corwin, 31 Misc. 2d 736, 222 N.Y.S.2d 80, 1961 N.Y. Misc. LEXIS 2138 (N.Y. Sup. Ct. 1961).
See also Corenti v Kulik, 36 Misc. 2d 996, 234 N.Y.S.2d 28, 1962 N.Y. Misc. LEXIS 2799 (N.Y. Sup. Ct. 1962).
While contributions to welfare and pension plans may not qualify as "wages" for purpose of determining priority of claims in bankruptcy, they do qualify as "wages" for purpose of statute permitting employees to bring action for wages or salaries due and owing for services performed for corporation in which defendants hold stock, and union has standing to bring action under that statute. Grossman v Sendor, 89 Misc. 2d 952, 392 N.Y.S.2d 997, 1977 N.Y. Misc. LEXIS 2726 (N.Y. Sup. Ct. 1977), modified, 64 A.D.2d 561, 407 N.Y.S.2d 22, 1978 N.Y. App. Div. LEXIS 12312 (N.Y. App. Div. 1st Dep't 1978).
Use of word "such" in statute permitting employees to bring action for wages or salaries due and owing for services performed for corporation in which defendants hold stock and requiring that notice be given stockholders within 90 days after termination of "such services" indicates that "services" referred to are those which have already been "performed" and for which wages are "due and owing"; thus prospective relationship of employer and employee is not material, since statute makes stockholders liable only for services which have already been completed and not for those which will be completed at some point in future; "termination" therefore refers to services, not to employment relationship. Grossman v Sendor, 89 Misc. 2d 952, 392 N.Y.S.2d 997, 1977 N.Y. Misc. LEXIS 2726 (N.Y. Sup. Ct. 1977), modified, 64 A.D.2d 561, 407 N.Y.S.2d 22, 1978 N.Y. App. Div. LEXIS 12312 (N.Y. App. Div. 1st Dep't 1978).
Section 71 of former Stock Corp. L. required the notice of intention to enforce stockholder liability to be given within a specified time after "termination of employment," and these words were given their usual and ordinary meaning, "termination" being broad enough to include either voluntary quitting or involuntary discharge. Burns v Stento, 9 N.Y.S.2d 736, 1939 N.Y. Misc. LEXIS 1485 (N.Y. County Ct. 1939).
Section 71 of former Stock Corp. L. likewise contained time limitations within which notice of intention to enforce stockholder liability must be given, and within which an action to enforce such liability must be brought. Failure to meet these limitations was ground for dismissal of the action. Denise v Welch, 242 A.D. 34, 273 N.Y.S. 921, 1934 N.Y. App. Div. LEXIS 5987 (N.Y. App. Div. 1934).
If the notice was actually received within the prescribed time by the stockholder to whom it was directed, the service was good and valid, even though the service was by mail; the manner of service was of no great importance. Horowitz v Winter, 222 N.Y.S. 233, 129 Misc. 814, 1927 N.Y. Misc. LEXIS 793 (N.Y. Mun. Ct. 1927).
Section 71 of former Stock Corp. L., like this section of the Bus. Corp. L., contained a preliminary notice requirement which was a condition precedent to right to enforce stockholder liability. The purpose of the requirement was to give the stockholder notified a chance to take measures to compel payment of the wage demand by the corporation, or others in interest, before being sued and actually subjected to personal liability. Horowitz v Winter, 222 N.Y.S. 233, 129 Misc. 814, 1927 N.Y. Misc. LEXIS 793 (N.Y. Mun. Ct. 1927).
Section 71 of former Stock Corp. L. required the notice of intention to enforce stockholder liability to be given within a specified time after "termination of employment," and these words were given their usual and ordinary meaning, "termination" being broad enough to include either voluntary quitting or involuntary discharge. Burns v Stento, 9 N.Y.S.2d 736, 1939 N.Y. Misc. LEXIS 1485 (N.Y. County Ct. 1939).
7. —Particular cases
Corporation allegedly terminated services of one of its employees, plaintiff, at time when it was allegedly indebted to plaintiff for past-due wages and salary in amount in excess of $50,000; plaintiff's negotiations with corporation culminated in settlement and following one payment, corporation apparently failed to continue payments to plaintiff; corporation thereafter filed for reorganization and plaintiff gave notice to defendant, one of 10 largest shareholders of corporation, of his intent to hold defendant liable pursuant to Business Corporation Law § 630 for amount corporation owed him for services rendered– while Business Corporation Law § 630 provides that 10 largest shareholders shall jointly and severally be personally liable for debts owing to its employees for services rendered, such liability is conditioned on explicit statutory directive that notice of intent to hold shareholder liable shall be given within 180 days after termination of services; plaintiff's notice of intent is dated May 21, 1986 and states that plaintiff's services were terminated on April 5, 1985; notice thus failed to satisfy 180-day limitation period; accordingly, complaint was properly dismissed–plaintiff's equitable estoppel argument is rejected; there is no proof that defendant, by resort to settlement negotiations, intended to lull plaintiff into refraining from giving timely notice of intent within 180 days of termination; in any event, settlement negotiations did not involve defendant, which therefore cannot be bound by any equitable estoppel assertable against corporation. Beam v Key Venture Capital Corp., 152 A.D.2d 825, 544 N.Y.S.2d 35, 1989 N.Y. App. Div. LEXIS 9416 (N.Y. App. Div. 3d Dep't 1989).
Where payments corporation was required to make to union's welfare, pension and special displacement benefit trust funds, calculated as percentage of gross earnings of employees, were "due and owing" only at end of each month, in order to hold stockholders of corporation, which filed petition in bankruptcy, liable for payment due May 31, June 30, and July 31, only one notice need be served within 90 days after termination of such services. Grossman v Sendor, 64 A.D.2d 561, 407 N.Y.S.2d 22, 1978 N.Y. App. Div. LEXIS 12312 (N.Y. App. Div. 1st Dep't 1978).
Terminated employee was not entitled to hold large shareholder of employer company liable for amount owed him for services rendered to company, pursuant to CLS Bus Corp § 630, where employee was terminated in April 1985 but did not send notice of intent to hold shareholder liable until May 1986, and thus failed to satisfy 180-day limitation set forth in § 630(a); employee's argument that settlement with employer made in November 1985 led him to believe suit would not be necessary was without merit where there was no evidence that employer intended to lull employee into failing to give timely notice of intent. Beam v Key Venture Capital Corp., 152 A.D.2d 825, 544 N.Y.S.2d 35, 1989 N.Y. App. Div. LEXIS 9416 (N.Y. App. Div. 3d Dep't 1989).
Labor union, in order to comply with 180-day notice requirement of CLS Bus Corp § 630(a), had to serve notice of intent on shareholder by February 1, 1991 for first period and by September 21, 1991 for second period, since unpaid services in question (contributions to union welfare fund) were performed between November 1, 1989 and August 1, 1990, and between October 1, 1990 and March 21, 1991; plaintiff's failure to serve notice until May 16, 1992 required dismissal of action. Gannone v Wittman, 232 A.D.2d 298, 649 N.Y.S.2d 14, 1996 N.Y. App. Div. LEXIS 10518 (N.Y. App. Div. 1st Dep't 1996).
Because an employee who sought to recover unpaid wages from a former employer's sole shareholder did not retain counsel until after this section's notice period had expired, at which time an action against the shareholder was precluded, a legal malpractice complaint failed to state a claim. The notice period began to run upon cessation of services, regardless of when the employment relationship was deemed to have ended under federal law for visa status purposes, and tolling was unavailable. Ingvarsdottir v Gaines, Gruner, Ponzini & Novick, LLP, 144 A.D.3d 1099, 43 N.Y.S.3d 68, 2016 N.Y. App. Div. LEXIS 7898 (N.Y. App. Div. 2d Dep't 2016).
Notice of intention to hold corporation stockholders liable given by registered mail was sufficient notice within meaning of § 71 of former Stock Corp. L., where the proof showed receipt of the notice within thirty days after termination of plaintiff's services and within thirty days after return unsatisfied of execution in an action in which judgment was recovered against corporation for said services. Horowitz v Winter, 222 N.Y.S. 233, 129 Misc. 814, 1927 N.Y. Misc. LEXIS 793 (N.Y. Mun. Ct. 1927).
The requirement that notice of intention to hold a stockholder liable for unpaid wages be given within 30 days after termination of services was not met by the trustees of a union insurance fund where the corporation had gone into bankruptcy and all services by employees had ceased long before notice of intention to enforce stockholder liability was given. Corenti v Kulik, 36 Misc. 2d 996, 234 N.Y.S.2d 28, 1962 N.Y. Misc. LEXIS 2799 (N.Y. Sup. Ct. 1962).
The fact that employees in a petition and verified proof of claim in a bankruptcy proceeding fixed the date of termination of their services as a date more than 30 days prior to service of notice on the stockholders did not estop such employees from proving a different date in an action against the stockholders for wages. Burns v Stento, 9 N.Y.S.2d 736, 1939 N.Y. Misc. LEXIS 1485 (N.Y. County Ct. 1939).
8. Execution unsatisfied
The judgment obtained against the corporation did not have to be a judgment of a court of record, and neither did the execution issued and returned unsatisfied have to issue out of a court of record. Padros v Swarzenbach, 134 A.D. 811, 119 N.Y.S. 589, 1909 N.Y. App. Div. LEXIS 2990 (N.Y. App. Div. 1909).
Claim that there was no execution returned unsatisfied against bankrupt corporation prior to payment by majority stockholders of employees' wage claims, and claim, that two individual majority stockholders, who owned more than majority of shares of corporate majority stockholder, conspired to depress profits of bankrupt corporation and to increase profits of corporate stockholder and that the individual majority stockholders wasted assets of bankrupt corporation to benefit of corporate majority stockholder, was valid affirmative defense to allegation that majority shareholders paid more than their pro rata share of wages owned to employees of bankrupt corporation and that they were entitled to contribution from minority shareholders. Carpenter v Sisti, 45 A.D.2d 529, 360 N.Y.S.2d 13, 1974 N.Y. App. Div. LEXIS 3841 (N.Y. App. Div. 1st Dep't 1974).
In an action by a union against a corporation for payment of specified funds in which defendant corporate president served a crossclaim on defendant corporate vice-president alleging that liability of the individual defendants flowed from Bus Corp Law § 630 and Labor Law § 198-c and that the president was entitled to recoup from the vice-president as vice-president and largest shareholder his pro rata share of the amount paid by the president in satisfaction of the union's claim, summary judgment dismissing the crosscomplaint was proper since Bus Corp Law § 630 requires as a condition precedent to an action against shareholders that judgment be recovered against the corporation and that execution on such judgment be returned unsatisfied, and the proof showed that the president settled the claim by payment of $55,000, that the corporation was still operating, that the president was still its president, and that the vice-president, employed as plant superintendent without executive authority, did not fall within the categories of corporate officer as specified in Labor Law § 198-c. Powers v Adcraft Typographers, Inc., 86 A.D.2d 566, 446 N.Y.S.2d 292, 1982 N.Y. App. Div. LEXIS 15089 (N.Y. App. Div. 1st Dep't), app. denied, 56 N.Y.2d 505, 1982 N.Y. LEXIS 5366 (N.Y. 1982).
Before suing stockholders to enforce their individual liability, under § 71 of former Stock Corp. L., as construed with § 73 of that Law, the claimant must first have brought an action against the corporation, obtained judgment against it, and had execution issued thereon returned unsatisfied. Arenwald v Douglas Machinery Co., 50 N.Y.S.2d 39, 183 Misc. 627, 1944 N.Y. Misc. LEXIS 2260 (N.Y. Sup. Ct. 1944).
In reference to statute providing that action by employees against stockholders of corporate employer shall be commenced within 90 days after return of execution unsatisfied against corporation upon judgment recovered against it for services rendered, fact that plaintiff union was stayed from commencing any action against corporation, which employed members of union, to recover unpaid balance owed union's welfare, pension and special displacement benefit trust funds once corporation filed petition in bankruptcy did not make it impossible to collect full amount in bankruptcy proceedings, although that was unlikely, and as long as it was theoretically possible to collect debt from corporation, stockholders were not liable, for purpose of statute was to create exception to rule of limited liability only where employees could not collect their wages because of insolvency of corporation. Grossman v Sendor, 89 Misc. 2d 952, 392 N.Y.S.2d 997, 1977 N.Y. Misc. LEXIS 2726 (N.Y. Sup. Ct. 1977), modified, 64 A.D.2d 561, 407 N.Y.S.2d 22, 1978 N.Y. App. Div. LEXIS 12312 (N.Y. App. Div. 1st Dep't 1978).
In an action brought by trustees of union welfare and pension trust funds against sole stockholder and alleged corporate officers for fringe benefits due from corporate employer, summary judgment in favor of union trustees would be granted since plaintiffs were not required to wait for the return of an unsatisfied execution of judgment against the corporation when plaintiffs were prevented from proceeding against the corporate employer by an automatic stay of the bankruptcy law and where plaintiffs' established a prima facie case pursuant to Bus Corp Law § 630 for fringe benefits due and a prima facie case under Labor Law § 198-c for failure to remit the requisite payments to the welfare and pension trust funds. Sasso v Millbrook Enterprises, Inc., 108 Misc. 2d 562, 438 N.Y.S.2d 59, 1981 N.Y. Misc. LEXIS 2240 (N.Y. Sup. Ct. 1981).
9. Parties; subrogation
A wage claimant or other creditor within the coverage of § 71 of former Stock Corp. L. could proceed individually or in behalf of himself and other such claimants, and could maintain an action to enforce stockholder liability against all, part, or any one of the stockholders with respect to whom he had met the preliminary requirements. Pfohl v Simpson, 74 N.Y. 137, 74 N.Y. (N.Y.S.) 137, 1878 N.Y. LEXIS 719 (N.Y. 1878); Citizens' Bank of Buffalo v Weinberg, 57 N.Y.S. 495, 26 Misc. 518, 1899 N.Y. Misc. LEXIS 1295 (N.Y. Sup. Ct. 1899); Horowitz v Winter, 222 N.Y.S. 233, 129 Misc. 814, 1927 N.Y. Misc. LEXIS 793 (N.Y. Mun. Ct. 1927).
Plaintiff, as head of union which had negotiated collective bargaining agreements with defendant, which operated through 2 alter ego corporations, had standing to bring action under CLS Bus Corp § 630 for recovery of wage differentials and unpaid union pension and health funds contributions, even in absence of former employees. Bevona v Albradco, Inc., 173 A.D.2d 419, 570 N.Y.S.2d 47, 1991 N.Y. App. Div. LEXIS 7724 (N.Y. App. Div. 1st Dep't 1991).
Court erred in granting defendants' summary judgment motion in action under CLS Bus Corp § 630 on ground that plaintiff lacked standing inasmuch as he was attorney and not "employee" within meaning of statute since plaintiff was full-time salaried employee of corporation, who throughout his employment was under direction and control of corporation's managers and officers. Klepner v Dorfman, 256 A.D.2d 163, 681 N.Y.S.2d 532, 1998 N.Y. App. Div. LEXIS 13739 (N.Y. App. Div. 1st Dep't 1998).
An action pursuant to § 71 of former Stock Corp. L. could not succeed against an individual defendant if he had ceased to be a stockholder long prior to its commencement. Murphy v Meyer, 280 N.Y.S. 550, 155 Misc. 753, 1935 N.Y. Misc. LEXIS 1246 (N.Y. City Ct. 1935).
Although debtor-in-possession is new legal entity distinct from debtor and is therefore a "new" employer for bankruptcy purposes, the actual employment of the debtor's workers may be continued and such continuation does not preclude an action against the debtor's shareholders to recover wages, salaries or pension benefits due the debtor's employees. Grossman v Sendor, 89 Misc. 2d 952, 392 N.Y.S.2d 997, 1977 N.Y. Misc. LEXIS 2726 (N.Y. Sup. Ct. 1977), modified, 64 A.D.2d 561, 407 N.Y.S.2d 22, 1978 N.Y. App. Div. LEXIS 12312 (N.Y. App. Div. 1st Dep't 1978).
A stockholder was not subrogated to employee's wage claims where she advanced money to a bankrupt corporation to pay wage claims of the corporation's employees before her liability under § 71 of former Stock Corp. L. had arisen. Lacks v Frummer, 242 F.2d 216, 1957 U.S. App. LEXIS 4300 (2d Cir. N.Y. 1957).
10. Timeliness of action
Plaintiffs' CLS Bus Corp § 630 claims were properly dismissed since they were not interposed within 90 days of return of unsatisfied execution as required by CLS Bus Corp § 630(a), and claims could not be saved through application of CLS CPLR §§ 205(a) or former 306-b. Wing Wong v King Sun Yee, 262 A.D.2d 254, 693 N.Y.S.2d 536, 1999 N.Y. App. Div. LEXIS 7747 (N.Y. App. Div. 1st Dep't 1999).
Action, brought against stockholders of corporation which employed members of plaintiff union after corporation filed petition in bankruptcy, to recover unpaid balance owed plaintiff's welfare, pension and special displacement benefit trust funds, payments to which were calculated as percentage of gross earnings of employees, was timely where commenced within 90 days of bankruptcy confirmation order, as opposed to date of filing of bankruptcy petition. Grossman v Sendor, 89 Misc. 2d 952, 392 N.Y.S.2d 997, 1977 N.Y. Misc. LEXIS 2726 (N.Y. Sup. Ct. 1977), modified, 64 A.D.2d 561, 407 N.Y.S.2d 22, 1978 N.Y. App. Div. LEXIS 12312 (N.Y. App. Div. 1st Dep't 1978).
Service of summons upon one stockholder within the time limited for institution of the action was considered sufficient to meet that limitation with respect to all stockholders. Ryan v Dash, 114 N.Y.S.2d 36, 1952 N.Y. Misc. LEXIS 2842 (N.Y. Sup. Ct. 1952).
11. Jurisdiction
Although the State Supreme Court had jurisdiction over a cause of action based on Bus Corp Law § 630, in which plaintiffs, trustees of an employees' welfare and pension fund, sought to hold defendant shareholders liable for contributions which should have been made to the fund, such cause of action would not be maintainable in State Court, since the broad plain language of the Federal Employee Retirement Income Security Act (ERISA) applies to supersede § 630 insofar as the latter relates to employee benefit plans covered by the Federal statute, notwithstanding the fact that the State statute neither conflicts with nor frustrates the general objectives of ERISA; insofar as § 630 "relates to" employee benefit plans by providing a potential enforcement mechanism not encountered in ERISA for plans governed by ERISA, it falls within the Federal preemption statute. Sasso v Vachris, 106 A.D.2d 132, 482 N.Y.S.2d 875, 1984 N.Y. App. Div. LEXIS 21307 (N.Y. App. Div. 2d Dep't 1984), rev'd, 66 N.Y.2d 28, 494 N.Y.S.2d 856, 484 N.E.2d 1359, 1985 N.Y. LEXIS 16996 (N.Y. 1985).
Since the liability of stockholders to employees was quasi-contractual in nature, the municipal court of New York City had jurisdiction of an action by an employee under § 71 of former Stock Corp. L. Halkin v Hume, 206 N.Y.S. 702, 123 Misc. 815, 1924 N.Y. Misc. LEXIS 1251 (N.Y. Mun. Ct. 1924); Horowitz v Winter, 222 N.Y.S. 233, 129 Misc. 814, 1927 N.Y. Misc. LEXIS 793 (N.Y. Mun. Ct. 1927).
Purchase of 10,000 shares of a New York corporation by New York residents, coupled with knowledge of and participation in the operation of the corporation, was "purposeful activity" within long-arm statute, especially when the stock purchase constituted the purchasers, as joint tenants, the largest shareholders in the corporation, and third-party cause of action against the purchasers for pro rata payment of liability imposed on the ten largest shareholders for unpaid wages earned by employee of the corporation arose from business transacted within the state, so that there was personal jurisdiction over the purchasers, who had moved to Indiana, in the third-party action. Havlicek v Bach, 86 Misc. 2d 1084, 385 N.Y.S.2d 750, 1976 N.Y. Misc. LEXIS 2587 (N.Y. Sup. Ct. 1976).
Labor union's state law cause of action against employer's principal shareholder to collect delinquent contributions to ERISA plans (which was preempted by ERISA) fell within scope of ERISA's civil enforcement provisions, and thus was properly removed to federal court; ERISA provides means for collecting delinquent ERISA contributions without imposing direct liability on shareholders such that permitting suits against shareholders pursuant to CLS Bus Corp § 630 would reallocate burden and benefits for class of New York corporations establishing ERISA plans and would afford those plans special and stringent means of civil enforcement. Romney v Lin, 94 F.3d 74, 1996 U.S. App. LEXIS 22017 (2d Cir. N.Y. 1996), reh'g denied, 105 F.3d 806, 1997 U.S. App. LEXIS 1044 (2d Cir. 1997), cert. denied, 522 U.S. 906, 118 S. Ct. 263, 139 L. Ed. 2d 189, 1997 U.S. LEXIS 6000 (U.S. 1997).
12. Miscellaneous
A stockholder could not be charged with costs incurred in the defense of an action prosecuted against the corporation for damages upon causes of action other than that embraced in the statute making him liable. Card v Groesbeck, 204 N.Y. 301, 97 N.E. 728, 204 N.Y. (N.Y.S.) 301, 1912 N.Y. LEXIS 768 (N.Y. 1912).
Action to recover damages for unpaid wages, brought under CLS Bus Corp § 630 against respondents in their alleged capacity as 2 of 10 largest shareholders of corporate defendants, was properly dismissed where plaintiff's did not allege that judgment had been entered against any of defendant corporations and returned unsatisfied. Garcia v Tamir, 269 A.D.2d 423, 702 N.Y.S.2d 904, 2000 N.Y. App. Div. LEXIS 1373 (N.Y. App. Div. 2d Dep't 2000).
Plaintiff, who in a prior action against the corporate defendant was awarded a judgment for breach of an employment contract, could not maintain a suit pursuant to Business Corporation Law § 630 against the corporation and the largest stockholder thereof as an individual, where there was no allegation that plaintiff had not been paid for work, labor, or services performed by her and in fact the plaintiff's statement that she was paid in full for all work rendered for the corporation appeared in the papers. Lindsey v Winkler, 52 Misc. 2d 1037, 277 N.Y.S.2d 768, 1967 N.Y. Misc. LEXIS 1826 (N.Y. Dist. Ct. 1967).
While CLS Bus Corp § 630 is essentially enforcement mechanism permitting employees of closely held corporations to bring suit against shareholder for wages due, shareholder was nevertheless entitled to day in court to litigate issues involved, and summary judgment was thus inappropriate notwithstanding prior federal court action which determined amount of liability. Matarazzo v Segall, 156 Misc. 2d 1, 600 N.Y.S.2d 890, 1993 N.Y. Misc. LEXIS 263 (N.Y. App. Term 1993).
Labor union's CLS Bus Corp § 630 action to collect delinquent pension fund contributions directly from principal shareholder of corporate employer fell within civil enforcement provision of Employee Retirement Income Security Act (ERISA) and was preempted by 29 USCS § 1132(a) even though shareholder would not be liable for ERISA violations. Romney v Lin, 105 F.3d 806, 1997 U.S. App. LEXIS 1044 (2d Cir.), cert. denied, 522 U.S. 906, 118 S. Ct. 263, 139 L. Ed. 2d 189, 1997 U.S. LEXIS 6000 (U.S. 1997).
Research References & Practice Aids
Cross References:
This section referred to in § 624; CLS Co-op Corp §§ 5, 47.
Application, § 103.
Books and records: right of inspection, prima facie evidence, § 624.
Shareholders: Liability of subscribers and shareholders, § 628.
Directors and officers: Action against directors and officers for misconduct, § 720.
Corporate action and survival of remedies after dissolution, § 1006.
Receivership: Order of payment by receiver, § 1210.
Foreign corporations: Applicability of other provisions, § 1319.
Professional Service Corporations: Professional relationships and liabilities, § 1505.
Applicability of business corporation law to cooperative corporations, CLS Co-op Corp Law § 5.
Personal jurisdiction by acts of non-domiciliaries, CLS CPLR 302.
Wages and commissions and preferred claims, CLS Dr & Cr Law § 22.
Cash payment of wages, CLS Labor Law § 192.
Notice and record-keeping requirements, CLS Labor Law § 195.
Criminal penalties for failure to pay wages, CLS Labor Law § 198-a.
Payment of wages: Benefits or wage supplements, CLS Labor Law § 198-c.
Federal Aspects:
The Investment Company Act of 1940, cited in statutory text, appears as 15 USCS §§ 80a-1 et seq.
Congressional findings and declaration of policy 29 USCS § 1001.
Definitions 29 USCS § 1002.
Coverage 29 USCS § 1003.
Civil enforcement 29 USCS § 1132.
Law Reviews:
1975 Survey of New York Law: Business Associations. 27 Syracuse L Rev, No. 1, p. 211, 1976.
1976 Survey of New York Law: Conflict of Laws. 28 Syracuse L Rev, No. 1, p. 437, Winter, 1977.
1977 Survey of New York Law: Business Associations. 29 Syracuse L Rev, No. 1, p. 261, Winter, 1978.
Survey of New York Law: Business Associations. 32 Syracuse L. Rev. 13, Winter, 1981.
1983 Survey of New York Law. 35 Syracuse Law Review p. 32.
1984 Survey of New York Law. 36 Syracuse Law Review p. 31.
1974 Survey of New York Law: Business Associations. 26 Syracuse L. Rev. 197.
Treatises
Matthew Bender's New York Business Entities:
2-6 White, New York Business Entities ¶ B630.01 et seq.
Matthew Bender's New York Practice Guides:
New York Practice Guide: Business & Commercial § 1.06. Corporation.
New York Practice Guide: Business & Commercial § 6.12. Shareholder Rights and Liabilities.
New York Practice Guide: Business & Commercial § 6.21. Incorporation.
Matthew Bender's New York AnswerGuides:
LexisNexis AnswerGuide New York Business Entities § 2.07. Identifying Actions Or Inactions That Could Result in Personal Liability.
LexisNexis AnswerGuide New York Business Entities § 5.09. Defining Rights and Powers of Shareholders.
Annotations:
Liability of member or former member of marketing or purchasing cooperative for its debts or losses. 96 ALR3d 1243.
Matthew Bender's New York Checklists:
Checklist for Identifying Liability Issues When Selecting Entity Form LexisNexis AnswerGuide New York Business Entities § 2.02.
Checklist for Assessing C Corporation LexisNexis AnswerGuide New York Business Entities § 2.37.
Checklist for Assessing S Corporation LexisNexis AnswerGuide New York Business Entities § 2.39.
Checklist for Defining Shareholders', Officers', and Directors' Powers LexisNexis AnswerGuide New York Business Entities § 5.08.
Forms:
LexisNexis Forms FORM 70-BC630:1.—Notice by Laborer, Servant or Employee of Corporation of Intention to Hold Shareholder Liable for Wages, Debts or Salaries.
LexisNexis Forms FORM 70-BC630:2.—Complaint in Action by Employee Against Shareholders to Recover Wages.
LexisNexis Forms FORM 70-BC630:3.—Answer Containing Affirmative Defense That Employee's Action Against Shareholder is Time Barred.
LexisNexis Forms FORM 70-BC630:4.—Notice by Shareholder Liable for Wages Demanding Contribution From Other Shareholder.
LexisNexis Forms FORM 70-BC630:5.—Complaint in Action by Shareholder for Contribution for Liability for Wages.
LexisNexis Forms FORM 70-BC624:6.— Demand for Inspection of Record of Shareholders by Employees .
LexisNexis Forms FORM 70-BC630:6.—Complaint in Action by Labor Union Against Shareholders to Recover Unpaid Pension Benefits.
LexisNexis Forms FORM 70-BC630:7.—Complaint in Action by Pension Fund Trustee Against Shareholders to Recover Payments Required by Collective Bargaining Agreement.
LexisNexis Forms FORM 812-Form B630:1.— Notice by Corporate Employee of Intention to Hold Shareholder Liable for Payments for Services.
LexisNexis Forms FORM 812-Form B630:2.— Notice by Shareholder that He Will Claim Contribution.
LexisNexis Forms FORM 812-Form B630:3.— Complaint in Action by Employee Against Shareholder to Recover Payments for Personal Services.
LexisNexis Forms FORM 812-Form B630:4.— Complaint in Action by Shareholder for Contribution for Liability for Personal Services.
White, New York Business Entities Form B630:1. Notice by Corporate Employee of Intention to Hold Shareholder Liable for Payments for Services.
NY CLS Bus Corp § 630
White, New York Business Entities Form B630:2. Notice by Shareholder that He Will Claim Contribution.
White, New York Business Entities Form B630:3. Complaint in Action by Employee Against Shareholder to Recover Payments for Personal Services.
White, New York Business Entities Form B630:4. Complaint in Action by Shareholder for Contribution for Liability for Personal Services.
Hierarchy Notes:
NY CLS Bus Corp
NY CLS Bus Corp, Art. 6
Forms
Forms
Form 1Notice of Intention to Enforce Shareholder Liability for Services Rendered
Form 2Complaint by Laborer, Servant or Employee Against Stockholder
Form 1
Notice of Intention to Enforce Shareholder Liability for Services Rendered
[Address to Particular Shareholder]
Sir:
Pursuant to the provisions of § 630 of the Business Corporation Law of New York, you are hereby notified that the undersigned intends to enforce your personal liability, as one of the ten largest shareholders of ______________________, Inc., and to charge you with indebtedness of said corporation to the undersigned for services performed for the corporation consisting of [state nature of services] as an employee of the corporation between ______________________, 20____________, and ______________________, 20____________, in the amount of $______________.
Services of the undersigned for the corporation were terminated on the ____________ day of ________________, 20____________, and the corporation has failed to pay the amount above stated which is justly due to the undersigned [as per contract dated the ____________ day of ________________, 20____________], notwithstanding thereunto demanded.
Dated at ______________________, New York, this ____________ day of ________________, 20____________.
[Name and Address of Claimant]
Form 2
Complaint by Laborer, Servant or Employee Against Stockholder
[Caption; introductory paragraph]
1. The plaintiff was at all times hereinafter mentioned a resident of the City of ______________________, County of ______________________ and State of New York.
NY CLS Bus Corp § 630
2. The defendant is and at all times hereinafter mentioned was, on information and belief, a business corporation duly organized pursuant to the Laws of the State of ______________________, having its office in the City of ______________________, County of ______________________ and State of New York, and duly authorized to do business in the State of New York, by the filing of a certificate with the Secretary of State of the State of New York on the ____________ day of ________________, 20____________.
3. On information and belief, that at all times hereinafter mentioned, defendant was and now is one of the ten largest shareholders of said ______________________, and that the shares of such corporation are not traded on a national securities exchange or regularly traded in an over-the-counter market by one or more members of a national or an affiliated association.
4. Heretofore and prior to the commencement of this action, the plaintiff performed work, labor and services as a laborer, servant and employee of and for ______________________, at its request and upon its promise to pay therefor, on and about its premises situated in the City of ______________________, New York, of the agreed price and reasonable value of $____________.
5. The plaintiff duly gave to the defendant due notice in writing within ninety days after the termination of such services, that the plaintiff intended to hold the defendant liable as a stockholder of the said ______________________ for the value of such work, labor and services, and that such due notice in writing was served upon the said defendant as such stockholder at his principal place of business in the City of ______________________, ______________________, within ninety days after the termination of such services.
6. That plaintiff has heretofore brought an action against said corporation to recover the amount due him for services rendered as hereinabove stated, in the ______________________ Court of ______________________ County, New York, and recovered judgment thereon against said corporation for $______________, damages and $______________, costs, with interest, which judgment was entered by the court on the ____________ day of ________________, 20____________, and upon which plaintiff caused execution to issue forthwith, but which execution was returned “unsatisfied” on the ____________ day of ________________, 20____________, and within ninety days prior to institution of this action.
7. By reason of the premises the defendant is indebted to the plaintiff in the sum of $______________ with interest thereon from the ____________ day of ________________, 20____________.
WHEREFORE, the plaintiff demands judgment against the defendant in the sum of $______________, with interest thereon from the ____________ day of ________________, 20____________, together with the costs and disbursements of this action.
[Verification] [Indorsement and Address]
New York Consolidated Laws Service
Copyright © 2018 Matthew Bender, Inc.,
a member of the LexisNexis (TM) Group All rights reserved.
End of Document
|
Reliability Assessment Report
Issue No:
Client: Shindo Industry
Name of sample: Flexible Delineator Post (200 O.D.x80 I.D.xH750(mm))
We certify that this reliability assessment report was prepared by FITI.
January 31, 2011
FITI Testing and Research Institute
| Reliability Assessment Results 1. Test Applicant | | |
|---|---|---|
| Name of Company | Shindo Industry | |
| Representative | Yong-Sun Hwang | |
| Address | 922-3 Dongpae-ri Gyoha-eup Paju-si, Gyeonggi-do | |
| Applicant | Yong-Sun Hwang | |
| Test Sample | Flexible Delineator Post (200 O.D.x80 I.D.xH750(mm)) | |
| Use of Report | Certification test of reliability of tubular markers for road safety | |
| No of pages | 12 | |
| 2. Test conditions and results | | |
| Test standard | RS-FITI-2010-032 ‘Tubular markers for road safety’ | |
| Test methods | .Quality test: tensile strength, tensile strain, tear strength, hardness, flexural compression, reflective performance, weather resistance (material and reflective sheet) .Reliability testing: shock test (high temperature test, low temperature test, reflective sheet test) | |
| Test period | Sep 28, 2010-Jan 5, 2011 | |
| Test result | Performance requirements of 'tubular markers for road safety' met test standards in all test items; in reliability test, there was no damage after 500 impacts in high temperature impact test and low temperature impact test; the damage in reflective sheet met test standard after 300 shocks in the durability test of reflective sheet. | |
| Test-researcher | Written by | Approved by |
| Senior researcher, YS Yun | Chief of the Center, HJ Gu | Head of FITI, MW Noh |
1. Applicant
Business name: Shindo Industry
Address: 922-3 Dongpae-ri Gyoha-eup Paju-si, Gyeonggi-do
Location of factory: 922-3 Dongpae-ri Gyoha-eup Paju-si, Gyeonggi-do
2. Test product: Tubular markers for road safety
The product for reliability test, tubular marker for road safety, is used for road installation to guide driver's eyes and separate the lane. In particular, it is installed at the entry and exit to highway and viaducts, diverged roads where the driver is apt to be confused and sharp curves where incidents frequently happen. These markers are frequently hit by cars because they are installed mainly on the road, so they require high reliability. Thus, it is absolutely necessary to secure the reliability of the product against long use on the road, by conducting impact test simulating the actual state of crash of the product with the vehicles and checks for deterioration in reflective performance.
3. Presented test sample: Flexible Delineator Post (200 O.D.x80 I.D.xH750(mm))
4. Test method
RS-FITI-2010-032 'Tubular markers for road safety' was used as the test method and standard for the present certification. Detailed test method is as follows.
4.1 Quality test methods
4.1.1 Tensile test
Dumbbell shaped specimens should be made according to KS M 3824 and punched by the appropriate mold. In this case, the dumbbell specimen shall be taken for its
longitudinal direction parallel to the flow of the sample. The maximum tensile strength shall be measured on the break after the specimen was pulled at (300 + / - 30) mm / min
of tensile speed. The tensile strength varies depending on the thickness and width of the specimen, so it's normally expressed in tensile stress by dividing the tensile strength by
the cross-sectional area of the sample as follows
Where, TB
: tensile stress (MPa)
FB: maximum load (N)
w: width of specimen (mm)
d: thickness of specimen (mm)
4.1.2 Tensile strain
Tensile strain is measured on the break of the specimen in the test of 4.1.1. The initial gauge points shall me marked at the center line of the test specimen at a distance of
20mm after clamping the specimen. Tensile strain is calculated by the following equation after failure.
Where, EB: tensile strain (%)
L
1
: gauge length at break (mm)
L0 initial gauge length (mm)
4.1.3 Tear strength
The specimens should be made in rectangular shape according to KS M 3824, followed by punching with an appropriate mold. In this case, the specimen should be taken for the lengthwise direction to be parallel to the direction of flow of the sample. Since the tear strength varies on the thickness of the specimen, it is expressed in tear strength (N / cm) by dividing the maximum load (N) at failure by the notch thickness (cm).
Where, TR: tear strength (N / cm)
F: maximum strength (N)
t: notch thickness (cm)
4.1.4 Hardness
A spring, type-A hardness tester of KS M ISO 868 was used for the test. Hardness test is performed by first contacting the surface of the specimen normal to the indenter of the tester, followed by applying the load of 9.8N on the specimen, and immediate reading of the scale of the hardness tester.
4.1.5 Bending Compression
It is the test to reproduce the phenomenon of irreversible compression of the tubular marker on the road by the wheels of the vehicle. A universal tensile tester is used for the test because it can accommodate the finished product as a whole. The test sample should be measured for the recovery within 60 seconds after the compression test, and the tilted angle of the product must be less than 10 degrees compared to the initial state.
a) High-temperature test: test should be performed by applying 5000N for 60seconds on the finished tubular marker sample that is fixed in the specimen holder within 2 minutes after treating the specimen at 70C for 2 hours. The test should be performed 3 times and shall meet the test standard.
b) Low-temperature test: test should be performed by applying 5000N for 60seconds on the finished tubular marker sample that is fixed in the specimen holder within 2 minutes after treating the specimen at -30C for 2 hours. The test should be performed 3 times and shall meet the test standard.
4.1.6 Reflection Performance
Three specimens of the width of 70mm and length 150mm shall be aligned to (210x150) mm according to KS A 3507 for the reflective performance test. The test device is comprised of a light projector with a diameter of the outlet 26mm or less and an optical receiver with its effective diameter of less than 26mm, with the distance (d) between the surface of the specimen and the receiver lens surface adjusted less than 15mm. In this case, standard light source A shall be used, and the spectral sensitivity of the receiver should be consistent with the relative luminous efficiency of the standard observer in principle. In addition, the illuminance of the incident ray on the surface of the specimen must be as uniform as possible. The observation is set to 0.2° and 0.5°, and the incident angle, -4°, 30°, with their directions positive in counter-clockwise direction. For measure, the receiver shall be installed at the specimen facing the projector and the illumination Es is measured. Next, the illumination Et shall be measured on the receiver by the reflection from the specimen at 3 incidence angles for 3 observation angles each, in order to calculate the reflection performance (retro reflection coefficient) R '.
2
Where, R': retro reflection coefficient (cd/ (lx m))
Es: illuminance on the plane perpendicular to the incident light, at the center of specimen (lx) 2 )
A: surface area of specimen (m
I: brightness (cd) in the direction of the observation axis of the specimen calculated by the following equation
Where, Et: illuminance on the receiver for the installation of the test equipment (lx)
d: distance between the center f the specimen and the light-receiver (m)
4.1.7 Weathering Performance
This test is to measure the degradation of reflection and discoloration of the reflective sheet, which shall be sampled for the measurement in the state of the actual product. According to ASTM G 155 and using a xenon arc-shaped weather-o-meter, repeating 120 minute-cycle including 102 min- light irradiation followed by 12 minute-light & water spraying, for a total of 500 hours. The irradiance of the light source shall bet set to 0.35W/m2 at 340nm. After the weathering test, reflective performance retention should be 80% or better at observation angle 0.2° and incidence angle -4°, and the discoloration of the material shall be 7 or under in using the color system defined by KS M 3072.
Reflective performance retention=
Where, R'500: retro reflection coefficient after 500hr weathering (cd/ (lx m 2 ))
R'o: retro reflection coefficient before weathering (cd/ (lx m 2 ))
4.2 Reliability Test Methods
In order to simulate a vehicle crash test, which the most important reliability test of the tubular marker, the impact testing machine as in Figure 1 was used that can test the product as it is and reproduce the extreme environmental conditions.
Impact test was done including high temperature test that simulates the extreme summer weather, low temperature test, simulating extreme winter temperatures, and the endurance test of the reflective sheet at standard conditions (20°C, 65% RH).
4.2.1 High temperature impact test
An impact test was conducted at 30km/h after mounting the finished product of tubular marker and waiting for 2 hours at a temperature 50°C and relative humidity of 50%. The appearance of the product was examined after 500 times of the impact test; if damage has occurred before 500 times, the number of the impacts was recorded.
4.2.2 Low temperature impact test
An impact test was conducted at 30km/h after mounting the finished product of tubular marker and waiting for 2 hours at a temperature -20°C and relative humidity of 50%. The appearance of the product was examined after 500 times of the impact test; if damage has occurred before 500 times, the number of the impacts was recorded.
4.2.3 Impact test of reflective sheet
To evaluate the durability of the adhesion of the tubular marker and reflective sheet as the product condition, the reflective sheet endurance test was conducted using an impact tester. The impact test was carried out at a speed of 30km / h in standard conditions (20° C, 65% RH). After the impact test of 300 cycles, the reflective sheet in the impact area was removed from the product and the area retention (%) was calculated of the total area of the sheet still remained on the product compared with the initial state (impact area of the sheet=50% of the total area).
where S300: damage area of the sheet after hitting 300 times (cm 2 So: initial Area=50% of total area of the sheet (cm 2 )
)
5. Quality test results
Table 1 summarizes the test results of Flexible Delineator Post (200 O.D.x80 I.D.xH750 (mm)) of Shindo Industry Co., Ltd.
Table 1. Quality test results of Flexible Delineator Post (200 O.D.x80 I.D.xH750 (mm))
| Div | Item | | | | | Unit | Standar d | Resu lt | Decisi on |
|---|---|---|---|---|---|---|---|---|---|
| materia l | Tensile stress | | | | | MPa | 27 minimu m | 27.2 | Pass |
| | Tensile strain | | | | | % | 500 min | 720 | Pass |
| | Tear strength | | | | | N/cm | 700 min | 1123 | Pass |
| | Hardness | | | | | H A | 85 min | 88.6 | Pass |
| | Bending compression | | | | | ° | 10 maxim um | With in 10 | Pass |
| Reflecti ve sheet | Reflective performa nce | Observati on angle | 0. 2 | Inciden ce angle | -4 | Cd/(lx. m2) | 250 min | 554 | Pass |
| | | | 0. 2 | | 30 | | 150 min | 357 | |
| | | | 0. 5 | | -4 | | 95 min | 328 | |
| | | | 0. 5 | | 30 | | 65 min | 156 | |
| Materia l & sheet | Weathering performance | | | Discoloration | | | 7max | 4.90 | Pass |
| | | | | Reflective performance(0 .2/-4) | | Retenti on (%) | 80min | 82.4 | |
6 Reliability Test Results
6.1 Results of the high temperature impact test
Through high-temperature impact test results, it was determined whether material damage has occurred. After the test no damage was found in the three products tested as shown in Figure 2.
Through the low-temperature impact test results, it was determined whether material damage has occurred. After the test no damage was found in the three products tested as shown in Figure 3.
Through the reflective sheet impact test results, it was determined whether material damage has occurred. After the test no damage was found in the three products tested as shown in Figure 4.
6.4 Results of the reliability test
Table 2 summarizes the reliability test results of Flexible Delineator Post (200 O.D.x80 I.D.xH750 (mm)) of Shindo Industry Co., Ltd.
Table 2 Reliability test results of Flexible Delineator Post (200 O.D.x80 I.D.xH750 (mm))
| Test item | | Test condition | Test standard | Test result |
|---|---|---|---|---|
| | High temp test | .Temp: 50°C .RH: 50% .Impact rate: 30km/h .Impact cycle: 500 cycles | .Damage in material: cracks shorter than 3cm .Recovery: within 10° compared with initial state .No of samples: 3 | .Damage: no cracks .Recovery: within 10° |
| | Low temp test | .Temp: -20°C .Impact rate: 30km/h .Impact cycle: 500 cycles | .Damage in material: cracks shorter than 3cm .Recovery: within 10° compared with initial state .No of samples: 3 | .Damage: no cracks .Recovery: within 10° |
7. Reliability Ratings
-Use: Tubular marks for road safety
-Reliability rating: Guaranteed for 500 cycles of high temperature impacts Guaranteed for 500 cycles of low temperature impacts Reflective sheet guaranteed for 300 cycles of impacts
|
University of Dayton Ryan C. Harris Learning Teaching Center Office of Faculty & Leadership Development 300 College Park Dayton, Ohio 45469-1302
For more information contact facdev @ udayton.edu.
PHONE: 937 229-3309
E-MAIL: facdev @ udayton.edu
WEBSITE: http://udayton.edu/ltc/
OFFICE OF FACULTY & LEADERSHIP DEVELOPMENT
MIDTERM INSTRUCTIONAL DIAGNOSIS (MID)
USER'S GUIDE
INTRODUCTION TO MID
Joseph Clarke was the original developer of the Small Group Instructional Diagnosis (SGID). For over twenty years, the pro cess was known as SGID at UD, but then changed to Midterm Instructional Devel opment (MID) to reflect the timing and objectives of the process. Currently, more than thirty major colleges and universities include SGID as a part of their faculty de velopment program.
Professor Clarke used the process in his own Department of Psychology at Wash ington State University. In 1979, he came to UD to train a group of volunteer facili tators in the process. Part of that training included using MID in the facilitators' class rooms. Thus, from the outset, all would-be MID facilitators experienced the method first-hand.
MID is a midterm evaluation process in which a faculty facilitator asks students three key questions and elicits ideas about the way a course is going. The faculty facilitator gives the results to the faculty member in a confidential manner. The instructor then is free to change the course in any way he/she thinks appropriate.
Experience has shown that both having a MID done and facilitating one can be helpful in developing new perspectives on teaching. Most of the faculty who have tried a MID report improved end-of-term evaluations. They say students appreciate having a chance to diagnose the course at midterm while their comments may impact the course while they are taking it. Facil itators note that students are surprisingly open during the MID process, willingly sharing their ideas about the course and how it might be improved.
So with a limited investment of time and energy, MID benefits all parties involved.
CHARACTERISTICS OF MID
* The process is voluntary, confidential, and insightful.
* It is formative, not summative.
* It is faculty helping each other.
* It involves students.
* Students value the opportunity to provide feedback.
* A chance to make adjustments at midterm instead of waiting till the next semester.
* Helpful in identifying what is working in the classroom.
* Feedback tool for continuous quality improvement.
* Sends a number of powerful and positive messages to students.
* Provides useful feedback.
* Concrete examples from students concern ing how they learn and what they need to facilitate their learning.
* Helpful in identifying how to improve teaching.
* Helpful in identifying how well the students understand the material.
BENEFITS OF BEING A FACILITATOR
* A powerful opportunity to improve your own teaching vicariously through hearing students talk about learning.
* It is not a large time commitment.
* Opportunity to interact with students in a unique way.
1) the students have an opportunity to voice their opinions about the course, and they will also benefit from an improved course, 2) the course instructor obtains valuable information which will help to improve his/her teaching and the course, and 3) the facilitator is able to assist a colleague and to interact with students in a manner which is difficult to achieve in other settings.
FIVE STEP PROCESS
STEP ONE
Facilitator and Faculty Member Talk
Purpose: To make sure both parties understand the goals and methods of MID
The Facilitator should:
* Describe MID.
* Learn instructor's goals and concerns for the course.
The Faculty Member Should:
* Describe the class composition, goals, and concerns about the students or course.
* Decide how to inform students that the facilitator will be coming to class to give them an opportunity to evaluate the course at mid-term. (NOTE: do not give the students the exact date because some students may not attend that class)
Both Parties should:
* Confirm time, place, and date.
STEP TWO
Facilitator and Students Meet in the Classroom
Purpose: To get from students the most information about the course in the short est time.
The course instructor may introduce the facilitator, but should not be present during the facilitation of the MID. Alternatively, if the instructor is not present, but has men
.
tioned at an earlier class that a MID will be performed, the facilitator should give a self-introduction and briefly describe MID and emphasize the importance of keeping to the allotted time. Large classes could take 30 minutes; smaller classes 25 min utes. MID facilitation is typically performed at the end of a class period so it does not unnecessarily disturb the class; however, MID may be performed at other times if the instructor and facilitator agree.
The Facilitator Should:
* Explain the MID process to the class.
Although each facilitator is free to develop his/her individual style, the following sam ple script highlights the important points that should be explained about the MID to the students:
"Your instructor asked me to come today to talk about this course. The process that we will be using, called MID or Midterm Instructional Devel opment, is designed to provide the instructor with student feedback at a point in time when the instructor can most effectively respond to your concerns about the course; while you are still taking the course, not like end-of-semester evaluations when you have finished the course. MID is also designed to obtain this feedback with a minimum sacrifice of class time. It is very important to note that the use of MID is both voluntary and confidential. Your instructor has requested a MID; it has not been imposed on the instruc tor by the department chair or dean. The feedback obtained from MID will only be given to the instructor, and the instructor should respond to your comments about the course in the next week.
When the process begins, I will ask you to work in groups of about five good listener's technique of rephrasing: "Are you saying…" or "Do I understand you to say…?"
As a facilitator, what if I do not agree with the students' views and statements? Other than asking for examples and re phrasing, simply list what group spokesper sons report.
What if students re-argue points as they give responses?
Take a head count on areas of obvious disagreement and note the results.
What if students do not take the process seriously?
The faculty member should introduce MID as a voluntary way to improve the course. The facilitator should be introduced as an invited guest and should attempt to convey a serious attitude towards the students.
As a facilitator meeting with the instruc tor, how should I introduce the negative points?
Begin with the positive points on the list before saying the negative points. Also, keep the list until all points have been reported; then leave it with the faculty member for reference.
As a facilitator meeting with the instruc tor, how can I prevent "sermonizing" about the faculty member's methods or materials?
Let theMIDspeak for itself.
As an instructor meeting with the facilita tor, how can I prevent myself from being defensive about negative comments? Listen to the entire report first; then work on response to students. Take negative comments as constructive criticism and make positive changes from them.
* Ask for a student volunteer to copy what is listed on the board on a piece of pa per to be shared with the instructor after completion of the in-class portion of the MID. Make sure that the volunteer copier understands that only the comments on the board should be copied on a piece of paper to be given to the instructor.
(NOTE: The student's copy is the only copy of responses. Two student copiers can be used as an assurance that the facilitator's notes are copied faithfully. On rare occa sions, copiers have neglected facilitator's notes in favor of his/her own comments.)
* Begin collecting responses to the question "What is helping you learn in this class?" Facilitators have noted that it is good to start the student debriefing on a positive note. After a few good comments have been made concerning the first question, open up the floor for comments about all questions.
* As comments are made by the students, list them on the board under the appropri ate question, trying to obtain meaningful comments for each question.
* After about ten minutes, wrap up the pro cess. Thank the students for their time and effort, and tell them that the instructor will respond to their comments within the next week. After the copier has recorded all the comments, erase the blackboard and col lect the copied comments. Also, you may collect the comment sheets of each group recorder.
Additional hint for step two: MID attempts to obtain the most widely held opinions of the students in a class; therefore, there should be general agree ment on most points written on the board. However, in some cases there may be strong opinions held by a limited number of students which should still be reported to the instructor. In these instances, the fa
cilitator might ask for a show of hands on apparent disagreements and list the breakdown on the board (e.g., "10 agree, 3 disagree" or "80% in favor, 20% against").
STEP THREE
Facilitator Reviews MID with Instructor
Purpose: To report to the instructor stu dents' responses to the three questions, to clarify any points of student disagreement, and to provide an overall impression of the class if requested to do so.
The Facilitator Should:
* Meet as soon after the class as possible; the same day is ideal.
* Present student recorder's copy of respons es orally with comments and observations as appropriate.
* Indicate which concerns are more signifi cant than others as observed from student input.
* Help instructor plan response to students' comments.
* Share own teaching experience. Offer hy pothesis for certain responses if experience is similar.
The Instructor Should:
* Clarify priorities with the facilitator, if appropriate.
* Discuss student responses and select the changes which can be made.
* Prepare an honest, reasonable response to class, keeping in mind that it is not necessary to respond to each and every comment. Tell the class what changes in the course will be madeand why certain suggestions, although sound, cannot be made at this time.
(NOTE: Students will sometimes suggest changes which are beyond the instructor's control and would request action at the department level. Also, not all students' suggestions are reasonable. It was once suggested during the MID process that a statistics course "contained too much mathematics.")
STEP FOUR
Instructor Meets with Class
Purpose: To assure students that the instructor values their opinions and has listened to their responses to the three MID questions.
The Instructor Should:
* Take no more than ten minutes to review his/her reaction to the responses with stu dents in the next class meeting.
* Present plan to implement some sugges tions and/or provide reasons why certain suggestions cannot be implemented.
STEP FIVE
Follow-Up Meeting with Facilitator, Faculty Development Committee Member, or Colleague
Purpose: To offer collegial encouragement.
* A week or two after the MID, review report to students and subsequent classes.
* Discuss progress in implementing changes.
* Analyze any changes noted in student attendance, performance, participation, attitude, etc.
* Look for positive changes.
* Examine any negative changes and make additional plans.
* Although potentially valuable, this step is optional and has not been a regular part of the MID process in recent years. This review closes the loop on the MID process.
HELPFUL TIPS
As a facilitator, what if I misunderstand the students’ responses?
If a comment is not backed by a specific example, ask for an example. Or use the
people to address three questions as they relate to the class. As you are discussing the questions, at least one group member should record each group's comments. Please try to generate meaningful responses to all three questions. After about ten minutes, we will reconvene to share information. The three questions that I would like you to discuss are as follows."
(List the following three questions on the board leaving space under each to list students' responses.)
1 What is helping you learn in this class?
2 What is hindering your learning in this class?
3 What suggestions do you have to improve the learning in this class?
* After introducing the MID process, ask students to form groups of about five and have each group choose someone to record the group's comments. Sometimes the facilitator may need to supervise group formation; but typically, students do this on their own. They may start a bit slowly if they are not familiar with the MID process.
* Tell students to begin discussing ques tion one. After a few minutes, tell them to begin discussing the remaining two questions. Periodically, remind the students to attempt to address all three questions. Also, inform students as time for group discussion is winding down. After about ten minutes, or when group discussion appears to be slowing, ask the students to reconvene as a class
* To ensure all students have an opportuni ty to present their views when working in groups, you might suggest everyone must speak once before anyone else speaks. This solicits group feedback and ensures all group members have the opportunity to participate.
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Citation: Kittaka H, Yagi Y, Zushi R, Hazui H, Akimoto H (2015) The Investigation of Posttraumatic Pseudoaneurysms in Patients Treated with Nonoperative Management for Blunt Abdominal Solid Organ Injuries. PLoS ONE 10(3): e0121078. doi:10.1371/journal.pone.0121078
Academic Editor: Xiaoying Wang, Massachusetts General Hospital, UNITED STATES
Received: October 8, 2014
Accepted: January 28, 2015
Published: March 17, 2015
Copyright: © 2015 Kittaka et al. This is an open access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.
Data Availability Statement: All relevant data are within the paper.
Funding: These authors have no support or funding to report.
Competing Interests: The authors have declared that no competing interests exist.
RESEARCH ARTICLE
The Investigation of Posttraumatic Pseudoaneurysms in Patients Treated with Nonoperative Management for Blunt Abdominal Solid Organ Injuries
Hirotada Kittaka*, Yoshiki Yagi, Ryosuke Zushi, Hiroshi Hazui, Hiroshi Akimoto
Department of Emergency, Osaka Misihima Emergency Critical Care Center, 11-1, Minami-Akutagawa-cho, Takatsuki City, Osaka Prefecture, Japan
*email@example.com
Abstract
Background
Posttraumatic pseudoaneurysms (PAs) have been recognized as the cause of delayed hemorrhage complicated with nonoperative management (NOM), although the need for intervention in patients with small-sized PAs and the relationship between the occurrence of PAs and bed-rest has been also unclear.
Objectives
The purpose of this study was to investigate the clinical history of small-sized PAs (less than 10 mm in diameter) which occurred in abdominal solid organs, and to analyze the relationship between the occurrence of PAs and early mobilization from bed.
Methods
Sixty-two patients who were successfully managed with NOM were investigated. Mobilization within three days post-injury was defined as "early mobilization" and bed-rest lasting over three days was defined as "late mobilization." A comparison of the clinical factors, including the duration of bed-rest between patients with and without PAs detected by followup CT was performed. Furthermore, a multiple logistic regression model analysis on the occurrence of PAs was performed.
Results
PAs were detected in 7 of the 62 patients. The One patient with PAs measuring larger than 10 mm received trans-arterial embolization, and the remaining six patients with PAs smaller than 10 mm were managed conservatively. Consequently, no delayed hemorrhage occurred, and the PAs spontaneously disappeared in all of the six patients managed without intervention. The multiple regression model analysis revealed that early mobilization was not a significant factor predicting new-onset PAs.
Conclusions
Small PAs can be expected to disappear spontaneously. Moreover, early mobilization is not a significant risk factor for the occurrence of PAs.
Background
Nonoperative management (NOM) has been established as the standard therapy for hemodynamically stable patients with blunt abdominal injuries [1–5]. Recently, adjunctive trans-catheter embolization (TAE) has reduced the rate of NOM failure even in patients with risk factors such as high-grade injury (IV-V Organ Injury Scale (OIS) of American Association of Surgery for Trauma (AAST)), older age (> 55 years), disorders of consciousness, contrast blush on computed tomography (CT) and the presence of associated injuries, and thus, the indications for NOM have been expanded [1,2,6–8]. Nonetheless, although the rates of delayed hemorrhage are rare, occurring in 5–25% of splenic, 0–3.9% of hepatic and 0–9% of renal injuries, respectively, it is a life-threatening complication of NOM and often requires an emergency laparotomy [2–5,9–11].
Posttraumatic pseudoaneurysms (PAs) have been recognized as the cause of delayed hemorrhage, and the occurrence rate in patients with NOM was reported to be 2–27% [12–18]. Some of these PAs were actually detected due to symptoms that raised a suspicion of bleeding from PAs, such as hematemesis, tarry stools and hematuria, so aggressive TAE for PAs has been recommended in the past case reports [12,19–22]. However, some PAs were found incidentally, with no symptoms, by follow-up palliative CT scans, and some of these sometimes disappeared spontaneously without any interventions [13,23–26]. The natural history and cause of PAs have been unclear, and the indications for the treatment of PAs with no symptoms have not been established.
Furthermore, to prevent trauma patients with abdominal solid organ injuries from developing delayed bleeding, strict bed-rest have been recommended, but the necessary duration and intensity of immobilization is still unclear [1,2]. A recent report described that early mobilization was not related to delayed hemorrhage [3], and referring to this study, it is possible that early mobilization may not correlate with the occurrence of PAs that lead to delayed hemorrhage. To our knowledge, there has been no report describing the relationship between early mobilization and the occurrence of posttraumatic PAs.
According to past case reports about posttraumatic PAs in the solid organs [22,27–31], the minimum size of PAs requiring of intervention because of clinical symptom was 15mm in diameter, so in our institution the indication of treatment has been limited to those with more than 10mm in diameter. The purpose of this study was 1) to explore the clinical course and outcome of patients with posttraumatic PAs (less than 10mm in diameter) treated conservatively without TAE and 2) to analyze the risk factors for the occurrence of PAs to investigate the relationship between early mobilization and the occurrence rate of PAs. We hypothesized that no relationship between the period of bed-rest and the occurrences of PAs would be confirmed, and that immobilization would not prevent delayed hemorrhage.
Methods
Patients
Of the blunt trauma patients transported to Osaka Mishima emergency critical care center between 2007 and 2013, those who were treated with NOM for abdominal solid organ injuries
such as those of the liver, spleen and kidneys were included in the present study. The following cases were excluded: 1) patients who were younger than 18 years of age, 2) patients in cardiopulmonary arrest on arrival, 3) patients who died in the emergency department, 4) patients forced to undergo conservative therapy due to severe head injuries with no hope of survival, 5) patients in whom PAs were detected by the initial CT scan and 6) patients who required emergency laparotomy within 24 hours post-injury due to uncontrolled hemorrhage following NOM with TAE, or detection of hollow viscous injuries, which is called "NOM failure". In this study, delayed hemorrhage was defined as signs of intra-abdominal hemorrhage more than 48 hours post-injury, including both those that occurred during the hospital stay and those that developed after discharge. All trauma patients were managed by the standard clinical algorithm throughout the entire period of the study (Fig. 1).
Treatment algorithm for blunt abdominal trauma patients
The treatment protocol for patients with blunt abdominal trauma in our institution is shown in Fig. 1. Patients who were hemodynamically stable at presentation or who responded to initial fluid resuscitation therapy received an imaging examination by enhanced multiple detector CT. Patients with extravasation of contrast medium from the injured organs were fundamentally considered to be indicated for NOM with TAE, however, when the vital signs worsened
doi:10.1371/journal.pone.0121078.g001
during the examination, operative management (OM) was selected. Patients without extravasation, who had no sources of laparotomy such as hollow viscous injuries, were managed by NOM without TAE regardless of age, disorders of consciousness, organ injury grade, or Injury Severity Score (ISS) (Fig. 1).
Follow-up protocol for patients managed with NOM
Patients managed with NOM with or without TAE were admitted to the intensive care unit and kept on bed-rest for 24–72 hours or longer as recommended by the trauma surgeon, and during this period, the hemoglobin level was checked at least every 24 hour, and an abdominal ultrasound was repeated. A follow-up CT scan was obtained between three and seven days post-injury, based on the condition of the patient. When PAs that measured more than 10 mm were detected by follow-up CT, TAE was performed with selective catheterization for each responsible artery, while observation without interventions was selected when the diameters of the PA measured less than 10 mm. For all patients with PAs less than 10 mm, a second followup CT scan was performed 3–7 days after the diagnosis of PAs to check whether the diameter had increased or whether the PAs had spontaneously resolved. When the PAs were enlarged to have a diameter of more than 10 mm, palliative TAE was planned. When the PAs remained without enlargement, a follow-up CT was scanned 7–14 days after.
Statistical analyses
The following clinical factors were correlated with the new-onset of PA after the initiation of NOM: gender, age, injured organ, grade 4 or 5 of OIS in the AAST guidelines, the existence of extravasation in the initial CT, pro-thrombin activity (PT-act), fibrinogen level, ISS, and the period of bed-rest. Patients who could be mobilized from bed within three days post-injury were defined as the "early mobilization" group and those who were kept on bed-rest for more than three days were considered to be the "late mobilization" group. The data are presented as the median (range), where appropriate. Cross tabulations using either Pearson's chi-square tests or Fisher's exact tests were performed to compare the clinical characteristics among the patients with and without new-onset PAs. Comparisons of continuous variables with the occurrence of PAs were performed using the Mann-Whitney U test. A multivariable logistic regression analysis was also performed to determine the independently significant factors associated with the occurrence of PAs. The values of P < 0.05 were considered to be significant. All analyses were performed using JMP 10 statistical software package (SAS Institute Inc., Cary, NC, USA).
Ethics Statement
All procedures were approved by the Ethics Committee of Osaka Mishima Emergency Critical Center and were carried out in accordance with the Declaration of Helsinki (2004). Written informed consent was obtained from all patients enrolled in this study.
Results
Overall patient characteristics
During the study period, 68 patients were managed with NOM, and five patients were considered to have NOM failure because of uncontrolled bleeding in three patients managed with TAE (two required emergency laparotomy, one died without undergoing an operation) and of other abdominal organ injuries in two patients (one was pancreatic injuries, one with duodenal perforation), so the success rate of NOM was 93% (63/65). One other patient was excluded
because a PA was detected by the initial CT scan, which was resolved by TAE. Therefore, as shown in Table 1, 62 patients were included in the NOM study. There were 44 males and 18 females, with a median age of 37 (18–83) years, and some of those had multiple abdominal solid organ injuries. The details of a total of the injured organs were as follows: the liver was injured in 28, the spleen in 19 and a kidney was injured in 15 cases. A total of 27 of the 62 (44%) patients had a grade 4 or 5 OIS in each organ. Shock was defined by a systolic blood pressure < 90 mmHg or a shock index (heart rate /systolic blood pressure) > 1.0 on arrival to the emergency department, and was considered to be present in 31% (19/62) of the patients. All of those shock patients were responders to the initial fluid resuscitation. Consequently, enhanced CT was performed for all 62 patients, and 19 patients (31%) were revealed to have abdominal solid organ injuries with extravasation, 16 of whom were managed by NOM with TAE, and the remaining three patients were treated by NOM without TAE. Thus, 46 patients received NOM without TAE. Nineteen of the 62 (31%) patients were able to be mobilized within 72 hours post-injury. The majority of the remaining patients were incapable of earlier weaning from
Table 1. Clinical characteristics of patients successfully treated with nonoperative management for blunt abdominal trauma.
| Age (median, range) 37 (18–83) | |
|---|---|
| Gender (male) 44 (70.9%) | |
| Vital signs on arrival (median, range) | |
| Systolic 1BP (mmHg) 119 (60–202) | |
| Heart rate (b.p.m) 97 (48–124) | |
| 2Shock 19 (30.6%) | |
| 3GCS 15 (3–15) | |
| Injured organ | |
| Liver 28 | |
| Spleen 19 | |
| Kidney 15 | |
| High-grade Injury (4OIS IV-V) 27 (43.5%) | |
| Extravasation on initial 5CT 19 (30.6%) | |
| 6ISS (median, range) 22 (4–57) | |
| 7PT (%) (median, range) 86.5 (27–128) | |
| Fibrinogen (mg/dl) (median,range) 206.5 (52–570) | |
| 8NOM with TAE 16 (25.8%) | |
| Days of second 5CT | 7 (2–14) |
| (post injury) (median, range) | |
1 BP; blood pressure.
2 Shock indicates patients whose systolic blood pressure was less than 90 mmHg or whose shock index (systolic pressure/heart rate) was < 1.0.
3 GCS; Glasgow coma scale.
4 OIS; organ injury scale.
5
CT; computed tomography.
6 ISS; injury severity score.
7 PT; pro-thrombin activity.
8 NOM with TAE; patients who were treated with nonoperative management with trans-catheter arterial embolization.
doi:10.1371/journal.pone.0121078.t001
bed-rest owing to fractures of an inferior limb or pelvis, spinal injury and disorders of consciousness due to head injuries.
Comparison of the clinical characteristics between the patients with and without new-onset PAs
As shown in Table 2, 7 out of 62 (11%) patients developed new-onset PAs after admission. The organs associated with the occurrence of PAs were as follows: the liver (n = 2), the spleen (n = 4), and the kidney (n = 1). There were no significant differences between the two groups with respect to the clinical characteristics (such as age, gender, vital signs on arrival, ratio of highgrade injury and the existence of extravasation on initial CT, PT-act, fibrinogen levels and ISS). Moreover, the ratio of patients who required TAE for the initial treatment was also not significantly different between the two groups. Both the bed-rest period and the ratio of early mobilization were not significantly different between the two groups. Lastly, there were no cases of delayed hemorrhage or death in either of the groups.
Clinical characteristics and outcomes of the patients withPAs
All of the patients were diagnosed with PA by follow-up CT scan approximately 3 to 7 days after the injury and had no clinical symptoms associated with PAs such as abdominal pain, hematemesis, tarry stools and hematuria (Table 3).The median diameter of the PAs was
Table 2. Comparison of the clinical characteristics between the patients with and without new-onset of pseudoaneurysms.
| Age 39 (18–81) 37 | (18–83) | 0.74 |
|---|---|---|
| Gender (male) 6 (86%) 38 | (69%) | 0.36 |
| Vital signs on arrival | | |
| Systolic 1BP (mmHg) 114 (60–130) 120 | (60–202) | 0.38 |
| Heart rate (b.p.m) 90 (61–119) 97 | (48–124) | 0.99 |
| 2GCS 11 (3–15) 15 | (3–15) | 0.21 |
| Inured organ | | 0.27 |
| Liver 2 (29%) 26 | (47%) | |
| Spleen 4 (57%) 15 | (27%) | |
| Kidney 1 (14%) 14 | (26%) | |
| High-grade injury (3OIS IV-V) 3 (43%) 24 | (44%) | 0.43 |
| Extravasation on initial 4CT 3 (43%) 15 | (27%) | 0.40 |
| 5ISS 24 (4–57) 22 | (4–45) | 0.45 |
| 6PT (%) 92 (47–105) 85 | (27–128) | 0.43 |
| Fibrinogen (mg/dl) 190 (78–570) 210 | (52–343) | 0.84 |
| Bed-rest (days) 8 (2–27) 4 | (1–41) | 0.51 |
| 7Early mobilization 3 (43%) 16 | (29%) | 0.46 |
1 BP; blood pressure.
2 GCS; Glasgow coma scale.
3 OIS; organ injury scale.
4 CT; computed tomography.
5 ISS; injury severity score.
6 PT; pro-thrombin activity.
7 Early mobilization; defined as mobilization from the bed within three days post-injury.
doi:10.1371/journal.pone.0121078.t002
Table 3. Clinical characteristics and outcomes of the patients with PAs.
1
TAE; trans-catheter arterial embolization.
doi:10.1371/journal.pone.0121078.t003
7.7 mm (range: 6.1 mm- 11.9 mm); the one patient who had a PA measuring more than 10 mm in diameter and a finding of grade III of splenic injury on initial CT received TAE immediately after follow-up CT, and no delayed bleeding was seen. All of the remaining six patients had PAs measuring less than 10 mm in diameter and were managed by observation only, without TAE or a restriction of activity. In all of these six patients, spontaneous disappearances of the PAs were observed on follow-up CT 3 to 26 days (median: 8 days) after the detection. None of the patients with PAs had any intra-abdominal hemorrhaging either during the hospital stay or after discharge; thus, none of the patients fell into NOM failure.
Multivariable logistic regression analysis
The clinical characteristics such as age, ISS, PT-act, and fibrinogen levels were dichotomized at 55 years, 16, 70%, and 150 mg/ml, respectively, for the subsequent comparisons. A multivariable logistic regression model analysis, into which all of the clinical factors defined as risk factors for NOM failure by previous reports were entered, indicated that all of the factors (including early mobilization) were not found to be independent risk factors to the occurrence of PAs (Table 4).
Discussion
NOM has become the standard treatment for hemodynamically stable patients with blunt abdominal solid organ injuries, especially for those with low-grade injury scores. The success rate is reported to be between 78% and 98% [9,12,32–35] and it was 93% in this study, which is thought to be an acceptable result. Owing to expansion of the indications for NOM, more complications such as abscess formation, bile leaks, bilomas, urinomas, missed injuries, PAs and delayed hemorrhage have been reported [5,36,37]. Particularly, PAs gradually enlarge until they eventually rupture; therefore PAs have been recognized as a significant risk factor of delayed hemorrhage which may lead to NOM failure and fatality in some cases [38]. Therefore, we believe that the occurrence of posttraumatic PAs should be carefully monitored by followup CT for the patients managed with NOM, although there has been opposition to routine follow-up CT scanning. Cox et al. reported that only three out of 530 patients with blunt hepatic injury needed intervention based on the findings of the follow-up CT; furthermore, all of them revealed clinical signs suggestive of hepatic abnormality, such as tachycardia, abdominal pain and enzyme elevation [39]. Consequently, the authors concluded that routine follow-up CT scanning was unnecessary for patients with blunt hepatic injury managed by NOM when the
Table 4. Results of the multiple logistic regression analysis of the occurrence of Pas.
1 PT; pro-thrombin activity.
2 OIS; organ injury scale.
3 ISS; injury severity score.
4 Early mobilization; defined as mobilization from the bed within three days post-injury.
doi:10.1371/journal.pone.0121078.t004
patients had no clinical symptoms or signs. Hann et al. also reported that follow-up CT performed 48 to 72 hours after admission was not beneficial for patients with low-grade splenic injuries and without decreasing hematocrit levels [40]. In contrast, some authors have emphasized the efficiency of routine follow-up CT for detecting delayed onset PAs in patients with no symptoms, which would contribute to an early embolization before rupture and a decrease of NOM failure [12,26].The present study revealed that the occurrence rate of PAs after admission was as high as 11%, and 14% of those required additional interventions based on the findings of follow-up CT although the patients exhibited no clinical symptoms. Furthermore, more than 50% of those with PAs were in the low-grade injury group as classified by initial CT. Accordingly, we also recommend routine follow-up CT scanning regardless of the injury grade and the presence or absence of clinical symptoms and signs.
We recognize that a PA is a major risk factor for delayed hemorrhage, leading to NOM failure, however, we do not think that all of the PAs, irrespective of the diameter, are related to rupture. In the past case reports supporting the effectiveness of embolization for posttraumatic PAs, most of the patients complained of symptoms such as abdominal pain, melena, hematemesis, hematuria, etc [20–22,41,42]. We believe that these cases should be treated immediately, because these symptoms may suggest a threatened rupture or active bleeding from PAs. However, the majority of PAs, even in asymptomatic patients, have often been treated with prophylactic embolization because they have been implicated as the source of delayed rupture [43]. Some reports have emphasized the usefulness of prophylactic embolization for post-traumatic PA [44], however, a systematic review that analyzed the outcomes of posttraumatic PAs revealed no evidence to support or dispute the need for embolization of PAs [43].
In our study, six of the seven patients (86%) who had developed a PA that was less than 10 mm in diameter during the follow-up period were treated by observation only, without TAE, and no delayed hemorrhage was seen, while TAE was performed for one patient with posttraumatic PAs larger than 10 mm in diameter. Furthermore, spontaneous disappearances of the PAs were recognized by the follow-up CT in all of the six patients 3–26 days after the diagnosis. Muroya et al. also described that PAs of the spleen, ranging from 3.5 mm-25 mm in size,
spontaneously occluded 2–10 days after detection. This demonstrated that small PAs could be treated without intervention, although how the size of PAs would affect treatment with TAE was not definitively established [26]. Crauford et al also described in their report that many small PAs had disappeared spontaneously without any intervention [23], and there are other cases reports about PAs that disappeared spontaneously [24,25], but these reports did not fully describe the PAs that underwent spontaneous resolution (e.g. the diameter, location, etc). Based on our experiences, the possibility of the spontaneous resolution of PAs could be expected when the diameter of the PA was less than 10 mm. The median duration from the diagnosis to spontaneous resolution of PAs was 8 days in the present study, which was similar to the average period described by previous reports (e.g., 5 days [26] and 12 days [23]). Consequently, those small PAs would be expected to spontaneously disappear within 1–2 weeks, and TAE for PAs could be withheld in this period unless the size of PAs increased. With the advances being made in CT technologies, the chance of detection of small-sized PAs will likely become more common, however, these small PAs would not be indicated for treatment [23,26].
Considering the risk of delayed hemorrhage, many trauma surgeons have forced patients with abdominal solid organ injuries to be kept on strict bed-rest for several days [5]. This is because patient movement or an unexpected fall is thought to cause disruption of a stable clot, which leads to delayed hemorrhage, although there is no definite evidence that this is the case. Even in the NOM practice guidelines published by the Eastern Association for the Surgery of Trauma (EAST) [1,2], issues about the duration and intensity of restricted activity are described as unanswered questions. Recently, some authors have revealed that a shorter length of hospitalization had not increased the occurrence of delayed hemorrhage, and had led to reduced costs and resource use [3,23], although there have been no reports describing the relationship between new-onset PAs and the duration of bed-rest. The present study is the first report to show that earlier mobilization was not significantly related to the occurrence of posttraumatic PAs. Since immobility on a bed is associated with the hazard of aspiration pneumonitis and pulmonary embolism from deep venous thrombosis [45], unnecessary bed-rest should be avoided.
Study Limitations
There are several limitations in this study. First, this is a retrospective study with a small number of patients and only 19 out of 62 (31%) patients were mobile within 3 day after the injury. A prospective study with a larger number of patients and a high success rate of early mobilization is needed to confirm our results suggesting that PAs measuring less than 10 mm in diameter are expected to disappear spontaneously and that the occurrence of PAs is not related to early mobilization. Moreover, in this study, mobilization within three days after the injuries was defined as early mobilization; however, much earlier mobilization may be possible, especially in patients with a low injury score. An appropriate duration of immobilization should be prospectively investigated. The clinical characteristics of posttraumatic PAs, including potential for rupture distributing to delayed hemorrhage, would vary by the organs because of the difference of the tissue density and intra-parenchymal pressure. So, the indication size for TAE is may have been decided by the organs in which PAs occurred, although the difference of organs was not dependent factor of the PAs occurrence in this study. Furthermore, the probability of rupture of small-sized PAs less than 10mm in diameter is unknown, so conservative therapy should be performed in an environment that provides capabilities for monitoring, serial clinical examinations (such as those using enhanced CT), and an angiography or operating room available in case there is a sudden rupture of a PA.
Conclusion
In conclusion, this study revealed the probability of spontaneous resolution of PAs when the diameter was smaller than 10 mm, and this is the first report which confirms that there is no significant relationship between the occurrence of posttraumatic PAs and early mobilization. Thus, unnecessary embolization for PAs and immobilization after trauma due to concerns about delayed hemorrhage following the occurrence of PAs should be avoided.
Author Contributions
Conceived and designed the experiments: HK HA. Performed the experiments: HK YY RZ HA. Analyzed the data: HK HH. Contributed reagents/materials/analysis tools: HK YY RZ HA. Wrote the paper: HK.
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Service Design and Organizational Change: Bridging the Gap Between Rigour and Relevance
Sabine Junginger* Daniela Sangiorgi**
* ImaginationLancaster, Lancaster University
Lancaster, UK, email@example.com ** ImaginationLancaster, Lancaster University
Lancaster, UK, firstname.lastname@example.org
Abstract
: More and more design professionals enter the field of service design and conduct projects that have the potential to introduce changes to organizational systems. This working paper
reflects on the potential of service design to generate and implement internal changes within an organization. The authors report on two pilot case studies from the educational sector. While the
two pilot studies serve as further examples of how "reflection-in-action" can be rigorous in its own right [1], the purpose of this paper is to build a bridge between the theories and practices of
organizational change and Service Design. The authors suggest that successful and sustainable new services, which aim for lasting transformations [2], require reflective inquiries into
organizational systems. The authors frame these levels of service design inquiry and their potential impact introducing the terminology of ‘service interaction design’, ‘service design intervention’
and 'organisational transformation'.
Key words: Service Design, Organisational Change
1. Background
While Service Design is emerging as a design practice of great interest to organizations, it is perceived as being most relevant as a practice and theory of designing desirable, usable and useful service interactions on
the fringe of an organization. If we take the Shostack blueprint model [3], for example, we can find a transactional interpretation of service delivery and service encounters. The Shostack model hints at the fact that
service interactions do not occur in a vacuum. However, it is not explicit about how deep a service can reach into the organizational system itself. This organizational system we are referring to concerns the core elements of the
organization at hand: its people with their norms, values, beliefs and behavioural patterns; its structures, which includes procedures, hierarchies and tasks; its resources and an organization’s vision, which gives purpose and
guidance for how resources might or might not be used. We argue that services cannot be isolated from these elements.
Recent advances in the theories and practices of service design have focused on the need for theoretical frameworks and methods to understand and approach services as complex social systems [4, 5, 6].
Service interactions and experiences occur within wider systems of action and actors whose behaviour can't be predicted and designed in details, as complex social systems are ‘made up of interacting agents, whose
interactions create emergent properties, qualities, and patterns of behaviour" [7]. Service Designers move therefore from the auspicated role of 'directors' [8] of prescriptive service performances to the one of 'enabler', 'facilitator' and 'connector' for certain behaviours and configurations to emerge: "designers seemed to view the service as a fluid arrangement of human and non-human artefacts, rather than a fixed intangible entity" [9]. This is particularly true when designers aim to have a transformative effect on organisations and communities [10]; the emphasis here is on open, participatory and iterative design processes that build capacities from within and see users and service staff as co-producers and co-designers of the final solution [11, 12].
Also, current projects now underway by service design professionals in the UK begin to reach into the organization. Companies like Livework, Engine, Thinkpublic and Participle, for example, seek to transfer tools and methodologies; set up new research/innovation labs or end up with prototypes for radical new collaborative service models. These projects illustrate how service design practice is shifting its focus from "working for" a service organization towards "working with" or even "within" a service organization. This work by design professionals in the realm of service design is of great interest and relevance to the broader field of design.
Notwithstanding the growing acknowledgement in research and practice that services relate to complex systems and transformative interventions, few reflect on how these relate to organizational change or links to existing organizational theories. With this paper we would like to cover this gap by discussing some of the theories we have identified as relevant in this context, before we report on two pilot case studies conducted as design inquiries into organisations. We will begin with a discussion of organisational change.
2. Service Design and Organisational Change
Rousseau [13] suggests that there are three basic change strategies organizations can pursue. They can either drift, accommodate or engage in a radical transformation. Organizations that pursue a drifting strategy are like a boat that floats in a river. Accommodations, in turn, can be compared to fixing a flat tyre on a bicycle. The fix is local and does not impact the rest of the system (i.e., bike). In a radical transformation, one does not merely fix the flat tyre but questions the bicycle (i.e., mode of transportation) itself. Importantly, an organizational transformation involves a change in the fundamental assumptions, beliefs, norms, and values people hold [14].
Rousseau [13] describes fundamental assumptions as ''the often unconscious beliefs that members share about their organization and its relationship to them.'' They have a stabilizing effect on the organization and form the 'core' of an organization's culture around which behavioral norms, values, behavior patterns and artifacts or products evolve. Figure 1 shows Rousseau's model for organizational culture, which illustrates how fundamental assumptions link both directly and indirectly to artefacts and how artefacts are part of an organization's culture. We can see how artefacts both express and manifest existing assumptions, values, norms and beliefs. It also explains the ways in which many organizations tend to employ designers: as peripheral actors whose design activities are geared towards external customers and are kept away from questioning underlying assumptions, values, norms and beliefs. If we apply this situation to service designers, it is rather common for a service design project to start in an area 'peripheral' to an organization's culture. In such a case, designers are
hired and used to express existing values and norms through new service offerings rather than to inquire into the organizational system and its culture, both of which have a strong influence on the ways services can be delivered and provided. As Ott et al. [15: p. 4] point out, ''assumptions are more than beliefs or values: they are givens or truths that are held so strongly that they are no longer questioned nor even consciously thought about.'' In order to instill or effect change it is therefore necessary to unearth the fundamental assumptions that drive an existing situation. The question is how can service designers do this and what do they need to succeed?
2.2 Service Design as an inquiry into the organisation
Buchanan [16] repositions the activity of designing as an inquiry in line with John Dewey's [17] definition of an inquiry in general. Junginger [18] demonstrates how designers working with public service organizations (post offices, tax offices) can generate, implement and institutionalize changes within these organizations, when they follow a human-centred approach that involves people from within and from outside the organization. In such an instance, product development–here the development of services–can turn into an inquiry into the organization and a vehicle for organizational change [19]. The purpose of this paper is to show how Service Design, in particular, due to its embeddedness in the organizational system, has to pay attention to aspects of organizational change. We will now present two case studies that demonstrate our hypothesis and offer lessons for practicing service designers.
3. Case studies: redesigning education from within
We conducted two pilot projects in the educational sector. The education sector in UK is particularly relevant when talking about 'transformative' change, as it is currently the subject of a wide debate on what it should become in the 21st century. In 2004 Charles Clarke, a Minister for Education often regarded as being forward thinking, was quoted as saying "in this changing world we know that education has to put the learner at the centre" [20]. The first project was a research collaboration within a secondary school in East Lancashire (UK). The second project consisted of a set of projects developed by MA students (MA Design: Management and Policy) in collaboration with the library of Lancaster University.
3.1 CASE STUDY 1: Service Design for personalisation and participation of learning
This project explored the issues of personalisation of learning through the active involvement and participation of students in the co-design of their education. With students and staff from a large secondary school in East Lancashire, the Lancaster university research team explored new ways to utilise Personal Development (PD) time in school. Personal Development is a daily 20 minutes extra curricular time for students organized and delivered by PD tutors aiming at developing Social and Emotional Aspects of Learning (SEAL).
Working with one PD group over several months, the LU team facilitated various research activities conducted by the students. They were asked to explore two questions: 1) what is PD like today? And 2) what is meaningful for you in your daily live? The LU team developed two distinct activities to address each of these questions: 1) Interviewers and Observers: Students visited other PD classes to interview students, taking photos and writing notes out of their personal observations. 2) Myspace booklet: Each student received a scrapbook with questions that prompted them to talk about their lives using images, hand drawings, photos, stickers and text.
Students compared other PD with their personal experiences and expectations,–thereby articulating their values and overall believes about what a good teacher and good PD should be–while learning about themselves and each other. The students presented these materials in feedback sessions. Based on this material the LU team identified common themes (for example: creativity, engagement, passivity, games, idols, physical activity, social belonging and status) and developed some ideas for new PD activities, paying attention to SEAL objectives like self-awareness, managing feelings, motivation, empathy, and social skills. These ideas then informed the next session, where students began to describe how they would implement the new activities in their PD time.
The LU team shared these tangible outcomes with the wider school community, including the Deputy Head Teacher and a group of PD tutors. Alert to their possible fear for criticism, the LU team emphasized the participatory and collaborative nature of their work. As a result, the tutors dropped their defences and shared their experiences with PD time, deepening our organisational insights. The PD tutors appreciated the project but questioned how to maintain that engagement and motivation in students, when no external people were involved. The Deputy Head Teacher echoed this sentiment.
Through the insights we were able to gain in our work with the students and our conversations with the PD tutors, we began to understand how the school's problem of "raising expectations and generating more engagement and motivation," was related to their unquestioned understanding and definition of participation. In particular we found "participation" to be highly dependent on the reflective capacity of students, on the capacity to generate and exchange knowledge among project participants, on the concept of participation itself among staff and learners.
We found it especially challenging to engage students with activities which involving reflection on their own feelings and preferences towards their educational experience. Clearly a set of shared beliefs existed among the students about what their educational experience should be like, but this did not include reflection on the process itself. Students expected activities in a classroom to be highly structured, accompanied by tightly defined standards for achievement and assigned to them by an authority figure. On the other side, through a semi-structured process, the students themselves managed to discover, explore, and question the very service they are being offered. This opened new avenues for their PD tutor to learn about her students and for the students to learn from and about each other. Learning about students is recognised by staff as a mean to provide more personalised education, but 'participation' seemed to be still conceived as students being 'active' in the lecture, participating to given activities. Many of the ideas generated by the project were instead based on students-led activities based on their personal skills and interests. Allowing students to have such a role at school requires deep changes on how the school conceives the act of learning itself requiring a longer process of cultural and organisational transformation.
3.2 CASE STUDY 2: Service Design as an inquiry into the organisation – the library project
Four postgraduate students, as part of their MA assignments, explored their campus library from a service design perspective. Importantly, the students did not set out with any specific problem and were not given a design brief. Instead, they were encouraged to conduct an open-ended, yet systematic design inquiry into the library and how it provides services. They did so employing human-centred design thinking and design methods to identify potential issues that affected the service experiences. Also of importance, while the library made itself available to the students, it did not initiate this research.
Because the project was self-initiated and not requested by the library, the students began their research under serious restrictions: they were not allowed to speak to any library visitor or user within the library; could not take pictures or disrupt the library business in any noticeable way. In other words, the research was tolerated but not embraced by the organization at this stage.
As part of their coursework and project task, the students had to find a way to engage members from the library in their research. The students immediately established a relationship with the design subject librarian who also provided an extensive library induction and was fond of the project. It was made clear from the onset that the project sought to learn from the expertise and librarians' insights and that the goal was not to criticize but to work together. As a result, the subject librarian provided the students with access to colleagues who volunteered to work with the students.
When the students invited the Design Librarian to their project room to review the findings they had already generated, she brought along one of her colleagues. Both experts reviewed, commented and questioned the students, while the students used the opportunity to engage with the librarians. The session generated additional insights and created more trust, as the librarians noticed that the students had already covered some ground that they themselves had not been able to get to yet; most noticeably the way international students used (or did not use) the library services.
The two librarians talked about the student's work and their insights with other colleagues. This facilitated the project's next phase, in which the students had to get in touch with a library expert to map the work of a librarian and the library "system." At this point, the students had engaged key people responsible for the library's computing system, the university estate planning, library online services and library marketing. The students grasp of the issues and the organizational system had evolved to a point that they could review the library's existing vision and mission and create a new vision to accommodate a broader and more diverse set of services by the library. Their new vision repositioned the library as an "Interactive Incubator." The new vision provided the framework for the adjustment of existing services and the development of new services. Each student then developed one idea in line with the new vision along with a common strategy for how to implement it. In the meantime, the Interim Library Head surprised the students by making himself accessible for project interviews. The final challenge for the students was to develop a common strategy to implement their new vision through products and services. Each student then developed one idea of their choosing into a concrete scenario.
The final project presentation took place in the library and was attended by staff members from the library as well as the interim head. Initially oblivious to the project, he publicly complemented the students and expressed his gratitude for the insights they had generated. He emphasized the value of their research into library users. Here their work departed from the library's current approach to group library users by status. Through their research, the students found a library user's intent and behaviours (i.e., browse books, look for a particular article), their location (off campus/on campus) more relevant. The library head closed his statement with the observation that of the many research projects that have been undertaken in the library over the years, this was the first project where the research team worked with the librarians and where the findings were fed back to the library.
4. Analysis of the two Case Studies and Key Findings
We have reported on two rather different pilot studies that show some similarities for what concerns the link between Service Design and Organisational Change.
1. Service Design Often Begins at the Organizational Periphery: Because service designers are mostly concerned with the kinds of experiences services offer for people and because most organizations think of services as "products" conceived, planned and delivered for people external to the organization, it is not surprising that service designers often find themselves at the organizational periphery at the start of their work. In the two case studies presented here, the design teams begun their initial work at the 'periphery' of their respective organization. For each organization, the marginal location limited the interference of the design work in the daily operations of the organization. The library head granted access to the library but only under severe restrictions. The college assigned one PD group and made it (initially) rather difficult to talk to other staff. The (re)design of service experiences can therefore become both a deadlock or a gatekeeper for deeper organisational insights and potential transformative impacts.
2. Building Trust Relationships for Change: In both case studies, some of the initial limitations were overcome by the respective design teams over the period of the project. In the library case, the design team managed to gain the trust and participation of several librarians and other stakeholders. In the college, the design team was able to present its final findings to a group of PD Tutors and the Head Teacher, who requested access to the findings and some of the tools the team had developed and successfully employed. This was possible developing trust and collaboration during the process. Key factors were a collaborative and flexible approach that builds on agreed targets, the identification of gatekeepers in the organisation and of existing or emerging conflicts, the maintenance of transparency in the use of information, the adoption of an 'appreciative inquiry' approach [21] but most of all by generating interest and stimulate the generation of a vision by introducing new variables and perspectives.
3.Develop transformative insights: To generate genuine interest and commitment requires developing transformative insights into the organisation fundamental assumptions, values, norms and behaviors; this to build trust in the process, generate interest and co-create a new vision based on internal positive traits (positive psychology) and external potential rewards. The aim is to facilitate a joint-reflective process that enables learning as main output.
4. Pilot projects as seeds for change: As shown also by service design practitioners, pilot projects can have a fundamental role to open the way to transformative changes as, in a similar way to prototypes in a design process [22], they help designers to make tangible the intangible, such as behavioural patterns, values and norms that shape organisations and their products. Pilot projects can also provide insights into new modes to look and work on problems (design thinking), can materialise and share knowledge gained through the joint-reflective process and generate a vision that can guide transformative interventions.
5. An orienting framework
Both projects started at the periphery of the organisation, exploring the service experience and interface, and used this process of investigation and designing service improvements as a way to engage with the organisation to gain insights into their structures and fundamental assumptions. At the same time as both projects started as an open inquiry into the organisation, design researchers guided the process toward what was more 'relevant' to the organisation and to the quality of its service provision. We argue that this openness can still be 'rigorous' in terms of transformational approach if designers consciously reflect on their position and role within the organisation. Based on the research projects outcome and literature review we therefore propose a first framework that can orient this 'reflection-in-action'. As represented in Figure 2, Service Design projects can gain different levels of depths into the organisation and can have therefore different kinds of outcomes and impacts:
1. Service interaction design: service designers have been traditionally focused on the design and redesign of service interactions, drawing skills and knowledge from the long tradition of designing interactive product interfaces and of user-centred design. All changes at this level can have small/large, temporary/lasting
impacts into the organisation. If the suggested improvement remains at the periphery, meaning it suggests new/improved artefacts, without really questioning norms or values behind it, we argue that the impact will remain a contingent one.
2. Service design intervention: when the re-design and improvement of service interactions need small or larger changes in the organisation, questioning its norms and values, service designers need to re-think the organisation elements around the new service experience; this requires a capacity to engage the organisation, to visualise and demonstrate the value of change and the ability to read and interpret the organisation itself. The organisational change is not necessarily a radical one, if the new service concept doesn't affect deeper fundamental assumptions.
3. Organisational transformation: when the service concept requires deeper transformations that touch into the fundamental assumptions of the organisation, then designers might meet stronger resistances; they should use the design inquiry as a conversation with the organization to unveil their deeper assumptions, showing how these frame their current situation; they should work together toward an agreed vision of where the service should evolve and co-create an agenda for change. This requires a long-term collaboration and a stronger commitment from the organisation as an all.
6. Conclusions
As Kimbell pointed out [23; 9] Service Design is still an emergent discipline based on mainly informal and tacit knowledge, but it might develop into a more structured discipline if it develops a closer dialogue with existing disciplines such as service management, service marketing, or service operations. This paper aims to contribute to this effort and with that to a commonly shared and sharable research rigour based on design-practice in this emerging discipline. Based on our own research and practice experience and informed by the above mentioned literature, we think that the methods and theories in organizational change are of particular
relevance as service design matures as an area of practice and research. We suggest that service designers can add rigour to their practice if they learn how to reflect on their position and role within the organisation and make use of this knowing-in-action [1] to direct their projects towards the kinds of transformational outcomes they seek. Our proposed orienting framework can guide this reflective inquiry.
We would like to further explore the links between service design and organisational change with practitioners, using our framework as a base. Among other things, we would like to find out in what kind of organizational changes current service designers engage in, how aware they are of their abilities and roles in relation to internal changes and how they respond to organizational resistance.
Acknowledgments
The PD project was developed thanks to a small grant received from the Research and Enterprise Fund, Faculty of Art and Social Science, Lancaster University. It was carried out together with Roger Whitham (ImaginationLancaster) and Julia Gillen (Literacy Research Centre) of Lancaster University. We would like to thank Sally, the school Head Teacher, Jim, Head of Science and Technology, and in particular, the students of our PD Group and their tutor Vicci without whom that project would not have been possible. The Library project was developed by MA students Lorenz Herfurth, Marcia Tavares Smith, Sungyeon Choi and YounJoon Lee. We thank in particular Helen Clish (Arts and History subject librarian) and all the library staff who supported the project.
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[14] French, W. L., and Bell, C. H. Jr. (1994). Organization Development: Behavioral Science Interventions for Organization Development, 5 th Edition, Englewood Cliffs, NJ: Prentice-Hall.
[15] Ott, S. J., Parkes S. J., and Simpson R. B. (eds.) (2003). Classic Readings in Organizational Behavior, 3rd Edition, Belmont, CA: Wadsworth/Thomson Learning.
[16] Buchanan, R. (2004). Design as Inquiry–The Common, Future and Current Ground of Design, Key Address to the Design Research Society, Annual Conference 2004, Melbourne, Australia.
[17] Dewey, J. (1938). Logic: The Theory of Inquiry, New York, NY: Henry Holt and Company.
[18] Junginger, S. (2006). Change in the Making: Organizational Change Through Human-Centered Product Development, PhD Dissertation, Carnegie Mellon, Pittsburgh.
[19] Junginger, S. (2008). Product Development As a Vehicle for Organizational Change, Design Issues, Vol. (24) 1, Winter 2008: 26-35.
[20] Leadbeater, C. (2004). Learning about personalisation: how can we put the learner at the heart of the education system? Nottingham: DfES Publications.
[21] Cooperrider, D. L. and Whitney D. K. (2005). Appreciative inquiry: a positive revolution in change, San Francisco, USA: Berrett-Koehler Publishers.
[22] Coughlan, P., Fulton J. S. and Canales K. (2007). Prototypes as (Design) Tools for Behavioral and Organisational Change: A Design-Based Approach to Help Organisations Change Work Behaviors, Journal of Applied Behavioral Science, 43; 122.
[23] Kimbell, L. and Seidel, V. P. (eds.) (2008). Designing for Services in Science and Technology-based Enterprises, Oxford: Saïd Business School.
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FEATURE
Solar Power via the Moon
by David R. Criswell
Prosperity for everyone on Earth by 2050 will require a sustainable source of electricity equivalent to 3 to 5 times the commercial power currently produced. Because of the low average incomes in developing countries, however, this energy must be provided at one-tenth the present total cost per kilowatt-hour. Solar-power sta-
Microwave energy beams pass through rain, clouds, dust, and smoke
tions constructed on the moon from common lunar materials could provide the clean, safe, low-cost commercial electric energy needed on Earth.
Currently, commercial energy production on Earth raises concerns about pollution, safety, reliability of supply, and cost. These concerns grow as the world's nations begin to expand existing systems to power a more prosperous world. Such growth could exhaust coal, oil, and natural gas reserves in less than a century, while the production and burning of these fossil fuels pollute the biosphere. Expanding nuclear fission power would require breeder reactors, but there is intense political resistance to that idea because of concerns about proliferation, nuclear contamination of the environment, and cost. Thousands of large commercial fusion reactors are highly unlikely to be built by 2050. Terrestrial renewable systems (hydroelectric, geothermal, ocean thermal, waves, and tides) cannot dependably provide adequate power. Using wind power would require capturing one-third of the power of the low-level winds over all the continents.
Although energy coming directly to Earth from the sun is renewable, weather makes the supply variable. Very advanced technologies, such as 30% efficient solar cells coupled with superconducting power transmission and storage, imply solar arrays that would occupy selected regions totaling 20% of the area of the United States. Studies funded by the World Energy Council project that terrestrial solar energy will provide less than 15% of the electric power needed for global prosperity by 2050.
Solar power from space
Two general concepts have been proposed for delivering solar power to Earth from space. In one, Peter Glaser of Arthur D. Little, Inc. (Cambridge, MA), proposed in 1968 that a huge satellite in geosynchronous orbit around Earth could dependably gather solar power in space. In the second concept, discussed here, solar power would be collected on the moon. In both ideas, many different beams of 12-cm wavelength microwaves would deliver power to
APRIL/MAY 2002
© American Institute of Physics receivers at sites located worldwide. Each receiver would supply commercial power to a given region. Such a receiver, called a rectenna, would consist of a large field of small rectifying antennas. A beam with a maximum intensity of less than 20% of noontime sunlight would deliver about 200 W to its local electric grid for every square meter of rectenna area. Unlike sunlight, microwaves pass through rain, clouds, dust, and smoke. In both scenarios, power can be supplied to the rectenna at night.
Several thousand individual rectennas strategically located around the globe, with a total area of 100,000 km 2 , could continuously provide the 20 TW of electric power, or 2 kW per person, required for a prosperous world of 10 billion people in 2050. This surface area is 5% of the surface area that would be needed on Earth to generate 20 TW using the most advanced terrestrial solar-array technology of similar average capacity now envisioned. Rectennas are projected to cost approximately $0.004/kWe•h, which is less than one-tenth of the current cost of most commercial electric energy. This new electric power would be provided without any significant use of Earth's resources.
The space-based technology poses little risk to human health. A person standing in the microwave beam would absorb about 2% of the incident power and feel slightly warmer. Nonetheless, the general population would be restricted from the industrially zoned beam area, and workers could be easily shielded. Such a beam does not pose a hazard to insects or birds flying through it. Microwave intensity under and horizontally beyond the rectenna will be far less than is permitted for continuous exposure of the general population.
Beams from a power base on the moon could be turned off in a few seconds or decreased in intensity to accommodate unusual conditions. However, the beams' frequency is the band used for industrial radio, which includes some portable phones, wireless connections to remote devices, and emergency-response radio systems. Interference generated at harmonics and subharmonics of the beam frequency would likely require reallocation of these systems to other segments of the radio spectrum.
Several types of solar-power satellites have been proposed. They are projected, over 30 years, to deliver approximately 10,000 kW•h of electric energy to Earth for each kilogram of mass in orbit around the planet. To sell electric energy at $0.01/ kW•h, less than $60 could be expended per kilogram to buy the components of the power satellites, ship them into space, assemble and
12
The Industrial Physicist maintain them, decommission the satellites, and finance all aspects of the space operations. To achieve this margin, launch and fabrication costs would have to be lowered by a factor of 10,000. Power prosperity would require a fleet of approximately 6,000 huge, solar-power satellites. The fleet would have more than 330,000 km 2 of solar arrays on-orbit and a mass exceeding 300 million tonnes.
By comparison, the satellite payloads and rocket bodies now in Earth geosynchronous orbit have a collective surface area of about 0.1 km 2 . The mass launch rate for a fleet of power satellites would have to be 40,000 times that achieved during the Apollo era by both the United States and the Soviet Union. A many-decade development program would be required before commercial development could be considered.
Lunar solar collectors
Fortunately, in the Lunar Solar Power (LSP) System, an appropriate, natural satellite is available for commercial development. The surface of Earth's moon receives 13,000 TW of absolutely predictable solar power. The LSP System uses 10 to 20 pairs of bases—one of each pair on the eastern edge and the other on the western edge of the moon, as seen from Earth—to collect on the order of 1% of the solar power reaching the lunar surface. The collected sunlight is converted to many lowintensity beams of microwaves and directed to rectennas on Earth. Each rectenna converts the microwave power to electricity that is fed into the local electric grid. The system could easily deliver the 20 TW or more of electric power required by 10 billion people. Adequate knowledge of the moon and practical technologies have been available since the late 1970s to collect this power and beam it to Earth.
Successful Earth–moon power beams are already in use by the Arecibo planetary radar, operating from Puerto Rico. This radio telescope periodically images the moon for mapping and other scientific studies with a radar beam whose intensity in Earth's atmosphere is 10% of the maximum proposed for the LSP System.
Each lunar power base would be augmented by fields of solar converters located on the back side of the moon, 500 to 1,000 km beyond each visible edge and connected to the Earthward power bases by electric transmission lines. The moon receives sunlight continuously except during a full lunar eclipse, which occurs approximately once a year and lasts for less than three hours. Energy stored on Earth as hydrogen, synthetic gas, dammed water, and other forms could be released during a short eclipse.
Each lunar power base consists of tens of thousands of power plots (Figure 1) distributed in an elliptical area to form a fully segmented, phased-array radar that is solar-powered. Each demonstration power plot consists of four major subsystems. Solar cells collect sunlight, and buried electrical wires (not shown) carry the solar energy as electric power to microwave generators. These devices convert the solar electricity to microwaves of the correct phase and amplitude and then send the microwaves to screens that reflect microwave beams toward Earth.
Figure 1. In this lunar power base, sunlight hits the solar converter, which transmits power via underground wires to a microwave generator, which in turn illuminates a microwave reflector. All such reflectors, when viewed from Earth, overlap to form a "lens" that can direct a narrow power beam toward Earth.
Microwave
reflector
Solar
converter
Habitat/
manufacturing
units
Mobile
factory
Microwave
generator
Assembly
units
Hospitable environment
Unlike Earth, the surface of the moon is compatible with the construction of extremely large areas of thin solar collectors and their dependable operation over many decades. No oxygen, water, atmospheric chemicals, or life is present to attack and degrade thin solar collectors. No wind, rain, ice, fog, sleet, hail, driven dust, or volcanic ash will coat and mechanically degrade them. Moonquakes and meteor impacts produce only tens of nanometers of ground motion. Micrometeors erode thin solar collectors less than 1 mm every 1 million years.
small quantity of production machinery, components, and supplies must be transported to the moon. The production machinery constructs the lunar power bases primarily from materials that are widely available on the moon. Bulk soil and separated soil fractions can be melted by concentrated sunlight and formed into thin glass sheets and fibers or sintered into rods, tubes, bricks, and more complex components. Silicon, aluminum, and iron can be chemically extracted from lunar soil for fabrication of solar cells. Trace elements can be brought from Earth for doping solar cells. It is estimated that a kilogram of materials transported from Earth to the moon would result in the delivery of 200 times as much electric energy to Earth as a kilogram of a solar-power satellite.
However, the power-per-kilogram ratio can be further increased because the requisite production machinery can be designed so that 90% or more is made on the moon from lunar materials. This further reduces the total mass that must be ferried from Earth and, hence, reduces the up-front cost of transportation. In this case, 1 kg of facilities and components sent to the moon will return approximately 1,400 times as much energy to Earth as 1 kg of a solar-power satellite deployed from Earth.
Earth hangs permanently in the sky just above the lunar horizon. As seen from Earth, the microwave reflectors of all the power plots of a power base appear to overlap and form an antenna 30 to 100 km in diameter. A lunar power base can efficiently deliver power to a rectenna as small as 400 m in diameter that outputs 25 MW of electric power. Larger rectennas will output proportionally more power. Note that 30 km is the maximum operational diameter of the Very Large Array (VLA) for radio astronomy, which is located 80 km west of Socorro, New Mexico. The VLA has operated automatically for more than 15 years and has routinely achieved 10 times the phasing accuracy required at the 12-cm wavelength by the LSP System.
If the cost of the lunar activities—including the design and building of a delivery system—is restricted to $0.001/kWe•h, then as much as $140,000/kg can be invested in establishing and operating the LSP facilities and components. An LSP demonstration system could begin delivering commercial power within 10 years of program start-up. The cost and rate of growth of the LSP System are limited only by how clever we are in applying our industrial skills, not by the cost of transporting materials to the moon.
Rectennas located on Earth between 60º N and 60º S can receive power directly from the moon approximately 8 hours a day. Power could be received anywhere on Earth via a fleet of relay satellites in high-inclination, eccentric orbits around Earth (Figure 2). A given relay satellite receives a power beam from the moon and retransmits multiple beams to several rectennas on Earth required by an alternative operation. This enables the region around each rectenna to receive power 24 hours a day. The relay satellites would require less than 1% of the surface area needed by a fleet of solar-power satellites in orbit around Earth. Synthetic-aperture radars, such as those flown on the Space Shuttle, have demonstrated the feasibility of multibeam transmission of pulsed power directed to Earth from orbit.
The LSP System is a reasonable alternative to supply Earth's needs for commercial energy without the undesirable characteristics of current options. The system collects sunlight on the moon's surface, converts it to usable energy, and beams the energy to receivers on Earth. The system can be built on the moon from lunar materials and operated on the moon and on Earth using existing technologies. More-advanced production and operating technologies than those described here will
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The Industrial Physicist
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The Industri- al Physicist
Further reading
significantly reduce up-front and production costs. The energy beamed to Earth is clean, safe, and reliable, and its source—the sun—is virtually inexhaustible.
Criswell, D. R. Energy Prosperity within the 21st Century and Beyond: Options and the Unique Roles of the Sun and the Moon; In Innovative Solutions to CO 2 Stabilization; Watts, R. Ed.; Cambridge University Press: Cambridge, U.K., 2002; pp. 345–410.
Criswell, D. R. Lunar Solar Power System: Industrial Research, Development, and Demonstration, Session 1.2.2: Hydroelectricity, Nuclear Energy, and New Renewables; 18th World Energy Congress; http://www.world energy.org/wecgeis.
National Research Council. Laying the Foundation for Space Solar Power: An Assessment of NASA's Space Solar Power Investment Strategy; National Academy Press: Washington, D.C., 2001; 80 pp.
Strong, M. Where on Earth are We Going? (foreword by Kofi Annan); Random House: New York, 2001; 419 pp. (See pp. 351–352.) Ω
BIOGRAPHY
Physicist David R. Criswell is director of the University of Houston's Institute for Space Systems Operations in Houston, Texas (firstname.lastname@example.org).
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The Industrial Physicist
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MENDOCINO COUNCIL OF GOVERNMENTS
Approved MINUTES Monday, May 5, 2014
County Administration Center, Board of Supervisors Chambers
The Mendocino Council of Governments (MCOG) meets as the Board of Directors of:
Mendocino Regional Transportation Planning Agency (RTPA) and Mendocino County Service Authority for Freeway Emergencies (SAFE)
1. Call to Order / Roll Call . The meeting was called to order at 1:36 p.m. with Directors Brad Mettam (Caltrans/PAC), Benj Thomas, Doug Hammerstrom, Larry Stranske, John Pinches, Susan Ranochak, and Dan Gjerde present; Chair Gjerde presiding. Director Trevor Sanders was excused.
Staff present: Phil Dow, Executive Director; Janet Orth, Deputy Director for Administration; Loretta Ellard, Assistant Executive Director; and Nephele Barrett, Senior Planner.
Executive Director Dow introduced Mr. Michael Carter, who was recently appointed by the Board of Supervisors to serve as Alternate to Director Ranochak, the Public Appointee member of the Council.
2. Convene as RTPA
3. Recess as RTPA - Reconvene as Policy Advisory Committee.
Public Expression. None.
4 - 7. Regular Calendar.
4. Fiscal Year 2014/15 RTPA Budget Presentation & Workshop. Mr. Dow reviewed the purpose of this workshop and advised adoption of the budget in June as usual. Ms. Orth made a slide presentation that covered her written staff report, including the following recommendations, and an overview of context and trends affecting the proposed budget. Questions and discussion by councilmembers and staff were encouraged throughout the presentation. No action was taken.
a. Report of Revenues Fiscal Year to Date 2013/14. Local Transportation Fund (LTF) revenues from quarter-cent sales tax July-April are in excess of the budget estimate by $156,582 (6.1%).
b. Executive Committee Recommendations of February 28, 2014. The first draft budget prepared by staff was recommended for approval, with one revision to establish the LTF Reserve fund balance at $97,000 (3% of the County Auditor-Controller's LTF estimate), releasing for allocation $144,505 of the FY 2012/13 unrestricted balance of excess revenue. Total estimated revenues are $5,475,506 and total proposed allocations are $5,222,604.
c. Technical Advisory Committee Recommendation of February 19, 2014 – Draft Planning Overall Work Program. Ms. Ellard reported funding allocations from various sources for the Draft Transportation Planning Overall Work Program (OWP) that the TAC unanimously recommended for approval. She noted that requests for planning projects exceeded the funds available. The total draft program totals $598,870 of new funds. Her written staff report summarized each proposed work element. She noted that the program will increase significantly with the addition of new grants and carried over projects when the Final OWP is completed.
d. Transit Productivity Committee Recommendations of April 14, 2014 - Mendocino Transit Authority's Annual Transit Claim and Unmet Transit Needs. Allocations to fund Mendocino Transit Authority's Annual Transit Claim were recommended for approval, for a total of $3,607,834. The TPC recommended a finding that "1) There are no unmet transit needs that are reasonable to meet for FY 2014/15; and 2) MCOG encourages MTA to pursue grant funding of #M4, Additional/later trips on Route 65 (CC Rider) to/from Santa Rosa."
Discussion included:
[x] Can budget line items and/or funding sources be changed after professional services contractors are selected? (Hammerstrom) Discussion of budget areas tied to revenue sources, e.g. divisions between administration and planning programs; how major budget sections are segregated, with ability to amend within those; timeline for current staffing contract expiration and new contract awards.
[x] Does budget need to be adopted in June, or wait until unknowns revealed? (Pinches) Discussion of options for amendment and ongoing needs for allocations starting July 1.
[x] LTF Reserve Policy – suggestion to set a goal to increase balance incrementally each year (Hammerstrom); suggestion to restore reserve all at once, depending on revenues (Dow); suggestion to make a commitment to re-establish fund balance within four years (Gjerde); disagreement with use of reserve to fund ongoing transit operations costs such as the recent unionized workforce pay raises (Pinches); reserve to be a topic for next year's deliberations.
5. Consideration of Applicant Status and/or Support for Active Transportation Program (ATP) Grant Proposals from Mendocino County. Staff handed out informational materials relative to proposed projects in Covelo/Round Valley and Westport. Executive Director Dow described this new program and eligible activities. He noted that Caltrans is not an eligible applicant for state-only funds under the program, and that most projects will require some federal funds. Applications are due May 21.
He reviewed the Covelo project proposal he was working on as a result of MCOG's recently completed feasibility studies there, and reiterated the need for access and safety improvements for non-motorized transportation modes. Council approval is requested to apply for grant funds on behalf of the community.
Mr. Dow also introduced a proposal from Westport Municipal Advisory Council (WMAC), and identified background studies completed. Representatives of WMAC were present to request that MCOG apply, as the only eligible and qualified applicant in this case.
In both cases, designation of the implementing agency will need to be made; however the agenda did not make notice of that action item; it should be included on the next agenda. Discussion:
[x] Is there any downside to submitting both applications? No; numerous proposals from the Mendocino County region are expected to compete. (Pinches, Dow)
[x] Decision to approve as applicant may imply that applicant is also the implementing agency. Discuss in June or July under a properly agendized item. Applications should be submitted by the due date; MCOG can withdraw them if necessary. (Hammerstrom, Dow, Gjerde)
[x] Council can give direction to staff that any eligible entities in Mendocino County may receive support from MCOG, to compete on their proposals' merits. (Gjerde)
A motion was made by Director Pinches, seconded by Director Stranske, to approve staff's recommended motion "to authorize the Executive Director to prepare an ATP application for the priority project in Covelo with MCOG as the applicant agency and consider requests for MCOG to serve as applicant agency for other priority ATP projects."
Discussion on the motion included what could be discussed under today's agenda items. Director Hammerstrom questioned whether the Council had the resources to serve as implementing agency and the proper process to make that decision; throughout discussion, he raised objections to procedures and assuming risk of implementing proposed projects. The Chair invited public comment.
Thad Van Bueren, Chairman of Westport MAC, made remarks and a brief slide presentation on the proposed Westport Bike Lanes Project, citing support from Caltrans District 1, Westport Village Society, community members, Senator Noreen Evans and landowners along the highway willing to donate right of way for shoulder expansion. The proposal centers on connecting local destinations for improved safety of non-motorized travel.
The Chair called on the Caltrans representative (PAC). Mr. Mettam reported his discussion with the District Director. While they are interested in partnering with MCOG, they do not have the staff capacity to implement Covelo's project. They have not yet discussed the Westport project thoroughly. Caltrans supports both projects and has seen early drafts of the Covelo proposal, which prompted their discussion of the implementing role.
A protracted Council discussion ensued, including:
[x] Agenda topic clarity or lack thereof
[x] Discomfort with number of handouts for review
[x] Differences in meaning of support, applicant, and implementing agency roles
[x] MCOG's lack of in-house staff capacity; ability to fund grant administration and to contract with a project manager from grant funds if awarded
[x] Staff's time investment to date in the Covelo application
[x] Later cycles of ATP grant solicitations likely to offer reduced funding levels
[x] Caltrans' authorized roles and services for various project phases
[x] Grant project timeline of three years; limiting factor for construction; phasing of projects
[x] Merits of Covelo project, history of Westport planning studies, recent TAC reviews of these
[x] Other proposals in Mendocino County, next meeting too late for Council review.
The motion and its intent were clarified. Director Pinches agreed that his motion would authorize the Executive Director to consider other local ATP requests and to make decisions as to whether to apply on behalf of the originating agencies, including Westport.
The motion carried on roll call vote (6 Ayes – Mettam/PAC, Thomas, Stranske, Pinches, Ranochak, and Gjerde; 1 No - Hammerstrom; 0 Abstaining; 1 Absent - Sanders): IT IS ORDERED that the Executive Director is authorized to prepare an Active Transportation Program (ATP) application for the priority project in Covelo with MCOG as the applicant agency and consider requests for MCOG to serve as applicant agency for other priority ATP projects.
The Chair called a brief recess at 3:55 p.m. and reconvened the meeting at 4:00 p.m.
6. Technical Advisory Committee Recommendation of April 16, 2014: Allocation of Regional Surface Transportation Program (RSTP) - Partnership Program Funds for Covelo/Round Valley Multi-Modal Trail Project - Active Transportation Program Proposal. Mr. Dow introduced the request by staff and TAC's recommendation for approval to draw up to $250,000 from MCOG's capital fund for Covelo project (ten percent or $170,000 for preconstruction phases). There was no discussion.
Upon motion by Pinches, second by Ranochak, and carried unanimously on roll call vote (7 Ayes – Mettam/PAC, Thomas, Hammerstrom, Stranske, Pinches, Ranochak, and Gjerde; 0 Noes; 0 Abstaining; 1 Absent - Sanders): IT IS ORDERED that a commitment of up to $250,000 of Partnership Funding Program resources is authorized for the proposed Covelo Active Transportation project.
7. Consideration of Positions in Support/Against Introduced State Legislative Bills.
a. Adoption of Resolution In Support of Assembly Bill 2119 – Local Sales Taxes: Authorizing Counties to Levy, Increase, or Extend and Define Area Subject to Voter Approval. Mr. Dow stated that this bill would go a long way toward assisting a sales tax measure for County of Mendocino. He and Director Pinches had given testimony in support at a recent committee hearing in Sacramento. AB 2119 would resolve issues raised at the March Council meeting. Chair Gjerde agreed; this is a unique opportunity for the County to place a measure on the ballot that would not increase the cities' sales tax rates. The Fort Bragg and Willits city representatives expressed their support. Mr. Dow reminded the Council that MCOG had initiated the effort that enacted special transportation sales taxes in several Mendocino County cities, that the County had not opted in at the time, and this would correct a flaw in the process. Mr. Mettam noted that he could not comment on any pending legislative bills.
Upon motion by Hammerstrom, second by Stranske, and carried on roll call vote (6 Ayes – Thomas, Hammerstrom, Stranske, Pinches, Ranochak, and Gjerde; 0 Noes; 1 Abstaining – Mettam/PAC; 1 Absent - Sanders): IT IS ORDERED that the following resolution is adopted.
Resolution No. M2014-01
In Support of Assembly Bill 2119,
An Act to Amend Sections of the Revenue and Taxation Code, That Would Authorize a County to Levy, Increase, or Extend a Transactions and Use Tax Throughout the Entire County or Within the Unincorporated Area of the County, Subject to Voter Approval
(Reso. #M2014-01 is incorporated herein by reference)
b. Senate Bill 990 – Transportation Funds: Disadvantaged Small Communities. Mr. Dow reported that this bill would mandate a particular use of funds, overriding local control, and he recommended opposition. Discussion followed on how or why it might have originated. Chair Gjerde noted that MCOG is likely allocating at least five percent of its funds to disadvantaged communities now. Mr. Dow concurred that most of local transportation funds are allocated to public transit services in Mendocino County that serve disadvantaged people.
Upon motion by Hammerstrom, second by Thomas, and carried on roll call vote (6 Ayes – Thomas, Hammerstrom, Stranske, Pinches, Ranochak, and Gjerde; 0 Noes; 1 Abstaining – Mettam/PAC; 1 Absent - Sanders): IT IS ORDERED that the Executive Director is authorized to send a letter of opposition to the author of SB 990 and to others as needed.
8 - 15. Consent Calendar. Ms. Orth answered questions. Upon motion by Ranochak, second by Stranske, and carried unanimously on roll call vote (7 Ayes – Mettam/PAC, Thomas, Hammerstrom, Stranske, Pinches, Ranochak, and Gjerde; 0 Noes; 0 Abstaining; 1 Absent - Sanders): IT IS ORDERED that consent items are approved:
8. Approval of March 3, 2014 Minutes – as written
9. Approval of February 28, 2014 Executive Committee Minutes – as written
10. Extension of Dow & Associates Contract for Staffing Services through September 30, 2014 11. Acceptance of 2012/13 MCOG Fiscal Audit as Recommended by Executive Committee
February 28, 2014 – MCOG received a clean audit.
12. Acceptance of 2012/13 Fiscal Audit of Mendocino Transit Authority – MTA received a clean audit.
13. Adoption of Resolution Approving Mendocino Transit Authority's Grant Application for Federal Transit Administration (FTA) Section 5311 Non-Urbanized Program - Annual Regional Apportionment for Transit Operating Assistance
Resolution No. M2014-02
Approving Mendocino Transit Authority's Grant Application for Federal Transit Administration (FTA) Section 5311 Non-Urbanized Program – Annual Regional Apportionment for Transit Operating Assistance (Reso. #M2014-02 is incorporated herein by reference)
14. Adoption of Resolution Approving Mendocino Transit Authority's Grant Application for Federal Transit Administration (FTA) Section 5311(f) Intercity Bus Program Funds – "Expansion of Route 65 Service"
Resolution No. M2014-03
Approving Mendocino Transit Authority's Grant Application for Federal Transit Administration (FTA) Section 5311f Intercity Bus Program Funds – "Expansion of Route 65 Service"
(Reso. #M2014-03 is incorporated herein by reference)
15. Amendment to 2014 Board Calendar – Addition of June 30 and July 21 Special Meetings
16. Recess as Policy Advisory Committee - Reconvene as RTPA - Ratify Action of Policy Advisory Committee. Upon motion by Thomas, second by Hammerstrom, and carried unanimously (6 Ayes – Thomas, Hammerstrom, Stranske, Pinches, Ranochak, and Gjerde; 0 Noes; 0 Abstaining; 1 Absent - Sanders): IT IS ORDERED that the actions taken by the Policy Advisory Committee are ratified by the MCOG Board of Directors.
17. Reports - Information
a. Mendocino Transit Authority. Chair Gjerde reported that MTA, at its most recent board meeting, held a public hearing on fares, heard testimony, then appointed an ad hoc committee that considered comments received. The committee made some changes to the recommendation, which will be presented in another public hearing at the next meeting. The board will likely take action then to adopt new rates.
b. North Coast Railroad Authority. Ms. Ellard had attended the April meeting and reported highlights. NCRA received a presentation by its SMART committee on construction of the passenger line; the first phase is a 43-mile extension from San Rafael to Santa Rosa with 10 stations, expected to open in 2016. NCRA approved an interim agreement with an agent to negotiate sale of portions of the 11-acre Ukiah depot property. The board also approved its staff to apply for two federal TIGER [Transportation Investment Generating Economic Recovery] planning grants, one for the Humboldt Bay rail-trail project and the other to consider extending the current line from Windsor to Ukiah.
Ms. Ellard and Mr. Mettam answered questions and Director Pinches made comments. Mr. Dow reported a significant accomplishment at the March 12 meeting, which he had attended. NCRA heard a presentation by City of Ukiah's consultant and agreed to permit a Rails-with-Trails facility in the Ukiah corridor as proposed. The City has state grant funding for it, design is nearly done, and the City will maintain that portion of the right of way. The City is preparing an application for Phase 2 under the ATP grant program.
c. MCOG Administration & Planning Staff
1. Summary of Meetings. Dow referred to his written staff report.
2. Progress on Vision Mendocino 2030 - Phase 4. Ms. Barrett reported that in December, the Council adopted the Vision Mendocino 2030 Blueprint Plan, after extensive public outreach, stakeholder engagement and interagency involvement. She is now working on the fourth and final Regional Blueprint grant, focusing on implementation strategies. The preferred growth scenario was a hybrid of in-fill and natural resources development. An issue that arose in terms of near-term feasibility was Food Systems Planning, supported by three of the identified principles in the plan. She has been working with various stakeholders, including local agencies' planning staff, County Public Health and Environmental Health representatives, EDFC and the Food Policy Council, to identify needs and priorities, such as the new Cottage Food Law regulations. MCOG has contracted with the nonprofit Food Policy Council, under NCO's fiscal sponsorship.
Chair Gjerde commented he has heard enthusiasm that this issue is finding its way into local city and county plans because of MCOG’s actions. Ms. Barrett answered
questions. The grant will expire June 30, with presentations to be made subsequently.
3. Mendocino County Zero Emission Vehicle (ZEV) Regional Readiness Plan – Phase 2. Ms. Orth reported that a funding opportunity arose from Rural Planning Assistance and staff agreed to apply for completion of some remaining tasks in the Readiness Plan. Her proposal was one of three statewide that received a grant, so $25,000 will go into MCOG's FY 2014/15 planning program for community outreach and technical specifics on electric vehicle charging station locations. Chair Gjerde helped to clarify this effort in the context of a recent grant application by State Parks to install stations, supported by MCOG's plan, which includes several of the high priority locations in the countywide plan and is now a finalist for a possible California Energy Commission grant award. Ms. Orth noted this next phase will be another step toward full implementation. Director Hammerstrom made supportive remarks.
4. Miscellaneous. None.
d. MCOG Directors. None.
e. California Association of Councils of Governments (CALCOG) Delegates. Chair Gjerde briefly reported on the recent annual forum in Monterey, which he did not attend but had received an email report on the delegates' business meeting, available to share.
18. Adjournment. The meeting was adjourned at 4:42 p.m.
Submitted: PHILLIP J. DOW, EXECUTIVE DIRECTOR
By Janet Orth, Deputy Director for Administration
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WATERBED ASSEMBLY INSTRUCTIONS
Never leave any infant, or handicapped child who cannot turn over, unattended on this or any other adult mattress. Infant or handicapped children can suffocate in the face down position or get caught between the mattress and frame, headboard or wall and suffocate.
WARNING:
NOTE: A mattress pad and linens are very important to your waterbed. Not only will it make it more comfortable, but it stops the waterbed from robbing you of natural body heat as well as soaking up normal body oils that can deteriorate your mattress over time.
DECK-
THE PEDESTAL
INTERNAL SUPPORTS
THERMOSTAT
THE MATTRESS
THE FRAME
THE SAFETY
LINER
TEMPERATURE
CONTROL PAD
CAPILLARY
TUBE
SENSOR
Dimensions
King
Queen
STEP 1: BUILD THE FRAME Panel Headboard or No Headboard
A. Lay out your frame and hardware. Note that the footboard and backboard have grooved bottoms. The grooves should face in toward each other. Make sure all frame boards have finished surfaces facing down on the floor.
B. If your frame includes a headboard, attach it to the back frame board using the slats and screws provided. REMEMBER: The groove in the frame board must face inward once the headboard is secured.
C. Assemble the frame with the corner brackets and screws provided. Note the finished top to the frame is facing up.
D. Position your assembled frame exactly where you want it in your room. Now refer to Step 2 -- Building the Pedestal.
S.S.
BOOKCASE HEADBOARD
B. Assemble the frame with the corner brackets and screws provided. Note that the side frame boards extend past the backboard. The extended portion of the frame will support your bookcase headboard. A sure way to insure correct internal spacing from head to foot is to use one of the deck boards (see Step 2), as a measure. Lay the 1 piece of deck into the groove at the foot, now bring the head frame board in between the side rails until the deck fits in the groove. Mount at that point. Now remove the deck board and go to Step 2 -- Building the Pedestal.
A. Lay out your frame and hardware. Note: The footboard and backboard have grooved bottoms that should face inward toward each other. Also the finished side of the frame boards should face the floor.
C. Position your assembled frame exactly where you want it in your room. This photo shows how the bookcase headboard will be positioned on the extended frame AT A LATER TIME. DO NOT MOUNT NOW! Refer to Step #2.
A. Lay out your frame, posts and hardware. Finished sides should face down toward floor exposing unfinished mounting sides.
FOUR POSTER MODEL
B. Mount the footboard to the two shorter posts using the brackets and screws provided. Some styles have hardware already mounted. Careful when mounting brackets to keep each bracket the same portioned height on each frame board and post.
C. Mount the headboard and the frame backboard to the taller posts also using the brackets and screws provided.
D. Mount each side frame board to the posts attached to the headboard and footboard. Make sure the finished edges of the frame boards face up.
E. Position your assembled frame where you want it in your room. Refer to Step 2 -- Building the Pedestal.
STEP 2: BUILDING THE PEDESTAL Standard Pedestal
A. Lay out the pieces of your standard pedestal inside of the frame as pictured. The finished sides when assembled are to face outward.
B. Slide the brown corner brackets on each corner of the pedestal. Slide the corner bracket on to each pedestal board at an angle, for easiest assembly.
C. Firm pressure is generally required to slide the corner brackets all the way on and lock the corner into position.
D. Assemble the two sets of the center support system, by inserting the slotted pieces into one another. Position the two internal supports in the center of the pedestal, head to foot and side to side. You may receive a center support system of one longer piece and two shorter pieces that are slotted. Position down the middle of the pedestal.
E. The pedestal should be accurately centered within the frame in its final position.
F. Next, without letting it slide our of place, tilt the frame on to one side. Avoid moving the pedestal. After Step 3 you will lower the frame onto the deck boards which will be mounted on the pedestal. This does not apply to 4 poster beds. Build pedestal and position deck boards inside of 4 poster frame, without moving frame.
STEP 2: BUILDING THE PEDESTAL Six Drawer Pedestal
A. Lay one three drawer section of the pedestal inside the frame, recessed slightly on the side and at the head and foot as pictured. If you purchased a two drawer section pedestal, use the same procedure as the three drawer that is pictured.
B. Lay the second three drawer section of the pedestal inside the frame as pictured.
STEP 2: BUILDING THE PEDESTAL Six Drawer Pedestal Continued
C. Slide the wood pieces into the spaces between drawer sections as pictured. For Queen size and Super Single size waterbeds the wood pieces may need to be cut down or not needed at all (hence push both three drawer sections tightly together.)
D. Be certain the assembled six drawer pedestal is accurately centered within the frame in it's final position.
E. Next, without letting it slide out of place, tilt the frame on to one side. Avoid moving the pedestal. After Step 3 you will lower the frame onto the deck boards which will be mounted on the pedestal. This does not apply to the 4 poster beds. Position drawer sections and deck boards inside of 4 poster frame, without moving frame.
STEP 2: BUILDING THE PEDESTAL Twelve Drawer Pedestal
A. See directions for the Six Drawer Pedestal. Follow them exactly first. Next add the third three drawer section on top of half of the completed six drawer pedestal. This procedure also works for two drawer section pedestals.
B. Add the fourth three drawer section as pictured.
C. Position the corners as accurately as possible, with special care given at the foot of the bed since it is most visible.
D. Slide the wood pieces into the spaces between drawer sections just as previously done for the bottom set of drawers.
E. Again be certain that your twelve (or ten, eight drawer) pedestal is accurately positioned where you want it. YOU WILL NOT BE ABLE TO MOVE IT ONCE THE BED IS ASSEMBLED.
F. Next, without letting it slide out of place, tilt the frame on to one side. Avoid moving the pedestal. After Step 3 you will lower the frame onto the deck boards which will be mounted on the pedestal.
STEP 2: BUILDING THE PEDESTAL Captain's Pedestal
A. (Some Captain's Pedestals vary in configuration. If yours needs some sub-assembly, do it prior to this step. Ask your sleep consultant for more details.) Lay one of the larger drawer sections inside the frame, recessed as pictured
B. Lay the second large drawer assembly sections inside, on the other side of the frame, as pictured.
C. Next, tilt the frame on to one side. Avoid moving the drawer sections. After Step 3 you will lower the frame onto the deck boards which will be mounted on the pedestal.
D. Now, slide in or attach the door section and wood pieces in the appropriate slots. These should be snug to assure proper support.
E. Be certain the assembled Captain's Pedestal is accurately centered within the frame and in it's final position, before moving to Step 3.
STEP 3: LAY THE DECK BOARDS ON THE PEDESTAL
A. King size - position the three 24 inch deck board pieces so that the pedestal is equally recessed on all sides. The cut corners on the deck boards should be positioned at the four corners.
B. Queen size - position the two 24 inch deck boards, with the one 12 inch deck board in the middle, so that the pedestal is equally recessed on all sides. The cut corners should be positioned at the four corners.
C. Super Single size - position the two 24 inch deck boards so that the pedestal is equally recessed on all sides. The cut corners on the deck boards should be positioned at the four corners.
STEP 4: MOUNT THE FRAME TO THE DECK
A. Lower the frame onto the deck. Make sure the grooves on the bottom of the footboard and backboard overlap the deckboards. Re-check that the pedestal is centered and in position.
B. This photo shows how the grooves overlap the deck.
C. Optional: Attach the "L" bracket into the middle of each frame board and deck to secure the deck to the frame. To protect liner and mattress from metal burrs, cover all inside metal brackets with masking or duct tape.
D. If your waterbed features a bookcase headboard, mount it to the frame now. Secure the headboard to the frame with the flat brackets screwed in from underneath the headboard behind the frame. Slide the frame carefully away from the wall a few inches, if needed, to allow more room to mount. Once mounted slide the frame back into final position.
E. If you purchased upholstered rail caps, attach them to your frame now. The padded rail caps slip over the frame edges. At your option, you may wish to secure the caps onto the frame with screws, if needed.
STEP 5: INSTALL HEATER UNIT
A. Place the heating pad in the center area of the deck avoiding the cracks in the deck boards. For Queen or Super Single place heating pad to one side or the other. Do Not Place Over Cracks.
Unplug heater before filling or draining your waterbed. Follow specific heater manufacturer's guidelines for detailed installation instructions.
B. Mount the thermostat control to either side of the frame, depending on where you will plug it in. Control unit may mount to side or underneath. See manufacturer's instructions. Use the screws provided. Securely plug the cord from the heating pad into the thermostat control.
STEP 5: INSTALL HEATER UNIT CONTINUED
C. Run the thermostat control's sensor tube through the corner hole inside the frame onto the deck. The sensor tube should be positioned midway between the frame and the heating pad, preferably twelve inches away from the heating pad.
D. To test the temperature control system, plug it in, turn the thermostat up and place your hand on the heating pad. As soon as you feel it start to warm up Unplug The Control From Your Wall Socket!
E. If you purchased a massage unit, install it now. Since massage units vary in installation, follow manufacturer's instructions. Do Not Place Unit On Top Of Heating Pad, Keep 6" From Pad!
CAUTION: Bodily contact with heater pad surface may be harmful and may be caused by an under-filled mattress or "bottoming out" on the heater. Use of this heater is strictly prohibited by an infant, invalid, anyone unable to feel heater, or anyone unable to get out of bed without assistance. After bed set-up is completed, lie down on mattress to ensure no part of the body is in contact with the bottom of the deck board. Any contact with the bottom of the bed is "bottoming out" and could possibly cause harmful burns.
STEP 6: INSTALL SAFETY LINER AND MATTRESS
A. If you purchased the standard safety liner, spread it out in your frame. Smooth out all wrinkles, especially over the heating pad. Align all corners of the liner to the corners of your frame.
B. Simply spread out the Stand-Up liner inside your frame. It will stand-up inside the frame by itself. Smooth out the wrinkles, especially over the heating pad!
C. Lay out your watermattress inside your safety liner with the valve at the foot. Carefully avoid shifting any of the baffle inserts, if you bought a motion reduced mattress. Remove the wrinkles on the bottom and make sure the mattress is evenly centered.
D. Align the corners of the mattress with the corners of the frame. If your safety liner, heating pad, or thermostat sensor tube shifted during this process, reposition it now.
STEP 7: FILLING THE WATER MATTRESS
A. From your bathroom faucet, remove the aerator by unscrewing it. (If your bathroom faucet does not have an aerator, you will have to use your kitchen faucet or an outside faucet.)
B. Attach the faucet connector you purchased with your waterbed care kit, into your faucet. Next attach a garden hose to the faucet connector. Make a tight fit to avoid spray leakage (a towel placed over the faucet while filling will keep any leakage from spraying.) To help eliminate unclean water in your bed, flush running water though the garden hose for about 10 minutes before filling your bed.
C. Pour in your waterbed conditioner. Attach the waterbed hose connector onto your garden hose. Insert it into your "poppedup" valve and attach the hose connector and valve securely together to avoid leakage. Wrap a towel around this connector to soak up any unavoidable leakage.
D. Fill your waterbed, checking on it periodically, with mild to warm water approximately one quarter to one half inch below the side of the frame boards. Shut off the water and remove the hose.
E. Remove the air bubbles inside the mattress. Do this by "pushing" them with a broomstick towards the valve which is "popped-up". Remove all the bubbles or they will create a "sloshing" sound. You will have to remove air bubbles again in about three days and also occasionally thereafter.
F. Insert the plug and securely screw on the cap. Plug in your temperature control system according to specific manufacturer's instructions and turn the thermostat to 80 - 85. Within 3 days, you can more accurately adjust up or down to your personal comfort level.
G. This close up photo shows how to insert your cap and plug without allowing air to get in the mattress and without allowing water to spill out. You cap and plug may be a one piece design. Not separate as shown.
SPECIAL SECTION: DRAINING YOUR WATERBED ALWAYS UNPLUG YOUR WATERBED HEATER BEFORE DRAINING OR FILLING YOUR WATERBED!
(Note: Photos show the standard syphon pump. However, for best results and ease of draining, we suggest you rent an electric pump available at InnoMax. For instructions on draining using an electric pump refer to Electric Pump Usage/Draining Instructions located in the Softside Fluid Support Assembly Instructions section.)
A. First, unplug your heater. Next, insert your garden hose with waterbed hose connector into the "popped-up" valve, as pictured.
B. Weigh down the area around the valve with a few heavy objects, such as telephone books. This step will help prevent air bubbles inside the mattress from getting in your garden hose and stopping the siphoning action you will create.
C. Mount your drain pump to your closest faucet and attach your garden hose. Make sure your fittings are tight. With the "bell valve" in the "up" position, turn on the water to put more water in the mattress. This step pushes the air in your hose into your bed so you can create the continuous water siphon you need. (If you don't have a drain pump, see Draining without a drain pump further instructions.)
D. Once water is flowing into the bed for a few seconds, turn the "bell valve" to the "down" position, leaving the water flowing full blast. The water from your faucet flowing through your drain pump will suck the water out of your bed. This will take one or two hours depending on water pressure. Do not allow air to get in the hose.
E. If you have a motion reduced mattress you must show special care while draining and moving your bed to prevent the interior baffles from shifting. HOLD THE BAFFLES IN PLACE IN THE MATTRESS AND LIFT UP ONE END. This will allow the remaining water to flow toward the valve.
F. FOLD YOUR MATTRESS CAREFULLY. DO NOT LET THE BAFFLES SHIFT OUT OF PLACE. If any shifting does occur, you should reposition them before refilling your mattress.
DRAINING WITHOUT A DRAIN PUMP:
2. Attach your garden hose onto an outside faucet (the hose can go up through an open window.)
1. Always unplug your waterbed heater before draining or filling your waterbed.
3. Turn on your water for fifteen seconds. This pushes the air in the garden hose into your bed so you can create a continuous water siphon.
13
4. Turn off the water. Disconnect the hose and let it drop to the ground. As long as the end of the hose is lower than your waterbed, gravity will siphon the water completely out.
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ORIGINAL ARTICLE
Teaching Acceptance and Mindfulness to Improve the Lives of the Obese: A Preliminary Test of a Theoretical Model
Jason Lillis, Ph.D. & Steven C. Hayes, Ph.D. & Kara Bunting, M.A. & Akihiko Masuda, Ph.D.
Published online: 28 February 2009
#
The Society of Behavioral Medicine 2009
Abstract
Background Obesity is a growing epidemic. Weight control interventions can achieve weight loss, but most is regained over time. Stigma and low quality of life are significant problems that are rarely targeted.
Purpose A new model aimed at reducing avoidant behavior and increasing psychological flexibility, has shown to be relevant in the treatment of other chronic health problems and is worth examining for improving the lives of obese persons.
Methods Patients who had completed at least 6 months of a weight loss program (N=84) were randomly assigned to receive a 1-day, mindfulness and acceptance-based workshop targeting obesity-related stigma and psychological distress or be placed on a waiting list.
Results At a 3-month follow-up, workshop participants showed greater improvements in obesity-related stigma, quality of life, psychological distress, and body mass, as well as improvements in distress tolerance, and both general and weight-specific acceptance and psychological flexibility. Effects on distress, stigma, and quality of life were above and beyond the effects due to improved weight control. Mediational analyses indicated that changes in weight-specific acceptance coping and psychological flexibility mediated changes in outcomes.
J. Lillis (*) : S. C. Hayes : K. Bunting
Department of Psychology/298, University of Nevada,
Reno, Nevada, USA
e-mail: firstname.lastname@example.org
A. Masuda Georgia State University, Atlanta, Georgia, USA
Conclusion Results provide preliminary support for the role of acceptance and mindfulness in improving the quality of life of obese individuals while simultaneously augmenting their weight control efforts.
Keywords Acceptance and Commitment Therapy . Experiential avoidance . Stigma . Coping . Obesity . Weight control
Introduction
Obesity is a growing and multifaceted problem. Recent data show that 64% of US adults are overweight or obese, a rate that continues to rise dramatically [1, 2]. Obesity is associated with significant health risks, including high blood pressure, high cholesterol, Type 2 diabetes, coronary heart disease, congestive heart failure, stroke, gallstones, osteoarthritis, some types of cancer, pregnancy complications, and thus, premature mortality [1]. The health care cost burden this produces is approaching 100 billion dollars [3].
Well-controlled, comprehensive weight control programs can produce significant weight loss, generally through a combination of diet, physical activity, and cognitive behavior therapy [4]. The problem with weight loss interventions is maintenance, due to the fact that by 3 years most weight is regained [6, 7].
One logical response to this shortcoming has been to extend the same basic treatment approach to the weight maintenance period. These efforts have proven to be costly, time-intensive, and modest in outcomes. For example, Anderson and colleagues [7] followed participants who completed a 14-week weight loss program. Despite 70 posttreatment meetings over the next 7-year period, only 25% of participants maintained a weight loss of 10% of initial
body weight. A similar study with 26 months of treatment resulted in only 30% of participants maintaining a weight loss of 10% at 5 years [8].
Another line of research has investigated psychological factors that seem to predict successful or unsuccessful weight maintenance in hopes of designing weight maintenance programs to target these factors. Research has shown that individuals who are unable to maintain weight loss tend to have a narrow range of coping skills [9]. When exposed to stress or negative emotions they tend to use avoidant [10, 11] or impulsive styles of coping [12, 13]. Specifically, they tend to eat in response to emotions [10, 14]. Successful maintainers and those who do not become overweight to begin with seem to have an easier time dealing with cravings and show more active, flexible, and committed styles of adjustment [15, 16].
These findings have not yet led to more successful long-term weight control results. Part of the problem may be that psychological variables such as these are rarely targeted [4]. But even when coping skills of various kinds are directly targeted, better outcomes do not seem to result [17, 18].
In part, due to the weak results on weight, many researchers have suggested that quality of life, obesity-related distress, and stigma need to be more of a focus of weight treatment [19–21]. The stigma of being overweight is pervasive and debilitating [19]. Negative attitudes regarding obesity are widespread [22, 23] and are associated with the development of depressive symptoms, self-stigma, reduced quality of life, and severe isolation [23, 24]. The degree to which stigma and resulting mental health complications affect weight and eating habits is unknown. There are, however, no well-established programs to decrease weight stigma or increase quality of life for obese individuals.
There are methods of psychological adjustment that might impact distress, stigma, and quality of life, and as secondary benefit impact weight-related issues. When negative thoughts and feelings are directly targeted for change, they can paradoxically become more difficult to deal with, particularly in persons with strong responses to their content. Psychological methods designed to teach acceptance and mindfulness skills for difficult thoughts and feelings may be more helpful, perhaps particularly so for those who are generally avoidant and psychologically inflexible. This idea comports with the substance use literature, which suggests that one of the fundamental ways to maintain abstinence is to increase openness to psychological struggles or triggers [25–27], as well as the pain literature, which reports similar findings [28].
This has been examined in the area of food cravings in a recent study [29]. Participants who were high or low in the degree to which food impacted on their behavior, thinking, and feeling, were exposed to training in control-based or acceptance-based coping strategies, or no training. The control-based strategies were drawn from LEARN, a wellknown cognitive behavioral weight loss program [ 30 ], and included refocusing strategies (such as distraction or positive imagery), behavioral redirection (changing or leaving the situation), and confronting and challenging automatic thoughts. The acceptance-based coping strategies were drawn from Acceptance and Commitment Therapy [ 31 ] and included acceptance, defusion, and willingness skills. ACT [ 31 ] is a third generation cognitive behavioral approach that uses acceptance and mindfulness processes, and commitment and behavior change processes to produce psychological flexibility: the ability to defuse from difficult thoughts and accept difficult feelings while persisting in values-based action [ 32 ]. ACT attempts in part to undermine experiential avoidance, which is the tendency to try to change or avoid private experiences as a method of behavioral regulation. Experiential avoidance has been associated with a wide variety of negative outcomes [ 33 ], and seems to describe a pattern of adjustment seen in those unable to maintain weight loss [ 10 , 14 ]. ACT also focuses on the person ' s entanglement with thoughts, or cognitive fusion. Instead of directly challenging or changing thoughts, ACT teaches participants to notice thoughts mindfully and from a distance, so as to respond more flexibly to them. Such cognitive flexibility is also known to be related to weight maintenance in naturalistic studies [ 34 ].
In the Forman et al. [29] study, participants carried chocolates continuously with them for 2 days in a transparent box, while recording craving and consumption. For participants with low levels of food impact, controlbased strategies were associated with lower craving intensity, frequency, and distress than acceptance strategies. But for participants with high levels of food impact, control-based strategies were not helpful, while acceptance strategies had a large impact [29]. This analog study suggests that the problem has not been the relevance of coping training to weight issues, but the kind of training being provided.
ACT is known to decrease enacted stigma (perceived discrimination from others) and self-stigma (negative beliefs about oneself) in areas such as substance abuse [35, 36], race [37], and mental health problems [38], so it may have similar effects in the area of obesity. ACT has been shown to be effective with a wide variety of clinical problems [32] including health problems, such as chronic pain [39], diabetes [40], epilepsy [41], and smoking [25, 42] and to increase quality of life for persons suffering with these problems. In addition, several studies have shown that ACT works through changes in experiential avoidance and cognitive fusion among other ACT processes [32]. Thus, it seems possible that ACT could be helpful in increasing quality of life, and reducing the distress and stigma of
obesity while perhaps also empowering weight control efforts since it targets some of the processes known to relate to obesity as well, such as eating in response to emotions [10, 14] and using avoidant [10, 11] or impulsive [12, 13] coping styles. By directly targeting stigma and distress, instead of weight control per se, such an approach would both respond to calls for programs of this kind [19–21] and would teach needed acceptance and mindfulness skills in a fresh context where greater receptivity and innovation might be possible. Most obese individuals in weight loss programs have engaged in scores of previous weight loss efforts, and have likely done so in avoidant or self-critical ways (e.g., through severe restrictions, denial, or suppression). Thus, it could be more difficult to train a truly new psychological approach without interference from previous efforts if weight per se was directly targeted as opposed to stigma and distress.
There is an additional benefit that ACT might bring. Existing weight programs are costly and labor-intensive. The growing rate of obesity highlights the importance of developing and disseminating brief interventions that support improving the lives of obese persons. A workshop format of ACT has been shown to be helpful in relatively small doses in medical settings, which could allow for efficiency in delivery of services [32].
The present exploratory study examined whether a 1-day ACT workshop using obesity stigma as the focus, could improve obesity stigma, general mental health, and quality of life, while also augmenting weight control efforts by increasing acceptance, mindfulness, and values-based action. The field needs enhancement programs that can build upon core weight loss skills and address the myriad psychosocial issues facing those who are overweight or obese in order to produce stronger, sustained results. If a single brief program could have such an impact, it would provide preliminary support for an ACT model of change and suggest a new avenue worth exploring in the treatment of obesity.
Method
Participants and Assignment
Participants who had completed at least 6 months of any structured weight loss program in the past 2 years were recruited from a local weight loss clinic through flyers and from the community through advertisements in local newspapers (N=87). A structured program was defined as any program that included regular meetings, dietary education, physical activity goals, and self-monitoring. There were no exclusion criteria based on psychiatric, medical, or substance use disorders; participants did need to be 18 or above and English speaking. Participants were recruited from one medium-sized western metropolitan area from October 2005 to July 2006.
Independent of study procedures, 38% of the participants continued in a formal weight control program while the remaining participants were attempting weight loss or maintenance on their own. The most common on-going program was Weight Watchers, which for most participants consisted of self-monitoring of food intake and regular weighing only. Participants had tried to lose weight on average 35.8 times, 5.6 times as part of a formal weight loss program. Seventy-three percent of the participants reported cycling in weight regularly. As a result of their most recent weight program, 57% of the participants reported losing at least 10% of their body weight; 19% reported losing at least 20%. Twenty-one percent had reached their ideal weight. These past history variables and demographic characteristics are shown by treatment condition in Table 1. There were no significant differences between groups at baseline for any of the previous weight loss efforts reported above, nor for age, gender, ethnicity, income, and body mass index (BMI). Nevertheless, all outcome analyses were supplemented by a series of analyses that included demographic variables and the above previous weight loss efforts as covariates. None altered the results and thus will not be reported here.
There was one baseline difference however that did require such treatment. In the control condition, 28 of 44 participants reported previously hitting their ideal weight as the result of dieting (64%) while 14 of 40 of the ACT participants (35%) had done so, which is a significant difference (Fisher's exact=.02). This was not due to the fact that ACT participants had not tried—as was just noted there was no significant difference in the number of previous weight loss attempts, and expressed as means the difference was in the other direction: ACT participants had previously tried to lose weight in a formal program 6.6 times on average while the control group participants had tried 4.8 times (see Table 1). Thus, the ACT group participants appeared to have been somewhat less successful overall in previous weight loss attempts despite as many or more organized attempts. Given this difference, all outcome analyses were supplemented by analyses that included past success as a covariate. These results will also be reported whenever they impacted the analyses (i.e., the covariate was significant, the effect size or statistical significance changed).
Study procedures were conducted at research laboratory facilities at a western state university. In an intake session, informed consent was given, psychological assessments were administered, and participant weight and breath holding was recorded by research personnel. Participants were then randomly assigned to conditions using a random numbers table by the project coordinator and first author of
Table 1 Demographic, descriptive, and past weight loss information by condition
this manuscript (JL). Control participants were placed on a wait list (they were offered the intervention after followup); those in the ACT condition were provided a 1-day workshop. Assessments were repeated 3 months later. Completion of follow-up was fostered by multiple emails, letters, and phone calls so that virtually every participant was reached and scheduled. At follow-up, research assistants who were blind to condition assignment administered all assessment procedures.
A total of 200 potential participants made an initial contact with researchers. Fifty-two people had not completed a weight loss program in the past 2 years, and were thus not eligible, while 41 people scheduled an initial assessment and did not attend the appointment. Three participants completed assessment procedures and were randomly assigned to the ACT condition but did not attend the ACT workshop and did not provide follow-up data. No adverse events were observed or reported as a result of participating in the current study. Details on participant flow are shown in Fig. 1 .
Treatment Protocol
A workshop version of ACT has been useful in a variety of group settings not conducive to traditional psychotherapy [32]. This format was used in the present study. Participants randomly assigned to ACT (n=43) were given a 1-day, 6-h workshop utilizing exercises and material from the original ACT book [31] that have been shown to be helpful in similar ACT protocols [32]. Each workshop used a structured sequence of lecture and exercises. Two workshop leaders (the senior author of this paper, and a graduate student in clinical psychology skilled in ACT) led every group. The specific methods used taught acceptance, mindfulness, and defusion skills as applied to difficult thoughts, feelings, and bodily sensations. Weight-related stigmatizing thoughts and distress were the primary focus. The workshop also sought to clarify life values, especially those related to health and relationships, identify barriers to their implementation, and to foster behavioral commitments related to life values. A general ACT workbook [43] was also distributed to participants to encourage further implementation of the methods presented.
Neither the workshop nor the workbook contained strategies for losing weight, and no weight loss goals or strategies were set during the workshop. The goal of the workshop was presented to participants as "living a more fulfilling life consistent with your chosen values." Stigma, distress, and quality of life were used as the context for attempts to reduce patterns of avoidance and increase psychological flexibility in part because more direct attention could be given to these putative mechanisms of change, which was a key focus of the present study. Participants had been in many different weight loss programs, and over a third were still participating, and thus training acceptance, mindfulness, and values-based skills in the context of specific weight control suggestions would have risked conflict and confusion. In the area of weight loss per se, the workshop leaders merely suggested that these skills might empower their other programs.
Measures
Outcome Measures
The outcomes directly targeted by the intervention in this study were distress, quality of life, and stigma outcomes. Psychological distress was measured by the General Health Questionnaire (GHQ; [44]), a 12-item, 4-point Likert type self-report questionnaire with items on somatic symptoms, anxiety, depression, and social dysfunction. It
has good reliability and validity [45] in screening for psychiatric problems in a general population.
Obesity-related quality of life was assessed by the ORWELL 97 scale (ORWELL; [46]), which is an 18-item, 4-point Likert type self-report measure of satisfaction with functioning in various areas (e.g., sexuality). It has shown good reliability and validity [46] in use with obese populations.
Weight-related stigma was measured by the Weight Stigma Questionnaire (WSQ; Chronbach's α=.91; [47]), a 20-item, Likert-type scale designed for this study because to our knowledge, no relevant measure of weight-related stigma exists. This single factor scale assesses the degree to which participants experience self and enacted stigma related to their weight, and the perceived influence of stigma on life functioning (e.g. "I became overweight because I'm a weak person"). The WSQ was based primarily on concurrent work in the area of substance abuse stigma [27, 36]. Items came from an initial pool of over 300 items that reflected various domains thought to be related to stigma (shame, blameworthiness, incompetence, moral weakness, concealment, devaluation of self, perceived discrimination, helplessness) and were drawn from a number of well established measures, including the Rosenberg Self-Esteem Scale [48], Internalized Stigma of Mental Illness Scale [49], the
Stigmatizing Situations Inventory [50], and the Attitudes Toward Obese Persons Scale [51] among others. Pilot testing and expert review resulted in the current 20-item version.
A secondary objective outcome measure was weight, measured in pounds by a standardized, high grade digital scale. For purposes of the parametric analysis, weight was converted to BMI using the formula: BMI=[(weight in pounds/height in inches squared) * 703]. In addition, weight changes were grouped into gain and loss categories using guidelines for weight maintenance studies suggested by St. Jeor and colleagues [52]. Based on a large sample of 5-year follow-up data, they noted that a gain of 5 lbs during any follow-up period indicated the need for an initiation or recommitment to a weight intervention, and suggested a gain or loss of 5 lbs be considered a "notable" weight change in naturalistic weight maintenance studies or when prior weight change data were unavailable.
Process Measures
There were three general measures of ACT processes. Global levels of psychological flexibility were assessed by the Acceptance and Action Questionnaire (AAQ; [53])
which is a 9-item Likert-type questionnaire that assesses overall levels of experiential avoidance, cognitive fusion, and action in the face of emotional barriers. It has good reliability and validity [53]. It was used in this study to confirm that the specific protocol used modifies ACT processes broadly conceived.
In previous research, it has been found that mediation of specific ACT protocols by ACT process is better assessed by modifying the general AAQ to target the specific area (e.g., [25, 40]). For that reason, the present study used a targeted measure adapted from the original AAQ as its primary process measure. The Acceptance and Action Questionnaire for Weight (AAQW; [54]; Chronbach's α=.88) is a 22-item, Likert-type scale that measures acceptance of weight-related thoughts and feelings and the degree to which they interfere with valued action (e.g., "I try hard to avoid feeling bad about my weight or how I look"). The AAQW has displayed good preliminary psychometrics and construct validity [54].
Finally, an objective measure of distress tolerance was taken by asking participants to hold their breath as long as they could while being measured with a stopwatch. The resulting breath-holding time was used to provide objective confirmation of the increased ability to experience difficult sensations. Breath-holding time has been used as a behavioral measure of distress tolerance, or a person's general ability to persist during uncomfortable stimulation, and serves as a behavioral correlate to psychological flexibility in this study [55]. Researchers in the smoking cessation literature have found that how a person reacts to nicotine withdrawal is a better predictor of successful quitting than the overall discomfort of withdrawal [55]. Weight loss carries a similar challenge in dealing with the discomfort of food cravings.
Attrition and Analytic Strategy
Three participants were assigned to the ACT workshops but neither attended nor provided 3-month follow-up data. All remaining ACT participants (n=40) and all control participants (n=44) completed study procedures and all assessments. Thus, 97% of the designed data were available for analysis. Using a significance level of p<.05 and power of 80%, a sample size of 35 per group (N=70) was needed to detect a standardized effect of 0.6, which is below the value expected based on a meta-analysis of ACT outcome studies [32] and thus the study was adequately powered.
Follow-up scores for each measure were examined using an analysis of covariance (ANCOVA) with experimental condition as the independent variable and the prescore value as a covariate. Separate ANCOVAs were calculated using past history of success in reaching an ideal weight as a covariate. Mediational analysis methods are described in the " Results " section. Only analyses reaching conventional levels of significance ( p ≤ .05) on two-tailed tests were interpreted, and effect sizes were termed small , medium , or large based on cutoffs suggested by Cohen [ 56 ].
In the current study, we hypothesized that participants who received the ACT workshop would shower great improvements relative to control participants in psychological distress, stigma, and quality of life as well as weight change; and that those changes would be mediated by changes in acceptance, defusion, and action.
Results
Means, standard deviations, and between and within effect sizes derived from these values for pretreatment and follow-up measures are shown in Table 2. There were no pre-treatment differences between conditions on any measure except the single item noted on past success in reaching and ideal weight. Post hoc analyses indicated no differences among participants who remained in a formal weight program outside of the study as compared to those who did not. Degree of weight lost in their last structured program prior to entering the study also had no relationship to outcomes.
Outcome Analyses
ANCOVAs on 3-month follow-up outcome using prescores as the covariate showed a statistically significant and medium to large effects for condition on all outcome measures. On primary study outcomes those in the ACT condition showed:
less psychological distress as measured by the GHQ (F (1, 83)=17.88, p<.001, partial η 2 =.18, Cohen's d=.92—a large effect);
better quality of life as measured by the ORWELL (F (1, 83)=27.42, p<.001, partial η 2 =.25, Cohen's d= 1.14—a large effect); and
lower levels of weight-related stigma as measured by the WSQ (F (1, 83)=24.34, p<.001, partial η 2 =.23, Cohen's=d =1.07—a large effect).
When entered as a covariate, baseline differences in weight loss history (more past history of success in the control condition) was not a significant covariate and statistical significance and effect sizes for treatment condition were not impacted.
On the secondary outcome, those in the ACT condition showed greater weight loss as measured by the body mass index (F (1, 83)=9.80, p<.01, partial η 2 =.11, Cohen's d=.68—a medium effect). Mean percent weight loss was 1.5% for the ACT group and a gain of .3% for the control group, a statistically significant (t (1, 83)=−2.75,
Table 2 Means, standard deviations, difference scores and effect sizes linked to those values for study variables
*p<.05 (as shown by t test)
p<.01) and medium effect (Cohen's d=.63). These two analyses were impacted by the better past history of weight loss for the Control condition when it was entered as a covariate. Effect sizes due to condition increased from the medium to large range for both BMI (F (1, 82)=17.30, p<.001, partial η 2 =.18, Cohen's d=.92—a large effect) and mean percent weight loss (adjusted mean loss of 1.7% for the ACT group and a gain of .5% for the control group, F (1, 82)=13.66, p<.001, partial η 2 =.15, Cohen's d= .82—a large effect).
In order to focus exclusively on the larger changes that might be expected to occur over 3 months, a supplementary non-parametric analysis was conducted using the cutoff for notable weight change suggested by St. Jeor et al. [52] of a gain or loss of at least 5 lbs. The results are shown in Fig. 2. While 35% of those in the ACT condition lost 5 lbs or more, 11% of those in the control condition did so; conversely 7% of those in the ACT condition gained 5 lbs or more, while 25% of those in the control condition did so. These differences represent a statistically significant
(χ 2 (1, 83)=8.81, p<.01) and large effect (Cohen's d=1.21).
Process Analysis
Statistically significant and medium to large effects were shown on all process measures at the 3-month follow-up.
Using pre-scores as covariates, at follow-up those in the ACT condition showed:
greater overall levels of acceptance, defusion, and action in the face of barriers as measured by the AAQ (F (1, 83)=10.46, p<.01, partial η 2 =.11, Cohen's d=.70—a medium effect);
greater weight-related acceptance, defusion, and action in the face of barriers as measured by the AAQ-W (F (1, 83)=40.69, p<.001, partial η 2 =.33, Cohen's d= 1.38—a large effect);
greater levels of objective distress tolerance as measured by breath holding (F (1, 83)=16.70, p<.001, partial η 2 =.18, Cohen's d=.89—a large effect).
Evidence of Mediation
Ideally mediators would be assessed before outcome changes, but due to the fact that only follow-up scores were available, the mediational analysis assessed whether pre to follow-up changes in stigma, quality of life, psychological distress, and weight (BMI) were mediated by pre to follow-up changes in the process measures.
Mediation was tested by assessing the significance of the cross product of the coefficients for the treatment group to mediator relation (the a path), and the mediator to outcome relation controlling for treatment (the b path). An ab cross product test is recognized as perhaps the best all-around available method to test mediation [57] because it tests the statistical significance of the difference between the total effect, or c path, and the direct effect, or c′ path, which is the impact of treatment on outcome adjusting for the effect of the mediator. MacKinnon, Warsi, and Dwyer [58] showed that in normal least squares models ab is algebraically equivalent to c−c′, thus the significance of the cross product of coefficients directly tests mediation rather than doing so only by inference as is the case in the better known causal steps approach [59]. The Sobel test [60] is the most familiar cross product method but it assumes a normal distribution of ab, which is generally incorrect [61]. The non-parametric method used in the current study [61, 62] solves the distribution problem through bootstrapping, in which k samples of the original size are taken from the obtained data (with replacement after each specific number is selected), and mediational effects are calculated in each sample. In the present set of analyses, parameter estimates were based on 5,000 bootstrap samples. The point estimate of the indirect cross product (Table 4) is the mean for these 5,000 samples which ensures stability of the analyses; the bias corrected and accelerated 95% confidence intervals are similar to the 2.5 and 97.5 percentile scores of the obtained distribution over the samples, but with z-score based corrections for bias due to the underlying distribution [61,
62]. If the confidence intervals do not contain zero, the point estimate is significant at the level indicated.
In the present analysis, bias-corrected 95% confidence intervals showed that the primary process measure, weightspecific ACT processes as measured by the AAQW, significantly mediated all outcomes. Changes in general ACT processes as measured by the AAQ, mediated changes in psychological distress, quality of life, and stigma, but not BMI. Breath-holding mediated BMI and stigma but did not mediate psychological distress and quality of life (see Table 3).
Table 4 shows the t values and significance of the a, b, c, and c′ paths, and the significance of the indirect effect using normal theory for the primary process measure—the AAQW. In all cases, the indirect effect was significant; the a, b, and c paths were significant; and c′ paths were not significant. There is no agreed upon method for estimating the effect size of a mediation effect [63], but the proportionmediated (1−(c/c')) values are also shown in Table 4, and ranged from 53% to 80% of the overall effect.
Post Hoc Analyses
In the current study, we attempted to target experiential avoidance in order to reduce stigma and distress, and improve quality of life. Given that participants in the ACT condition also lost more weight relative to the control participants, it is important to examine whether reduced weight per se accounted for the changes seen in stigma, distress, and quality of life. We thus conducted a supplementary set of ANCOVAs for stigma, distress, and quality of life using both the relevant prescore and BMI at followup as covariates. In all cases, the effects due to condition increased slightly, suggesting that the impact of ACT on stigma, distress, and quality of life was direct and not due to weight loss. At follow-up, those in the ACT condition, showed:
less psychological distress as measured by the GHQ (F (1, 83)=18.19, p<.001, partial η 2 =.19—a large effect);
better quality of life as measured by the ORWELL (F (1, 83)=28.79, p<.001, partial η 2 =.27—a large effect); and
lower levels of weight-related stigma as measured by the WSQ (F (1, 83)=24.79, p<.001, partial η 2 =.24—a large effect).
Use of the Workbook
Seventy-three percent of the ACT participants used the workbook and of those, 52% found the workbook helpful or very helpful. Paired samples t tests within the ACT condition found that those who reported reading the book at
Table 3 Bootstrapped point estimates and Confidence Intervals (CIs) for indirect effects of change in process measure scores at follow-up as mediator for outcome variables
least five times improved significantly (p<.01) on all outcome and process variables; those reading the book less frequently did not improve significantly on weight (BMI) or distress tolerance but did on other variables (p<.05).
(plus or minus 5 lbs) weight changes than those who had not participated in the workshop.
Discussion
The present study suggests that targeting acceptance, mindfulness, and values can have an impact on stigma, distress, and quality of life in the obese, and can enhance current efforts to control weight without any focus on weight control per se. Three months after a 1-day workshop, those exposed to a 6-h ACT condition improved significantly more than those on a wait list on all outcome measures. ACT participants showed larger reductions in weight-related stigma, were generally more psychologically fit, had a higher perceived quality of life, and had lost more body mass with a more favorable distribution of notable
Post hoc analyses showed that changes in stigma, distress, and quality of life could not be attributed to changes in weight, suggesting that the ACT workshop had a positive effect on participants independent of the whether or not they lost weight. This is notable given the discouraging statistics on rates of obesity and the difficulty of losing and maintaining weight loss. A brief program that could improve the lives of obese people independent of weight loss would have value, whether or not weight loss followed. However, the ACT participants also showed improved weight control efforts, suggesting a range of possible benefits for participation in the ACT workshop.
Relatively large effects for brief interventions that are maintained through several months of follow-up are not uncommon in the ACT literature. This pattern has been shown in a 3-h intervention for diabetes management [40], a 3-h intervention for coping with the symptoms of
Table 4 T and z values for normal theory mediational tests using pre to follow-up AAQ-W change scores as the mediator and similar change scores for all four outcomes
*p<.05; **p<.01; ***p<.001
psychosis [64], a 9-h intervention for the management of epileptic seizures [41], a 4-h intervention for chronic pain [39], and similarly brief interventions in other areas [32]. What appears to happen in such studies is that the acceptance, mindfulness, and values interventions in ACT reduce patterns of experiential avoidance, which in turn leads to positive behavior change. That possibility was the focus of the present study.
One way to test this approach would be to compare ACT to other approaches of known impact that work through known and distinct mechanisms. That would be a high test, but, at present, there is no "gold standard" intervention with known impact and understood processes of change that targets stigma, distress, and quality of life for participants with extensive weight loss program exposure. Indeed, this study appears to be among the first such programs ever tested. Even in the well-researched area of weight control, continuing programs indefinitely has proven to be both expensive and relatively ineffective (e.g., [8]), and when there is positive long-term impact the processes accounting for changes are not fully known. Given this state of knowledge, crafting an active comparison group did not seem like the logical first step, since the comparison intervention would demand yet another control condition and still might not yield clear processes of change. In addition, participants had already been exposed to traditional weight loss interventions multiple times and most had basic knowledge about dieting, self-monitoring, physical activity, and goal setting.
The present approach instead targeted key psychological processes that arguably underlie not just stigma and distress, but also failures in weight maintenance. The ACT intervention used in this study focused on acceptance, mindfulness, and values, with particular attention to the difficult thoughts and feelings that can accompany being obese. This gave participants a chance to develop new skills in a new area.
In accord with an ACT model, participants in the workshop showed greater psychological flexibility, with increases in general and weight specific acceptance, defusion, and valued action in the face of psychological barriers. These selfreported changes were corroborated by objective changes in distress tolerance as measured by breath holding. Changes in weight-specific ACT processes mediated all outcomes, as assessed both by normal theory and non-parametric tests of mediation, while changes in distress tolerance and general ACT processes mediated some but not all outcomes.
Successful mediation makes several alternative explanations for these results less likely. For example, mere social support, attention, or a credible rationale might be responsible for outcomes because only a wait list control group was used. But there have been no reports in the literature that social support and attention notably increase psychological flexibility or distress tolerance. Further, although a credible rationale might increase such processes, successful mediation also requires that process of change relate to outcome controlling for treatment (the " b path " in mediational analysis) which means that the impact of these processes cannot be an irrelevant correlate of treatment nor a general process that is not specifically related to the intervention. The broad mediational impact of these processes (not just on the targets issues of stigma, distress, and quality of life but also on weight) suggests a specific mechanism of action, and one that is promising for future inquiry.
There are weaknesses in this study. The sample is relatively homogeneous in terms of age, gender, and ethnicity. Participants were mostly white, middle-class, females from one western US metropolitan area, and thus the sample is not representative of the US population. We cannot fully characterize the sample due to the lack of specific verified information regarding precisely how much weight each participant lost prior to entering the study and the time between their most recent weight loss attempts and when they began the study. At baseline, a slightly higher percentage of participants in the control group had achieved an ideal weight as a result of their most recent weight loss attempt. However, the difference was not statistically significant and it did not change any significant results for the ACT intervention when included in outcome analyses as a covariate. Although the class was highly structured, using a specific set sequence of information and exercises (the protocol can be downloaded at www.contextual psychology.org), and was supervised by the originator of ACT, no formal measure of adherence was taken. Followup is not extensive and due to the design, mediator change and outcome change are contemporaneous. Ideally, mediator change would be observed before outcome change so that greater information can be gain about possible causality, as has been done elsewhere in the ACT literature [32]. Finally, one of the outcome measures (Weight Stigma Questionnaire) was created for the study because no alternative measures were available and has not previously been published.
The contribution and possible importance of the study are best understood in the context of the current efforts to improve obesity treatment. The acceptance, defusion, and values-based methods in ACT appeared to target the avoidant and emotion-focused coping style of those who struggle to maintain weight loss, and did so even in a relatively small dose. This builds on the controlled findings from Forman [29], which showed that ACT had a distinctive impact on food urges as compared to the more traditional cognitive behavioral approaches that have dominated in weight loss programs. The large effects on stigma reduction and quality of life improvements responds to a focus that many in the field have been advocating,
particularly due to the fact that weight loss is often difficult to maintain [19], yet the increased psychological flexibility that produced these effects also led to changes in actual weight loss.
Given the growing need for weight control services, and set against the current alternatives, the present study opens up a new avenue of exploration for this critical health problem. It is notable that a brief intervention could produce such outcomes in an area that has focused on frequent and extended therapeutic contact. A single workshop following a more comprehensive weight loss intervention would be less costly and easier to disseminate than an extended weight maintenance program. It is also worth testing the impact of ACT methods when built into weight control and weight maintenance programs from the beginning.
If this study opens a door, it needs to be acknowledged that it does not fully walk through it. Longer and more extensive acceptance and mindfulness protocols for weight control need to be tested, with substantially longer followup intervals, and more extensive measurement. This study does not show that ACT can produce significant long-term gains in weight loss or maintenance: that was not its analytic goal. Rather, the present study provides preliminary evidence that when an ACT model of weight problems is applied to weight-related stigma and distress, it produces outcome and process effects that comport with the underlying model. In the history of clinical science, when models work, successful methods follow. The present results suggest that acceptance, mindfulness, and valuesbased action methods to improve the lives of the obese warrant further study.
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Policy Review Committee Agenda June 26, 2018, at 7:00 p.m. Carleton Place Town Hall, Council Chambers
Please silence all electronic devices.
1) CALL TO ORDER
2) DECLARATION OF PECUNIARY/CONFLICT OF INTEREST
3) REGISTRATION OF PUBLIC WISHING TO SPEAK
4) COMMUNICATIONS (REPORTS)
i. County-Wide Business Retention and Expansion (BR+E) Project (Communication 129266)
Suggested Motion:
Amanda Charania, Communications Coordinator
THAT Council supports Option 2 - work with the Chamber of Commerce and the Downtown Carleton Place BIA to determine if volunteers can be recruited to conduct additional business surveys within the community as part of the County's Business Retention and Expansion (BR+E) project; and THAT should volunteers be able to be recruited, the Town proceed with the additional study component specific to Carleton Place in the amount of $10,000 which would be funded from Economic Development Reserves.
ii. Seniors' Centre – Former Train Station Facility (Communication 129267)
Suggested Motion:
Duncan Rogers, Clerk
THAT a staff report on the development of a Seniors' Centre in the former Train Station be prepared and presented at the next meeting of the Policy Review Committee.
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iii. Request for Town Support of the Mississippi Valley Conservation Authority's Grant Application for the Preparation of a Watershed Plan (Communication 129268)
Suggested Motion:
Diane Smithson, CAO
THAT the Chief Administrative Officer be directed to provide a letter of support to the Mississippi Valley Conservation Authority for its application under the Federation of Canadian Municipalities' Climate Innovation Program to develop a Watershed Plan for the Mississippi River.
iv. Compliance Audit Committee – Appointments (Communication 129269)
Suggested Motion:
Stacey Blair, Deputy Clerk
THAT Phil Hogan, Paul Howard and Al Lunney be appointed to the Joint Lanark County Compliance Audit Committee for the term December 1, 2018 to November 14, 2022 to deal with applications from the 2018 Election and any by-elections during the next Council term.
5) CLOSED MEETING
Suggested Motion(s):
o Section 239 (2)(b) personal matters about an identifiable individual (IC 129270, IC 129271 and IC 129272) and
THAT the Committee move into closed session at __________ p.m. to discuss a matters subject to:
o (f) advice that is subject to solicitor-client privilege, including communications necessary for that purpose (IC 129273)
THAT Diane Smithson, CAO (except for item IC 129270), Duncan Rogers, Clerk and Stacey Blair, Deputy Clerk, remain in the room.
i. CAO Probationary Review (IC 129270) Duncan Rogers, Clerk
ii. Appointment of New Member to Drug Strategy Committee (IC 129271) Duncan Rogers, Clerk
iii. Appointment of New Member to Environmental Advisory Committee (IC 129272) Duncan Rogers, Clerk
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iii. Fire Station Mess Hall (IC 129273)
Diane Smithson, CAO
Suggested Motion(s):
THAT the committee return to regular session at __________ p.m.
6) ADJOURNMENT
COMMUNICATION 129266
Received from: Amanda Charania, Communications Coordinator
Addressed to: Policy Review Committee
Date:
June 26, 2018
Topic:
County-Wide Business Retention and Expansion (BR+E) Project
SUMMARY
As a result of the recently completed Lanark County Economic Development Strategic Planning process, a County-wide Business Retention and Expansion (BR+E) program was identified as one of the top priority actions under the goal of supporting entrepreneurs and business owners.
In December 2017, Valley Heartland Community Futures Development Corporation applied to the Ontario Ministry of Agriculture Food and Rural Affair's (OMAFRA) Rural Economic and Development (RED) program and to FedDev's Eastern Ontario Development Program (EODP) for funds to implement a County-wide BR+E project, including the hiring of a BR+E Coordinator. In April/May, funding was approved for the project, with 50% coming from RED, 40% from EODP and 10% from Lanark County.
Teri Devine who has been hired as the Coordinator for the project and Stacie Lloyd, Economic Development Officer, has met with representatives in individual communities to discuss and plan for the scope of the project. The project timeline is June 2018 – July 2019.
The County has indicated that they will need to interview approximately 106 businesses across the County in order to ensure a statistically relevant sample. Of those 106, approximately 26 will be conducted in Carleton Place. Staff has expressed an interest in possibly expanding the scope of the project in our community by undertaking some additional surveys above and beyond the County's requirements for a statistically relevant sample.
Options for Council to consider include:
2. Work with the Chamber of Commerce and the Downtown Carleton Place BIA to recruit additional volunteers and conduct additional business surveys within the community. This will result in the Town being able to receive a separate BR+E Report with the cost for this option being $10,000.
1. Proceed with the 26 surveys under the County's BR+E project only. There would be no additional cost to the Town under this option. The Town's information would be included in the overall County BR+E Report.
If Council decides to proceed with a broader study for Carleton Place, further information will be brought forward (i.e. the number of and recommendations of businesses to be interviewed within various sectors and the number of volunteers required, etc.) as the planning progresses and reaches the municipal level.
FINANCIAL IMPLICATIONS
The Communications Coordinator will be partnering with the Carleton Place and District Chamber of Commerce and Downtown Carleton Place to recruit volunteers in the hopes of completing additional surveys to supplement the information obtained from the business community in Carleton Place. The number of volunteers recruited will determine the number of surveys that can be conducted. If volunteers can be recruited, to conduct these additional surveys, the Town would be in a position to receive a separate BR+E Report over and above the County's BR+E Report.
The cost estimate to have a separate report completed would be $10,000. This project was not included as part of the 2018 budget but there is $85,147 in funding available within the Economic Development Reserve to pay for this cost which would leave a balance in the reserve of $75,147.
STAFF RECOMMENDATION
THAT Council supports Option 2 - work with the Chamber of Commerce and the Downtown Carleton Place BIA to determine if volunteers can be recruited to conduct additional business surveys within the community as part of the County's Business Retention and Expansion (BR+E) project; and
THAT should volunteers be able to be recruited, the Town proceed with the additional study component specific to Carleton Place in the amount of $10,000 which would be funded from Economic Development Reserves.
COMMUNICATION 129267
Received From: Duncan Rogers, Clerk
Addressed To: Policy Review Committee
Date: June 26, 2018
Topic: Seniors' Centre – Former Train Station Facility
SUMMARY:
Deputy-Mayor Flynn has requested that the possibility of establishing a Seniors' Centre in the former Train Station on Miguel Street be placed on the Agenda for discussion purposes. Currently, a large portion of this municipal building is vacant however, the CAO has recently received a couple of inquires about leasing space within the building.
COMMENT:
If there is interest from Council in pursuing the creation of a Seniors' Centre in this location, a staff report could be prepared incorporating information arising from the discussion.
STAFF RECOMMENDATION:
THAT a staff report on the development of a Seniors' Centre in the former Train Station be prepared and presented at the next meeting of the Policy Review Committee.
COMMUNICATION 129268
Received From: Stacey Blair, Deputy Clerk
Addressed To: Policy Review Committee
Date:
June 26, 2018
Topic:
Compliance Audit Committee - Appointments
SUMMARY
The Municipal Elections Act, 1996 makes it mandatory for municipalities to establish a Compliance Audit Committee to deal with complaints regarding election campaign financing in relation to candidates and registered third parties for each election, and to consider reports from the Clerk citing apparent instances of over-contributions.
All local municipalities within Lanark County, including the Town of Smiths Falls, recently approved the 2018 Terms of Reference for the Joint Lanark County 2018 Election Compliance Audit Committee by By-law.
COMMENT
On March 27, 2018, Council passed By-law 19-2018, to adopt the Terms of Reference of the Joint Lanark County 2018 Election Compliance Committee. A joint recruitment ad appeared in the EMC as well as on the municipal website and social media pages. The Clerks received a total of three (3) applications.
The Terms of Reference call for the appointment of three (3) members, plus three (3) alternates. The Clerks are recommending the appointment of three (3) individuals, based on the number of applications received. All three (3) individuals bring valuable professional and community knowledge and experience.
Section 88.33 – 88.37 of the Municipal Elections Act, 1996 sets out the necessary operating provisions related to the Compliance Audit Committee. These are addressed in the previously approved Terms of Reference.
Staff recommends that the three (3) individuals named in the draft by-law be appointed to the Committee. As has been done in the past, all partnering municipalities must agree to appoint the same individuals. It is stated in the Terms of Reference that the selection process will be based upon clearly understood and equitable criteria. All applicants satisfy the criteria and should therefore be appointed.
FINANCIAL CONSIDERATIONS
There are no direct financial implications associated with the appointments. The overall financial implications, previously outlined in an earlier report, are provided for ease of reference.
According to the Act, municipalities are responsible for the costs associated with the Compliance Audit Committee, including audit costs. In the event of an application, the affected municipality would be responsible for the associated costs and the Clerk of that municipality would serve as Committee Secretary in dealing with the specific application.
Appointees would receive a stipend of $150 per meeting with reimbursement of expenses associated with travel to be paid by the member municipality requiring the services of the Committee.
STAFF RECOMMENDATION
THAT Phil Hogan, Paul Howard and Al Lunney be appointed to the Joint Lanark County Compliance Audit Committee for the term December 1, 2018 to November 14, 2022 to deal with applications from the 2018 Election and any by-elections during the next Council term.
COMMUNICATION 129269
Received From: Diane Smithson, CAO
Addressed To: Policy Review Committee
Date:
June 26, 2018
Topic:
Request for Town Support of the Mississippi Valley Conservation Authority’s Grant Application for the Preparation of a Watershed Plan
SUMMARY:
Paul Lehman, General Manager of the Mississippi Valley Conservation Authority (MVCA) is applying to the Federation of Canadian Municipalities' (FCM) Climate Innovation Program for $100,000 in funding for Conservation Authority staff to work on a Watershed Plan over the next two years. He is looking for a letter of support from the Town of Carleton Place to participate as a partner municipality in this application.
COMMENT:
The Town of Carleton Place relies on the Mississippi River at its source of municipal drinking water, as the receiving stream for its Wastewater Treatment Facility and as an important natural and recreational asset for the Town's residents. Recognizing that climate change adaptation plans of municipalities and other sectors upstream of Carleton Place can affect the quantity and quality of the River through Carleton Place, broad stakeholder involvement in addressing projected climate impacts and developing collaborative adaptation plans at the watershed scale will assist in protecting this important resource. For these reasons, the Town should strongly support the development of this Watershed Plan.
The funding under this program will MVCA staff to coordinate development of the Mississippi River Watershed Plan.
FINANCIAL IMPLICATIONS
There are no financial implications to the Town associated with the recommendation as the MVCA will be applying for $100,000 in funding from the FCM's grant program and the remaining 20% will be paid by the MVCA from their budget.
STAFF RECOMMENDATION:
THAT the Chief Administrative Officer be directed to provide a letter of support to the Mississippi Valley Conservation Authority for its application under the Federation of Canadian Municipalities' Climate Innovation Program to develop a Watershed Plan for the Mississippi River.
|
CENTRE OF TESTING SERVICE INTERNATIONAL
OPERATE ACCORDING TO ISO/IEC 17025
TEST REPORT
Test Report Number : CGZ2140630-0025-C-R1
PAGE: 1 of 13
Table of contents
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
Fl.2 south Huoju Building, No.181 canghai Rd., Jiangdong High-tech Park Ningbo China
1 General Information
1.1 Application Details
Name : MICHITOY INTERNATIONAL CO.,LTD
Address : 11F, NO.159, SEC.2, HSIN-HAI ROAD, TAIPEI, TAIWAN
Contact : /
Telephone : +886-2-27332488
Fax: /
Mobile telephone: /
Email
: /
1.2 Manufacturer & Buyer
Manufacturer name : /
Address : /
Contact : /
Telephone : /
Fax: /
Mobile telephone: /
Email
: /
Buyer name: /
1.3 Description of the Test Item
Sample name :
LOOM BANDS SET , TRAINER PACK, FUN LOOM KIT SV11617(210299), SV11786(407116), SV11707(406836), SV11634(407003), SV11757(406331), SV11675(406414), SV11747(407057), SV11755(407144)
Model No. :
Brand name : /
Condition of sample(s) : EFFECTIVE
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
TEST REPORT
REPORT No.: CGZ2140630-0025-C-R1
DATE: Jul. 31, 2014
PAGE: 2 of 13
2 Test Results
2.1 General Information
2.1.1 Sample Receiving Date
Jun. 30, 2014
2.1.2 Testing Period
Jun. 30, 2014 to Jul. 03, 2014
2.1.3 Test Requested
Please refer to the following page(s)
2.1.4 Test Method
Please refer to the following page(s)
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
+86-574-87907993 ：
TEST REPORT
REPORT No.: CGZ2140630-0025-C-R1
DATE: Jul. 31, 2014
PAGE: 3 of 13
PAGE: 4 of 13
2.2 Results
2.2.1 Migration of certain elements
With reference to EN 71-3:2013.
a) Extractable Chromium (VI) – Analysis was performed by IC-UV/VIS.
b) Extractable Organic Tin – Analysis was performed by GC/MS.
c) All other elements – Analysis was performed by Inductively Coupled Argon Plasma –Atomic Emission Spectrometry.
Category III
| Sample Description | No.1△ | Milk white plastic / Transparent plastic board / Transparent plastic hook(mixed) | | | |
|---|---|---|---|---|---|
| | No.2△ | Purple plastic / Rosy plastic / Semi- transparent Green plastic (mixed) | | | |
| | No.3△ | Blue plastic / Green plastic / Pink plastic (mixed) | | | |
| Element | Unit | Limit | Result | | |
| | | | No.1△ | No.2△ | No.3△ |
| Extractable Aluminium (Al) | mg/kg | 70,000 | <50 | <50 | <50 |
| Extractable Antimony (Sb) | mg/kg | 560 | <5 | <5 | <5 |
| Extractable Arsenic (As) | mg/kg | 47 | <5 | <5 | <5 |
| Extractable Barium (Ba) | mg/kg | 18,750 | <50 | <50 | <50 |
| Extractable Boron (B) | mg/kg | 15,000 | <50 | <50 | <50 |
| Extractable Cadmium (Cd) | mg/kg | 17 | <3 | <3 | <3 |
| Extractable Chromium (III) (Cr (III)) # | mg/kg | 460 | <5 | <5 | <5 |
| Extractable Chromium (VI) (Cr (VI)) # | mg/kg | 0.2 | <0.2 | <0.2 | <0.2 |
| Extractable Cobalt (Co) | mg/kg | 130 | <5 | <5 | <5 |
| Extractable Copper (Cu) | mg/kg | 7,700 | <50 | <50 | <50 |
| Extractable Lead (Pb) | mg/kg | 160 | <5 | <5 | <5 |
| Extractable Manganese (Mn) | mg/kg | 15,000 | <50 | <50 | <50 |
| Extractable Mercury (Hg) | mg/kg | 94 | <5 | <5 | <5 |
| Extractable Nickel (Ni) | mg/kg | 930 | <5 | <5 | <5 |
| Extractable Selenium (Se) | mg/kg | 460 | <5 | <5 | <5 |
| Extractable Strontium (Sr) | mg/kg | 56,000 | <50 | <50 | <50 |
| Extractable Tin (Sn) | mg/kg | 180,00 0 | <1 | <1 | <1 |
| Extractable Organic Tin | mg/kg | 12 | <0.2 | <0.2 | <0.2 |
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
Tel：+86-574-87912121 (16 lines) Fax： Complaint line：+86-574-87908003 E-mail
PAGE: 5 of 13
| Sample Description | No.4△ | | | | |
|---|---|---|---|---|---|
| | No.5△ | | | | |
| | No.6△ | | | | |
| | No.7 | | | | |
| Element | Unit | Limit | | | |
| | | | No.4△ | No.5△ | No.6△ |
| Extractable Aluminium (Al) | mg/kg | 70,000 | <50 | <50 | <50 |
| Extractable Antimony (Sb) | mg/kg | 560 | <5 | <5 | <5 |
| Extractable Arsenic (As) | mg/kg | 47 | <5 | <5 | <5 |
| Extractable Barium (Ba) | mg/kg | 18,750 | <50 | <50 | <50 |
| Extractable Boron (B) | mg/kg | 15,000 | <50 | <50 | <50 |
| Extractable Cadmium (Cd) | mg/kg | 17 | <3 | <3 | <3 |
| Extractable Chromium (III) (Cr (III)) # | mg/kg | 460 | <5 | <5 | <5 |
| Extractable Chromium (VI) (Cr (VI)) # | mg/kg | 0.2 | <0.2 | <0.2 | <0.2 |
| Extractable Cobalt (Co) | mg/kg | 130 | <5 | <5 | <5 |
| Extractable Copper (Cu) | mg/kg | 7,700 | <50 | <50 | <50 |
| Extractable Lead (Pb) | mg/kg | 160 | <5 | <5 | <5 |
| Extractable Manganese (Mn) | mg/kg | 15,000 | <50 | <50 | <50 |
| Extractable Mercury (Hg) | mg/kg | 94 | <5 | <5 | <5 |
| Extractable Nickel (Ni) | mg/kg | 930 | <5 | <5 | <5 |
| Extractable Selenium (Se) | mg/kg | 460 | <5 | <5 | <5 |
| Extractable Strontium (Sr) | mg/kg | 56,000 | <50 | <50 | <50 |
| Extractable Tin (Sn) | mg/kg | 180,000 | <1 | <1 | <1 |
| Extractable Organic Tin | mg/kg | 12 | <0.2 | <0.2 | <0.2 |
Note
: 1. <= less than
2. Unit: mg/kg = ppm
3. △ The samples was/were analyzed on behalf of the applicant as mixing sample in one testing. The above resultswas/were only given as the informality value.
4. Categories of various toy materials
Category I: Dry, brittle, powder like or pliable Solid toy material from which powder-like material is released during playing and semi-solid materials that may also leave residues on the hands during play. The material can be ingested.
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
Fl.2 south Huoju Building, No.181 canghai Rd., Jiangdong High-tech Park Ningbo China
Tel：+86-574-87912121 (16 lines) Fax： Complaint line：+86-574-87908003 E-mail
PAGE: 6 of 13
Contamination of the hands with the material may contribute to the oral exposure of the material. (e.g. the cores of colouring pencils, chalk, crayons, modelling clays and plaster).
Category II: Liquid or sticky
Fluid or viscous toy material, which can be ingested or to which dermal exposure may occur during playing. (e.g. liquid paints, finger paints, liquid ink in pens, glue sticks, slimes, bubble solution).
Category III : Scraped-off
Solid toy material with or without a coating, which can be ingested as a result of biting, tooth scraping, sucking or licking. (e.g. coatings, lacquers, plastics, paper, textiles, glass, ceramic, metallic, wooden, bone, leather and other materials).
5. # This test is not covered by CNAS accreditation.
6.The test results only apply to the materials requested by applicant.
7. The report is amended from the report CGZ2140630-0025-C. The report CGZ2140630-0025-C become invalid.
Written by:
Inspected by: Approved by:
*** End of Report ***
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
Fl.2 south Huoju Building, No.181 canghai Rd., Jiangdong High-tech Park Ningbo China：
+86-574-87907993 ：
+86-574-87908003 E-mail
PAGE: 7 of 13
3 Sample Reference Photo
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
PAGE: 8 of 13
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
Tel：+86-574-87912121 (16 lines) Fax： Complaint line：+86-574-87908003 E-mail
PAGE: 9 of 13
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
+86-574-87907993：
PAGE: 10 of 13
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
Tel： Complaint line
+86-574-87912121 (16 lines) Fax： ：+86-574-87908003 E-mail
PAGE: 11 of 13
Test sample
Test sample
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
PAGE: 12 of 13
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
PAGE: 13 of 13
The measurement results only apply to the submitted samples.
Copyright of this report is owned by Centre of Testing Service and may not be reproduced other than in full except with the written approval of the issuing Company.
Fl.2 south Huoju Building, No.181 canghai Rd., Jiangdong High-tech Park Ningbo China
： ：
+86-574-87907993
|
Rating Action: Moody's changes outlook to stable on Orkuveita Reykjavikur's B1
rating
Global Credit Research - 16 Dec 2013
London, 16 December 2013 -- Moody's Investors Service has today affirmed the B1 issuer rating of Orkuveita Reykjavikur (OR, also known as Reykjavik Energy) and changed the rating outlook to stable from negative.
RATINGS RATIONALE
Moody's rating affirmation and stabilisation of the outlook recognises OR's improved access to liquidity and the progress the company has made with regard to strengthening its financial profile over the past two years.
OR's credit profile has improved owing to the company's strict implementation of a five-year plan approved by the board of directors in March 2011. The plan aims to turn around the company's operations so that it can continue to provide its services as a public utility. Owing to a very strong management commitment, the company has outperformed on its targets regarding items controllable by management, which include reducing costs and investments as well as postponing certain investments. As previously cautioned by Moody's, the biggest challenge for OR has been around executing asset sales given that these are not directly under management control. Albeit with a delay, OR has now managed to complete the sale of assets for a total of ISK7.4 billion (EUR46 million), which is close to the company's target of ISK8.1 billion (EUR50 million) set for the years 2011-13.
OR's liquidity has also improved owing to the company's execution of a number of medium-term bank facilities and hedging agreements. These agreements give the company greater visibility over funding and help to protect it from volatility in commodity and financial markets.
The company's financial profile has strengthened as a result of the consistent implementation of tariff increases and cost discipline. Whilst the exchange rate risk remains high due to a significant mismatch between OR's revenues and debt, the company managed to reduce its debt burden to ISK207 billion (EUR1.3 billion) as of endSeptember 2013 from ISK231 billion (EUR1.4 billion) at end-2012.
Moody's notes that the unbundling process, which is to be completed by 1 January 2014, does not affect OR's rating. Separation of the competitive and regulated activities will not result in the group exhibiting a different business or financial risk profile. OR will remain a parent company for the group and the main borrower. Future funding will be raised at the parent company with the only exception related to OR's fibre optic business, which is, however, very small in the context of the group's finances. Given that virtually all of OR's debt will be raised by the parent company and downstreamed to the operating companies via intercompany loans, there should be no issue of structural subordination to OR's creditors.
OR is a partnership and under its governing act the partners -- the City of Reykjavik, which owns 93.5% of OR, and two other municipalities, the Municipality of Akranes and the Municipality of Borgabyggd, which have stakes of 5.5% and 1% respectively -- are responsible for all the company's liabilities in proportion to their shareholding (a "guarantee of collection"). The company's B1 rating incorporates two notches of uplift for potential extraordinary support to the company's baseline credit assessment (BCA) -- a measure of standalone credit strength -- of b3.
OR's rating factors in positively (1) the company's strategic importance to Reykjavik, and Iceland more broadly, given that the company provides essential utility services to more than 70% of the Iceland's population and (2) the high proportion of OR's activities that are regulated, which account for around 60% of the company's EBITDA. The rating is, however, constrained by (1) OR's still high financial leverage; (2) its exchange rate risk; (3) the company's exposure to aluminium prices; and (4) its limited financial flexibility with regard to liquidity, given the company's very substantial debt (ISK207 billion, or EUR1.3 billion, as of end-September 2013).
RATIONALE FOR STABLE OUTLOOK
The stable rating outlook reflects Moody's expectation that OR will continue to prudently manage its financial and liquidity position.
WHAT COULD CHANGE THE RATING UP/ DOWN
Moody's could consider an upgrade if (1) OR continued to demonstrate its access to debt markets and ability to withstand significant volatility in commodity and financial markets, and (2) the company's funds from operation (FFO)/ debt ratio was above 10% on a sustainable basis. This would also assume no changes to the support from the owners assumption incorporated into OR's rating.
Conversely, Moody's could downgrade OR's rating if it appears likely that the company's currently available bank lines are not sufficient to insulate it from market risks, particularly in relation to exchange rates, interest rates or aluminium prices. The rating would also come under downward pressure if (1) there were delays in the execution of the five-year plan, which would result in increased funding requirements; and (2) the company were not able to raise debt in the domestic or international markets.
PRINCIPAL METHODOLOGY
The principal methodology used in this rating was Government-Related Issuers: Methodology Update published in July 2010. Please see the Credit Policy page on www.moodys.com for a copy of this methodology.
OR is the largest multi-utility in Iceland providing electricity, hot water, heating, cold water and waste services to more than 70% of the Icelandic population. It is Iceland's second-largest electric utility after Landsvirkjun. As at fiscal year ending 2012, the company had revenues of ISK38 billion (EUR235 million).
REGULATORY DISCLOSURES
For ratings issued on a program, series or category/class of debt, this announcement provides certain regulatory disclosures in relation to each rating of a subsequently issued bond or note of the same series or category/class of debt or pursuant to a program for which the ratings are derived exclusively from existing ratings in accordance with Moody's rating practices. For ratings issued on a support provider, this announcement provides certain regulatory disclosures in relation to the rating action on the support provider and in relation to each particular rating action for securities that derive their credit ratings from the support provider's credit rating. For provisional ratings, this announcement provides certain regulatory disclosures in relation to the provisional rating assigned, and in relation to a definitive rating that may be assigned subsequent to the final issuance of the debt, in each case where the transaction structure and terms have not changed prior to the assignment of the definitive rating in a manner that would have affected the rating. For further information please see the ratings tab on the issuer/entity page for the respective issuer on www.moodys.com.
For any affected securities or rated entities receiving direct credit support from the primary entity(ies) of this rating action, and whose ratings may change as a result of this rating action, the associated regulatory disclosures will be those of the guarantor entity. Exceptions to this approach exist for the following disclosures, if applicable to jurisdiction: Ancillary Services, Disclosure to rated entity, Disclosure from rated entity.
Regulatory disclosures contained in this press release apply to the credit rating and, if applicable, the related rating outlook or rating review.
Please see www.moodys.com for any updates on changes to the lead rating analyst and to the Moody's legal entity that has issued the rating.
Please see the ratings tab on the issuer/entity page on www.moodys.com for additional regulatory disclosures for each credit rating.
Joanna Fic Vice President - Senior Analyst Infrastructure Finance Group Moody's Investors Service Ltd. One Canada Square Canary Wharf London E14 5FA United Kingdom
JOURNALISTS: 44 20 7772 5456
SUBSCRIBERS: 44 20 7772 5454
Andrew Blease Associate Managing Director Infrastructure Finance Group
JOURNALISTS: 44 20 7772 5456
SUBSCRIBERS: 44 20 7772 5454
Releasing Office: Moody's Investors Service Ltd. One Canada Square Canary Wharf London E14 5FA United Kingdom JOURNALISTS: 44 20 7772 5456 SUBSCRIBERS: 44 20 7772 5454
© 2013 Moody's Investors Service, Inc. and/or its licensors and affiliates (collectively, "MOODY'S"). All rights reserved.
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|
Chapter 11. Equalizer
An equalizer changes the magnitude of frequencies in selected bands, while leaving other frequency bands unchanged. It can be implemented with a single frequency filter, similarly to the high pass filter employed in the bass chorus. Calculating the coefficients of the equalizer filter is only slightly more complex.
A simple equalizer is presented in chapter 11 in volume 1. The equalizer frequency filter is the sum of several separate filters. Each of these filters passes the frequencies in a specific frequency band and stops the frequencies outside of that band. Applying gain to these individual filters means applying gain to the frequencies in the corresponding frequency band, but not to any other frequencies. The output of the equalizer filter is equivalent to the sum of the output of individual filters. With the additional gain provided by the user, the equalizer increases or decreases the gain of frequencies in specific frequency bands.
11.1. Low pass, high pass, and band pass filters
The following are filter computations used in the equalizer. We reexamine the computations for low pass and high pass filters and present computations for band pass and band stop filters.
Code 60. Low pass filter
```
public static void computeLowPassFilter(float [] a, float fc, float fs) { // This function creates a finite impulse response low pass filter. The // filter coefficients are placed in the floating-point array a. The length // of the filter is the length of a. fc is the cutoff frequency of the // filter. fs is the sampling frequency // Calculate the coefficients of the low pass filter for(int i = 0; i < a.length; i++) { if(i == (a.length - 1) / 2) a[i] = 2 * fc / fs; else a[i] = (float) (Math.sin(2D * Math.PI * fc * (i - (a.length - 1) / 2) / fs) / (Math.PI * (i - (a.length - 1) / 2))); } // Apply a Blackman window to the low pass filter to reduce its Gibbs // phenomenon ripples blackmanWindow(a); }
```
The difference between this computation and the computation used in creating the bass chorus high pass filter is the Blackman window. We window the low pass filter to reduce the Gibbs
phenomenon ripples characteristic of finite impulse response filters. Although adding a window is not required, it makes the magnitude response of the equalizer smoother.
Code 61. Blackman window
```
public static void blackmanWindow(float [] a) { // This function applies a Blackman window to the filter a. The length of the // window is the same as the length of a. The coefficients of the filter a // must be computed beforehand for(int i = 0; i < a.length; i++) a[i] *= (0.42 - 0.5D * Math.cos((2D * Math.PI * i) / (double) (a.length - 1))) + 0.08 * Math.cos((4D * Math.PI * i) / (double) (a.length - 1)); }
```
There are many possible windows and the choice of window depends on the task at hand. For example, if we want a very smooth magnitude response of the equalizer, we might want to add a Bartlett-Hann window. We can do so with the understanding that the magnitude response of a filter with the Bartlett-Hann window may have large transition bands and we therefore cannot create an equalizer that produces sharp changes from the gain in one frequency band to the gain in a neighboring frequency band. The Bartlett-Hann window can be computed as follows.
Code 62. Bartlett-Hann window
```
public static void bartlettHannWindow(float [] a) { // This function applies a Blackman window to the filter a. The length of the // window is the same as the length of a. The coefficients of the filter a // must be computed beforehand for(int i = 0; i < a.length; i++) a[i] *= 0.62 - 0.48 * Math.abs((double) i / (a.length - 1)) - 0.38 * Math.cos((2D * Math.PI * i) / (double) (a.length - 1)); }
```
A high pass filter can be computed from the low pass filter as before.
Code 63. High pass filter
```
public static void computeHighPassFilter(float [] a, float fc, float fs) { // This function creates a finite impulse response high pass filter. The // filter coefficients are placed in the floating-point array a. The length // of the filter is the length of a. fc is the cutoff frequency of the // filter. fs is the sampling frequency
```
// Create a low pass filter. Note that we are inverting a low pass filter // with a window and so the high pass filter computed here is also windowed computeLowPassFilter(a, fc, fs); // Invert the low pass filter into a high pass filter for(int i = 0; i < a.length; i++) a[i] *= -1F; a[(a.length - 1) / 2]++; } A band stop filter is the sum of a low pass filter and a high pass filter. Here, of course, we expect that if fclow is the lower cutoff frequency of the band stop filter and fchigh is the higher cutoff frequency, then fchigh > fclow. Code 64. Band stop filter public static void computeBandStopFilter(float [] a, float fclow, float fchigh, float fs) { // This function creates a finite impulse response band stop filter. The // filter coefficients are placed in the floating-point array a. The length // of the filter is the length of a. fclow is the bottom cutoff frequency of // the filter. fchigh is the top cutoff frequency of the filter. fs is the // sampling frequency // Compute a low pass filter at the lower cutoff frequency computeLowPassFilter(a, fclow, fs); // Compute a high pass filter at the higher cutoff frequency float [] b = new float [a.length]; computeHighPassFilter(b, fchigh, fs); // Sum the two filters for (int i = 0; i < a.length; i++) a[i] = a[i] + b[i]; } A band pass filter is an inverted band stop filter. Code 65. Band pass filter public static void computeBandPassFilter(float [] a, float fclow, float fchigh, float fs) { // This function creates a finite impulse response band pass filter. The // filter coefficients are placed in the floating-point array a. The length // of the filter is the length of a. fclow is the bottom cutoff frequency of // the filter. fchigh is the top cutoff frequency of the filter. fs is the // sampling frequency
```
// Create a band stop filter computeBandStopFilter(a, fclow, fchigh, fs); // Invert the band stop filter into a band pass filter for(int i = 0; i < a.length; i++) a[i] *= -1F; a[(a.length - 1) / 2]++; }
```
11.2. The equalizing filter
Conceptually, the equalizer presented here is a collection of low pass, high pass, and band pass filters. These filters split the incoming signal into several signals, each fitting into a separate frequency interval. Thus, some filters split out the low frequencies, some filters split out the mid frequencies, and some filters split the high frequencies. We can use as many such frequency bands as we wish. Once the signals are separated, the equalizer applies some gain to each of them (e.g., to lower mids and boost highs) and puts them back together.
In practice, all equalizer computations are linear, since we are using finite impulse response filters. We can change the order of tasks in the pseudo algorithm in the previous paragraph. Instead of splitting the signal, applying gain, and putting the signal back together, we take the set of equalizer filters, apply gain to them, and combine them into one single equalization filter. We then simply apply this one filter to the signal.
The equalizer presented below is simple. Frequency bands are fixed and cannot be adjusted by the user. The filter length, which determines the precision of the equalizer, is also fixed and cannot be changed by the user. The user can only change the gains applied to each of the frequency bands in the equalizer.
In practice, an equalizer may allow the user to adjust not only the gains on frequency bands, but also the bands themselves and the length of the filter. The structure of the equalizer below can be adjusted easily to allow for such changes. For example, a fixed band and fixed precision equalizer can compute the individual frequency band filters once, in its constructor. Below, these computations are performed during the call to the apply function. The equalizer can be changed easily to allow changes to bands and precision. Where such changes should occur is noted below.
The following are the member data of the equalizer.
int NUMBANDS – This is the number of bands in the equalizer. In a fixed band equalizer, this variable is fixed. If the user can change the number of bands, the user should also be allowed to change the actual bands BANDS below.
int FILTERLENGTH – This is the length of the filter. The code below works whether this is a final constant or a variable that the user can change. Modifying this variable changes the precision of the equalizer.
float [] BANDS – These are the bands of the equalizer. Suppose, for example, that we have a 10-band equalizer (i.e., NUMBANDS = 10). We wish to split the frequency spectrum between 20 Hz and 22000 Hz – the lower and upper limits of the human hearing – into 10 bands. We want to do so evenly, but exponentially, as this is how the human ear perceives frequencies. We set the top of the first band at (22000 / 20) 1/10 = 40 Hz, the top of the second band at (22000 / 20) 2/10 = 81 Hz and so on. The length of BANDS is NUMBANDS. Both variables can be final or subject to user changes.
boolean m_filtersSet – This variable shows whether the filter for each of the frequency bands has been computed (true) or needs to be computed (false). In a fixed band equalizer, the filters for each frequency band can be computed only once, in the equalizer constructor. If the user changes the equalizer bands, this variable should be set to false so that the equalizer can recompute the individual band filters accordingly.
boolean m_totalFilterSet – This variable shows whether the equalizer filter has been computed (true) or needs to be recomputed (false). Even if the individual band filters stay the same, the total equalizer filter must be recomputed any time the user changes the gains applied to the frequency bands.
float [] m_h – This array contains the equalizer filter coefficients. This array can be allocated once in a fixed band equalizer, but must be allocated again, if the user changes FILTERLENGTH.
Band [] m_bands – These are the bands of the equalizer. Band is the following simple class.
```
public class Band { public float m_lowCutoff; // the bottom cutoff frequency public float m_highCutoff; // the top cutoff frequency public float m_gain; // the gain applied to the band public float m_h[]; // the band pass filter }
```
Code 66. An equalizer band
The members of Band are as follows.
float m_lowCutoff – This is the bottom end of the frequency band and the bottom cutoff frequency for the corresponding filter.
float m_highCutoff – This is the top end of the frequency band and the top cutoff frequency of the corresponding filter.
float m_gain – This is the gain that the user applies to the signal in the frequency band. The gain is measured in decibels.
float [] m_h – This is the low pass, high pass, or band pass filter that is used to "extract" the frequencies in the frequency band.
The equalizer constructor sets up the frequency bands as follows.
```
m_bands = new Band[NUMBANDS]; for(int i = 0; i < NUMBANDS; i++) { m_bands[i].m_h = null; m_bands[i].m_gain = 0; } m_bands[0].m_lowCutoff = 0; m_bands[0].m_highCutoff = BANDS[0]; for(int i = 1; i < NUMBANDS; i++) { m_bands[i].m_highCutoff = BANDS[i]; }
```
Code 67. Equalizer bands
```
public void computeFilter(AudioFormat format) { // use the sampling rate // Allocate the filter arrays for(int i = 0; i < NUMBANDS; i++) { if (m_bands[i].m_h == null) m_bands[i].m_h = new float[FILTERLENGTH]; if (m_bands[i].m_h.length != FILTERLENGTH) m_bands[i].m_h = new float[FILTERLENGTH]; } // The first (lowest) band uses a low pass filter computeLowPassFilter(m_bands[0].m_h, m_bands[0].m_highCutoff, format.getSampleRate()); // The last (highest) band uses a high pass filter computeHighPassFilter(m_bands[NUMBANDS - 1].m_h, m_bands[NUMBANDS - 1].m_lowCutoff, format.getSampleRate()); // The remaining bands use band pass filters for(int i = 1; i < NUMBANDS - 1; i++)
```
```
m_bands[i].m_lowCutoff = BANDS[i - 1]; The individual band filters can be computed as follows. Code 68. Equalizer band filters // The audio format of incoming data is needed, as the filter calculations
```
{ computeBandPassFilter(m_bands[i].m_h, m_bands[i].m_lowCutoff, m_bands[i].m_highCutoff, format.getSampleRate()); } m_filtersSet = true; } The total equalizer filter is simply the sum of the individual band filters, with the corresponding gain applied. Code 69. Total equalizer filter // the gain is assumed to be in decibels and must be converted to a multiple
```
```
public void computeTotalFilter() { // allocate and initialize the total filter array if(m_h == null) m_h = new float[FILTERLENGTH]; else if(m_h.length != FILTERLENGTH) m_h = new float[FILTERLENGTH]; for(int i = 0; i < FILTERLENGTH; i++) m_h[i] = 0.0F; // Simply sum the individual band filters with the appropriate gain for(int i = 0; i < NUMBANDS; i++) { float gain = (float) Math.pow(10D, m_bands[i].m_gain / 20F); for(int j = 0; j < FILTERLENGTH; j++) m_h[j] += gain * m_bands[i].m_h[j]; } m_totalFilterSet = true; }
```
11.3. Implementation of the equalizer
The following is the constructor of the equalizer.
```
public Equalizer() { // Create the equalizer bands based on the information in BANDS m_bands = new Band[NUMBANDS]; for(int i = 0; i < NUMBANDS; i++) { m_bands[i].m_h = null; m_bands[i].m_gain = 0;
```
Code 70. Equalizer constructor
}
```
m_bands[0].m_lowCutoff = 0; m_bands[0].m_highCutoff = BANDS[0]; for(int i = 1; i < NUMBANDS; i++) { m_bands[i].m_lowCutoff = BANDS[i - 1]; m_bands[i].m_highCutoff = BANDS[i]; } // The total equalizer filter is computed during playback, in case the // user makes changes to the gains of individual bands (or to the bands // themselves, if this is a parametric equalizer) m_h = null; m_filtersSet = false; m_totalFilterSet = false; m_storeBuffers = new Vector<byte []>(0); } The following code is executed at the beginning of playback. Code 71. Equalizer at the beginning of playback public void startPlay() { m_filtersSet = false; m_totalFilterSet = false; m_storeBuffers.setSize(0); } Once the filter is computed, the implementation of the equalizer is the same as the application of the high pass filter in the bass chorus. Code 72. Equalizer public void apply(byte [] dry, byte [] wet, byte [] control, AudioFormat format, double time) { // Calculate the individual filters, if needed. This must happen if the user // changes the filter length (precision) or the position of the frequency // bands if(!m_filtersSet) computeFilter(format); // Calculate the total equalizer filter, if needed. This must happen if the // user changes the filter length, the frequency bands, or the gain applied to // any of the bands if(!m_totalFilterSet) computeTotalFilter();
// Initialize variables int blockAlign = (format.getChannels() * format.getSampleSizeInBits()) / 8; float sFrom = 0.0F; float sTo = 0.0F; // Store incoming audio data byte [] storeBuffer = new byte [dry.length]; System.arraycopy(dry, 0, storeBuffer, 0, dry.length); m_storeBuffers.add(storeBuffer); // Calculate how far back the equalizer should look to apply the filter. At // each sample, the filter uses the previous FILTERLENGTH samples int curBufferStart = m_storeBuffers.size() - 1; int curByteStart = -FILTERLENGTH * blockAlign; while (curByteStart < 0) { curByteStart += dry.length; curBufferStart--; } byte bufferFromStart[] = null; if(curBufferStart >= 0) bufferFromStart = m_storeBuffers.get(curBufferStart); // Remove unused past audio buffers while (curBufferStart > 0) { m_storeBuffers.remove(0); curBufferStart--; } // Apply the filter at each sample for(int i = 0; i < dry.length; i += blockAlign, curByteStart += blockAlign) { if(curByteStart >= dry.length) { curBufferStart++; bufferFromStart = m_storeBuffers.get(curBufferStart); curByteStart = 0; } int curBuffer = curBufferStart; int curByte = curByteStart; byte bufferFrom[] = bufferFromStart; sTo = 0.0F; // Apply the filter at a sample
```
for(int j = 0; j < FILTERLENGTH; j++, curByte += blockAlign) { if(curByte >= dry.length) { curBuffer++; bufferFrom = m_storeBuffers.get(curBuffer); curByte = 0; } if(curBufferStart >= 0) { sFrom = (short)(((bufferFrom[curByte + 1] & 0xff) << 8) + (bufferFrom[curByte] & 0xff)); sTo += sFrom * m_h[j]; } } // Store the output sTo = Math.max(Math.min(sTo, Short.MAX_VALUE), Short.MIN_VALUE); wet[i] = (byte)((int)sTo & 0xff); wet[i + 1] = (byte)((int)sTo >>> 8 & 0xff); } }
```
Note that the equalizer uses filters of equal length and, for neighboring filters, with the same cutoff frequencies. This ensures that a smooth transition from one frequency band to another. If, for example, the user specifies 0 dB gain in each of the frequency bands, this equalizer should produce a flat magnitude response (i.e., without any peaks, dips, or ripples).
11.4. Magnitude response of the equalizer
Suppose that we want to calculate how the filter affects frequencies in the frequency spectrum. The actual magnitude response of the equalizer is different than the desired one. Perhaps we want to draw this actual response for the user.
The following function calculates the magnitude response of the filter for a frequency.
Code 73. Magnitude response of the equalizer
```
public float magnitudeResponse(float [] a, float f, float fs) { // a is the filter, the magnitude response of which we want to compute // f is the frequency at which the magnitude response is computed // fs is the sampling frequency // Compute the angular frequency corresponding to the frequency f double w = 2 * Math.PI * f / fs; // Since our filters are symmetric around their middles, calculate the // the middle to reduce the computations that follow
```
int M = (a.length - 1) / 2; // Compute the magnitude response at f float output = a[M]; for(int i = 0; i < M; i++) output += 2 * a[i] * Math.cos(w * (i - M)); // The result is the magnitude response of the filter, as a multiple // (i.e., a response of 1 means there were no changes to the magnitude // of f return Math.abs(output); }
```
11.5. Phase response of the equalizer
Note that the equalizer does not allow dry and wet mix. There should be no reason to mix the original and the equalized signal and hence there is no reason to compute the phase.
```
public boolean allowsDryWetMix()
```
Code 74. Dry and wet mix in the equalizer
```
{ return false; }
```
If we wanted to allow dry and wet mix, we must recognize that the equalized wet signal is delayed by (FILTERLENGTH – 1) / 2, assuming FILTERLENGTH is an odd number. This means that we also must delay the original signal by the same number of samples.
|
'Tony Blair, New Labour, and the Politics of Selective Education'
Word Count: 14,951
This dissertation is submitted as part of the Tripos Examination in the Faculty of History, Cambridge University, April 2024.
Table of Contents
List of Figures
Figure One: Map depicting the distribution of the 166 state grammar schools in England, using data from the 1998 School Standards and Framework Act. Map from 'List of grammar schools in England', Wikipedia, last accessed 17 April 2024, https://en.wikipedia.org/wiki/List_of_grammar_schools_in_England.
List of Abbreviations
CASE: Campaign for the Advancement of State Education.
DES: Department for Education and Skills.
DfE: Department for Education.
DfEE: Department for Education and Employment.
EAZ: Education Action Zone.
LEA: Local Education Authority.
NUT: National Union of Teachers
Ofsted: Office for Standards in Education, Children's Services, and Skills.
SATs: Standard Attainment Tests.
SSFA: School Standards and Framework Act.
Acknowledgements
With immense thanks to my supervisor Professor Peter Sloman, who has provided massive help over the course of this project, put faith in me, and ultimately contributed a significant amount to my academic development.
I would also like to extend my thanks to my family, friends, and former school teachers and supervisors, who have all played their part in allowing me to have the privilege of conducting this research and embracing my time at Cambridge University.
Introduction
'Read my lips. No selection, either by examination or interview, under a Labour government.' 1 From this statement alone, which was made at the 1995 Labour Party Conference, it appeared that Shadow Secretary of State for Education and Employment David Blunkett would pursue the full abolition of academic selection and grammar schools. Invoking the spirit of Anthony Crosland, who wanted to 'destroy every fucking grammar school' in England, Wales, Scotland, and Northern Ireland, Blunkett indicated that he would oversee the completion of the comprehensivisation programme. 2
However, New Labour's thirteen years in power did not impact on the selective nature of the 164 grammar schools which existed in 1995. Blunkett later claimed that he meant to say 'no further selection', rather than abolishing it where it existed. 3 His tone shifted, and, by March 2000, he claimed that it was time to end 'Labour's historic campaign against grammar schools'. 4 Rather, he argued that they would disappear by 2011, without state intervention. 5 This was because, after Labour had raised standards in schools across the country, all schools would offer academic excellence, making the eleven-plus a 'total anachronism'. 6
In fact, there was an increase in selection from January 2000, when the government reintroduced the specialist schools programme. These schools were able to select up to ten per cent of their students, and were justified as a means of providing a more diverse range
1 Roy Hattersley, 'Blunkett's Biggest Lie', The Guardian, 26 September 2005.
2 Susan Crosland: Tony Crosland (London: Cape, 1982), p. 148.
3 Rebecca Smithers, 'Blunkett defends 11-plus stance', The Guardian, 13 March 2000.
4 Blunkett quoted in Derek Gilliard, 'Labour and the Grammar Schools: a history', FORUM 59 (2017), p. 388.
5 Liz Lightfoot, 'Grammars will be gone by 2011, says Blunkett', The Telegraph, 14 July 2000.
6 Ibid.
of schools. 7 By February 2003, thirty-eight per cent of state secondary schools in England specialised, meaning the politics of selection took on a new dimension by the twenty-first century. 8 New maintained grammar schools had been banned under the 1998 School Standards and Framework Act (SSFA), but selection remained a feature of the education system.
This dissertation explains both how and why the Labour Party's approach to selection developed under Tony Blair's leadership. To what extent did rhetoric and policy change from Labour in opposition to New Labour in its first and second terms? Why did the party, in spite of longstanding policy, distance itself from a commitment to end selection via the elevenplus? Why did Labour increase partial selection in the twenty-first century?
Besides its substantive importance, New Labour's handling of educational selection is worth studying for three broader reasons. Firstly, 'education, education, education' was central to the Blair project. 9 An insight into their approach to selection allows for an exploration into their positioning on the purpose of education and its relationship with the economy. This can also contribute to more familiar debates about the extent to which New Labour was an 'accommodation' of Margaret Thatcher's legacy in economic policy. 10
7 The National Archives of the United Kingdom, Kew, Department for Education and Science, ED 207/61. Briefing on selection policies for grant-maintained schools, February 1998.
8 Polly Curtis, 'Clarke vows to make all schools 'special'', The Guardian, 10 February 2003.
9 Ewen Macaskill, 'Blair's promise – Everyone can be a winner', The Guardian, 2 October 1996.
10 Many scholars have assessed the extent to which New Labour was an 'accommodation' of Thatcherism and its legacy. See for example: Marc Lenormand, 'Interpreting Thatcherism: The British Labour movement and the political legacy of the period of Conservative rule', Observatoire de la société britannique 17 (2015), 163-179; Richard Heffernan, New Labour and Thatcherism: Political Change in Britain (New York: St. Martin's Press, 2000); John Gray, 'Blair's Project in Retrospect', Royal Institute of International Affairs 80 (2004), 39-48.
Secondly, selection was a symbolic issue for late twentieth century socialists, as it became linked with issues of aspiration and individual choice. For example, there was controversy over the decision of Harriet Harman, the Shadow Secretary of State for Health, to send her son to a grammar school in January 1996. In May 2007, Fiona Millar (a former Special Advisor to Blair) argued that Harman's decision marked 'the moment the rot set into the fibre of Labour education policy', by displaying that 'individual self-interest trumped collective effort'. 11 While this exaggerates the impact of Harman's decision on policy, it reveals the tension over principles such as choice, and raises the issue of New Labour dealing with the intersection between the personal and the political.
Thirdly, and relatedly, it was a divisive issue among New Labour elites, who had often been unified in their commitment to modernisation and how this manifested in policy. Despite this, the issue of selection is an example of disagreement among Blair and his advisors. Blair was tolerant of selection and grammar schools, whereas others, such as Alastair Campbell (Blair's Press Secretary) and Philip Gould (a key advisor), believed strongly that it was detrimental to social mobility. 12 The issue was emotionally provocative, as reflected on by Gould who claimed that the 'idea of selection at eleven was anathema to almost everyone in the party'. 13
11 Fiona Millar, 'Why I won't back Harriet Harman', The Guardian, 16 May 2007.
12 Alastair Campbell with Bill Hagerty (eds.), The Alastair Campbell Diaries (London: Hutchinson, 2010), p. 449; Philip Gould, The Unfinished Revolution: How the Modernisers Saved the Labour Party (London: Abacus, 2001), p. 273.
13 Gould, The Unfinished Revolution, p. 273.
Literature Review
This dissertation adds to the increasing historical literature on Britain in the 1990s. For example, David Geiringer and Helen McCarthy's recent project 'Rethinking Britain in the Nineties' aims to begin the first 'serious, empirical work' on the decade. 14 One of the core aspects of this project is to create an appropriate 'meta-narrative', or framework, which represents the decade more accurately than the prevailing, and broad, idea of 'neoliberalism'. 15 Florence Sutcliffe-Braithwaite argued that historians have developed a more insightful framework due to limited study of archival material and therefore, by exploring recently opened files, this study contributes to filling this gap. 16 Geiringer and McCarthy's project also explores periodisation. Pat Thane, for instance, argued that analysing periods of government is more effective for 'tracking political developments' than looking at the decade as a whole. 17
The focus of this work is specifically on New Labour, in its first and second terms, meaning it contributes to the wider historical effort to put New Labour under historical scrutiny. For example, Glen O'Hara has begun to tackle issues of methodology in this period, where he argued that the history of New Labour has been 'highly politicised', predominantly before the opening of archival files. 18 Archival histories of New Labour are also emerging, for example Colm Murphy's 2023 book Futures of Socialism. In this, he argued that education
14 Josh Allen, 'When Was the Nineties?', Past and Present blog (January 2021); Dr David Geiringer and Dr Helen McCarthy, 'Rethinking Britain in the Nineties: Towards a New Research Agenda', Past and Present (JanuaryMarch 2021).
15 Geiringer and McCarthy, 'Rethinking Britain in the Nineties'; Allen, 'When Was the Nineties?'.
16 Florence Sutcliffe-Braithwaite quoted in Allen, 'When Was the Nineties?'.
17 Pat Thane quoted in Allen, 'When Was the Nineties?'.
18 Glen O'Hara, 'New Labour in Power: Five Problems of Contemporary History', The Political Quarterly 94 (2023), p. 223.
was central to New Labour's view of the modern economy, where they moved away from an emphasis on 'industrial capital' and towards 'human capital'. 19 This piece builds on this argument by interrogating how Labour's approach to selection fitted into this view of the economy and to what extent Murphy's argument is a useful explanation for its approach to grammar schools.
Historians have not yet developed a substantial explanation for Labour's policy shift on grammar schools and selection during the 1990s. Most of the literature has been written by former campaigners or teachers. Derek Gilliard, who worked as a teacher for thirty years before retiring in 1997, has argued that New Labour continued Neil Kinnock and John Smith's 'prevarication' towards selection, which led to 'destroying the comprehensive ideal'. 20 Clyde Chitty, another former teacher, argued similarly, suggesting that Blair did not commit to comprehensivisation for electoral, rather than ideological, reasons. 21 He indicated that it was part of Blair's vision that the party could not win an election on 'traditional', Old Labour policies, after the four successive general election losses. 22 As Tony Edwards, Geoff Whitty and Sally Power put it, the dogmatic opposition to selection was perceived as an 'Old Labour view' which was 'quietly forgotten'. 23 Former chair of the anti-grammar school group Comprehensive Future Margaret Tulloch took an alternative angle by positing that there was not enough 'political will' from local people, campaign groups, and the Labour Party to
19 Murphy, Futures of socialism: 'modernisation', the Labour Party, and the British left, 1973-1997 (Cambridge: Cambridge University Press, 2023), p. 231.
20 Gilliard, 'Labour and the Grammar Schools: a history', p. 388.
21 Gilliard, 'Labour and the Grammar Schools: a history', p. 388; Clyde Chitty, New Labour and Secondary Education, 1994-2010 (New York: Palgrave Macmillan, 2013), p. 64.
22 Chitty, New Labour and Secondary Education, p. 61.
23 Tony Edwards, Geoff Whitty and Sally Power, 'Moving Back from Comprehensive Secondary Education?' in Education Policy and Contemporary Politics, ed. Jack Demaine (London: Palgrave Macmillan, 2002), p. 31.
abolish the remaining grammar schools. 24 She extended this by claiming that contemporary attitudes to social mobility and achievement prevented the will from re-emerging, meaning that, where they still existed, grammar schools were viewed as a beneficial part of the local education system. 25
However, it is worth noting that many of these commentators have been shaped by their personal experiences of the 1990s and their roles as contemporary actors. Peter Hennessy has argued that this can distort the writing of history, where he reflects on his own romantic view of post-war Britain and the welfare state. 26 Drawing on the work of Julian Barnes, he claimed that 'writing the history of one's own time is a thing of "paradox"', as it should be integrated with broader ideas of pace and progress, which cannot be understood in 'small and largely undocumented' personal recollections. 27 As a student born in 2003, I have no personal memories of this period – though, of course, this does not mean I am a wholly detached observer. I grew up in one of the areas where the eleven-plus still takes place, so my own educational experiences were shaped by the selective system.
One way of understanding Labour's changing approach to selection in the 1990s is by drawing on literature about earlier periods, and considering how far explanations historians have offered for the rise of comprehensive schooling explain New Labour's retreat from the principle. For example, Peter Mandler emphasised that the attack on selection in the 1960s was driven by 'low' political actors, including parents, grassroots activists and campaign
24 Tulloch, 'Will Selection at 11 Ever End?', The Ins and Outs, p. 139.
25 Ibid., pp. 130-1.
26 Peter Hennessy, Distilling the frenzy: writing the history of one's own times (London: Biteback, 2012), pp. 5-7. 27
Ibid., pp. 5-7.
groups, which influenced the policy of both the Conservative and Labour Party. 28 He suggested that a belief in raising educational standards, encapsulated by the idea of selling comprehensive schools as 'grammar schools for all', was used to justify change. 29 An alternative explanation has been proposed by Anna Olsson Rost and Marc Collinson, who claimed that Labour Party policy slowly evolved due to the 'advocacy' of members of the Fabian Society and National Association of Labour Teachers and their influence over the policymaking structures, putting more emphasis on party politics than Mandler's argument. 30
Methodology
This study primarily draws on archival sources, including government consultation, and correspondence, legislation and letters from school representatives and parents. These include newly opened files at the National Archives, such as documents from the Prime Minister's Office which became available in July 2021, as well as David Blunkett's private papers at the University of Sheffield. These are complemented by material from the Kinnock and Thatcher Papers, held at the Churchill Archives Centre in Cambridge, together with Labour Party files from the People's History Museum in Manchester.
Alongside archival sources, the dissertation uses interviews conducted with politicians and campaigners. These include: Blunkett (former Shadow Secretary of State for Education and Employment, 1994-97 and Secretary of State for Education and Employment, 1997-2001);
28 Peter Mandler, 'Educating the Nation I: Schools', Transactions of the Royal Historical Society 24 (2014), p. 15. 29 Ibid., p. 5.
30 Anna Olsson Rost and Marc Collinson, 'Developing the Labour Party's Comprehensive Secondary Education Policy, 1950-1965: Party Activists as Public Intellectuals and Policy Entrepreneurs', British Journal of Educational Studies, 70 (2022), p. 609, 621.
Charles Clarke (Secretary of State for Education and Skills, 2002-04); Neil Kinnock (Leader of the Labour Party, 1983-1992); Margaret Tulloch (former Secretary of Comprehensive Future); and Sue Royston (an anti-grammar school campaigner involved in a ballot in Ripon, North Yorkshire). This primary material is used alongside secondary literature about New Labour and education policy more broadly.
This allows for the history of selective education and grammar schools to be extended to the 1990s. To my knowledge, this is the first archival study of New Labour's handling of selective education during the 1990s. A detailed understanding of Labour's approach to selection under Blair provides essential context for contemporary debate over secondary education, at a time when academic selection still affects almost one in five secondary school students in England. 31 It also allows for a further insight into the motivations and rationale behind New Labour policy and strategy.
The dissertation is structured in four chapters. Chapter One outlines Labour's response to education policy under the Conservatives between 1979 and 1994 and interrogates the extent to which the public priorities had shifted in education. It also explores Labour's Policy Review, the modernisation programme, the impact of electoral defeats, and the role of focus groups. Chapter Two focuses on Blair's Labour Party while in Opposition, assessing how and why ending selection was de-prioritised ahead of the 1997 election. This includes the significance of the controversies over Blair and Harman's choice of schools for their children, the 1995 policy paper Diversity and Excellence, and the justification for local ballot
31 Comprehensive Future, 'Facts, Figures and Evidence about Grammar Schools', 30 August 2023, last accessed 11 April 2024, ht ps://comprehensivefuture.org.uk/facts-f gures-and-evidence -abo utgramma r-sc ho o ls/ .
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legislation. Chapter Three investigates New Labour's first term in office, including the 1997 White Paper Excellence in Schools and 1998 SSFA. It also scrutinises the ballot legislation, asking how it worked in practice, its success, and its political impact, and seeks to explain Blunkett's shift in tone over grammar schools between 1997 and 2000. Chapter Four analyses how New Labour justified the increase in partial selection from 2000 onwards, and asks how this fitted into a developing education agenda after Blunkett declared the war on grammar schools over. The conclusion reflects on this, suggesting that Labour's changing position can only be understood by looking at the interplay of four key factors, in the context of changing power dynamics and centralisation.
Chapter One: Selection and the Policy Review, 1979-1994
This chapter explains the changing context of the debate over grammar schools after the Conservative Party won the 1979 General Election. It demonstrates how discourse around education became dominated by ideas of choice, standards, and school autonomy during the 1980s, particularly in light of increasing criticisms of comprehensive schools. It also examines how the Labour Party responded, including if it could be interpreted as a continuation of Conservative policies.
Conservative Education Policy under Thatcher and Major
The 1979 Conservative election victory took place following two decades of controversy over comprehensivisation. This meant that, in 1979, the distribution of grammar schools across the UK had taken the patchwork landscape it has today. In the mid-1960s, there were approximately 1,300 grammar schools but, by 1979, just 261 remained, and this number fell to 164 by 1997. 1 This was a product of the Labour government issuing Circular 10/65, which requested, though did not obligate, local education authorities (LEAs) to submit plans to convert their schools along comprehensive lines. Most local authorities submitted plans, but some individual schools and LEAs resisted change, even following the withdrawal of government funding to build new non-comprehensive schools in Circular 10/66.
While Mandler accurately accounts for these reforms as more cross-party from a grassroots level at first, debates had become highly political by the 1970s. 2 This was due to the
1 Shadi Danechi, 'Briefing Paper: Grammar School Statistics', House of Commons Library No. 1398, 3 January 2020, p. 4.
2 Mandler, 'Educating the Nation I: Schools', p. 12.
Conservative government's issuing of Circular 10/70, which allowed LEAs to make a local decision about what form their secondary schools took. Thatcher, who was Secretary of State for Education and Science, claimed that this was not intended to discourage the creation of comprehensive schools, but it provided the scope for primarily Conservativecontrolled LEAs to maintain their existing grammar schools. As a result, and as represented by Figure One, the counties of Lincolnshire, Buckinghamshire, and Kent remained fully selective, while grammar schools were sporadically distributed across other areas.
In its eighteen years of power from 1979 to 1997, the Conservative Party re-shaped debates around education policy in two main ways. Firstly, in the 1970s and 1980s, the New Right aimed to discredit Labour's approach to education, posing the Party as dogmatic and idealistic socialists who did not prioritise standards. Secondly, the Conservatives made an explicit attempt to re-frame educational policy away from the focus on equality, which had dominated in the 1960s and 1970s. Rather, they emphasised the standards of education, which was a clear ideological reaction against progressive ideas among educational elites. This had stemmed from the influence of the Black Papers, alongside James Callaghan's speech to Ruskin College in October 1976, which Geoff Whitty and Ian Menter argued marked the 'educational manifestation of the crisis in social democracy'. 3
3 Geoff Whitty and Ian Menter, 'Lessons of Thatcherism: Education Policy in England and Wales 1979-88', Journal of Law and Society 16 (1988), p. 42.
4 'List of grammar schools in England', Wikipedia , last accessed 17 April 2024, ht ps://en.wikipedia.org/wiki/List_ o f_ gram m a r_schools_in_England .
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5 Department for Education and Employment, 'The Education (Grammar School Designation) Order 1998', September 1998, last accessed 23 April 2024,
htttps://www.legislati
on.gov.uk/uks i/1998/2
219/made?view=plain.
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6 Lords sitting of Tuesday 17 November 1998, House of Lords Hansard , Volume 594 (online: ht ps://hansard.parliament.uk/L o rds / 1998-11-17/debates/9f1f c55-28f -4c0e-84bbcb46263a23d0/Writ enAnswers ).
The development of the New Right before 1979 had increasingly influenced and was adopted as Conservative Party policy. For example, the Black Papers, which were published from March 1969 to March 1977, represented a conservative challenge to the progressive educational approaches of the educational community. The first three Black Papers challenged the 'progressive' educational consensus, following Circular 10/65, Circular 10/66, and liberal student protests in 1968. 7 As Chitty has put it, these were significant in 'undermining public confidence' in the defining narratives of comprehensive schools, as well as new methods of teaching and subject matter. 8 Following this, the final two papers supported Thatcherite ideas such as the introduction of education vouchers and providing parents with a choice in which school their child goes to. This ideological development was represented by former comprehensive school headteacher and Conservative MP Rhodes Boyson. While he had previously supported comprehensivisation, he criticised standards in 'neighbourhood ghetto' schools, suggested that comprehensive reform may have caused the 'relative decline' in examination results, and was a leading figure in shifting narratives towards a focus on raising standards and increasing choice. 9
Another example of the ideological shift away from the notion of equality is evident at a broader level of Conservative rhetoric and policy. For example, Margaret Thatcher's speech in 1975 to the Institute of Socio-Economic Studies, 'Let Our Children Grow Tall',
7 Chitty, New Labour and Secondary Education, p. 53.
8 Ibid., p. 53.
9 The Churchill Archives Centre, Cambridge, The Thatcher Papers, THCR 1/6/8. Letter from Dr. Rhodes Boyson MP to Prime Minister Margaret Thatcher, 16 December 1980; Boyson quoted in Derek Gilliard, '1974-79 Progressivism Under Attack', Education in the UK: A History, 2018, last accessed 18 April 2024,
htttps://educati
on-uk.org/history/c ha
pte r14.
html.
demonstrated a defence of inequality in the interests of greater individual excellence. 10 This was not explicitly related to education, and rather about business, but the idea that a Conservative government would 'let our children grow tall and some taller than others if they have the ability in them to do so' reflected Thatcher's willingness to defend social inequality. This implied support for grammar schools, selection, and raising standards, but, more importantly, the speech represented the broader ideological shift away from equality. It reflected the New Right's idea of catering for 'able' children, an idea which had underpinned the tripartite system when it was established in 1944. 11 Thatcher, as well as former Conservative Prime Minister Edward Heath, had attended grammar schools and expressed support for them following their personal experiences. 12
This attempt at re-framing coincided with criticisms of the comprehensive state school system, which gave more weight to these New Right narratives. Both the media and ministers spoke about low standards and a lack of aspiration which were failing particularly 'able' children who were 'inadequately stretched' at their comprehensive schools. 13 Improving schools to improve the chances of these able children was a key aspect of Conservative education narratives, together with the idea of tightening school discipline, moving back to traditional methods of teaching and subject matter, and raising standards more generally.
10 Margaret Thatcher, 'Speech to the Institute of SocioEconomic Studies ('Let Our Children Grow Tall')', Margaret Thatcher Foundation, 15 September 1975.
11 Whitty and Menter, 'Lessons of Thatcherism', p. 46.
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12 Edward Heath, The course of my life: my autobiography (London: Bloomsbury Reader, 2011), p. 439; Gilliard, '1970-1974: Applying the Brakes', Education in the UK: A History , last accessed 18 April 2024, ht ps://educat onuk.org/history/chapter13.html .
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13 Chitty, New Labour and Secondary Education, p. 108.
For example, the Assisted Places Scheme, which was introduced in 1981, offered opportunities to 'worthy' disadvantaged children to receive partially or fully subsidised fees to go to private school. 14 It was intended to provide these children the chance to 'escape' from their local, poor-quality comprehensive or secondary modern schools, which Conservative politicians claimed had not become 'grammar schools for all', as they had been sold from the 1950s. 15 Ian Menter argued that the Assisted Places Scheme held 'symbolic importance' as it was 'a massive vote of no confidence in the capacity of state schools to provide for academically able pupils'. 16 Overall, comprehensive schools had come to symbolise the weaknesses of socialist egalitarianism.
Kenneth Baker continued to translate these New Right ideas into education policy when he was Secretary of State for Education and Science between May 1986 and June 1989. Baker's reforms centralised decision-making and moved power away from LEAs, as evident in the 1988 Education Reform Act. 17 For example, it introduced grant-maintained schools, which could opt-out of LEA-control and have more autonomy over their admissions (including selection). This was complemented by the local management of schools, moving the financial control of schools away from LEAs and to the headteacher and governors of individual schools. Parents were afforded more choice in which school they could send their child to, and the power of teaching unions was reduced. Baker's Act also created the National Curriculum, which was a form of controlling subject matter and included teaching ten subjects up to age sixteen. Alongside this was the introduction of four Key Stages, where
14 Whitty and Menter, 'Lessons of Thatcherism', p. 49.
15 Whitty and Menter, 'Lessons of Thatcherism', p. 49; Mandler, 'Educating the Nation I: Schools', p. 5.
16 Whitty and Menter, 'Lessons of Thatcherism', p. 46.
17 Trevor Fisher, 'The Era of Centralisation: the 1998 Education Reform Act and its Consequences', FORUM 50 (2008), p. 255.
students would be tested to measure their progress, in part by Standard Attainment Tests (SATs). Peter Wilby has suggested that these formed the Baker 'revolution', where these policies became the norm, and were broadly continued by the New Labour governments. 18
In the 1980s, Labour councils were vulnerable to political attack from the Conservatives when they attempted to re-organise local schools. An example of this came in January 1988 when the Labour-controlled Strathclyde Regional Council initiated the closure of Paisley Grammar School. While it was not a selective grammar school, as it became comprehensive in 1975 and simply kept the 'Grammar' name, Brian Griffiths, who was Director of the Number Ten Policy Unit, told Thatcher that it was an 'outstanding school' with 'high standards of discipline' and an 'excellent academic record'. 19 In response, the central government intervened and prevented the closure. Thatcher argued that this was a demonstration of their support for 'parental choice', against 'purely political' attacks. 20
The period between the 1970s and 1990s also saw wider changes in the education landscape. For example, from 1972, the leaving age rose to sixteen and the number of students continuing to post-compulsory education increased from forty-two per cent to seventy-four per cent from 1980-1 to 1993-94. 21 This included a significant spike in the 1980s where this number increased by twenty-four per cent from 1988. 22 This was perhaps a
18 Peter Wilby, 'Margaret Thatcher's education legacy is still with us – driven on by Gove', The Guardian, 15 April 2023.
19 The National Archives of the United Kingdom, Kew, Prime Minister's Office, PREM 19/2124. Letter from Brian Griffiths to Margaret Thatcher about Paisley Grammar School, 29 January 1988.
20 Prime Minister's Office, PREM 19/2124. Letter from Griffiths to Thatcher, letter from Thatcher about Paisley Grammar School, 22 January 1988, and 'Pride of Paisley' piece in The Sunday Times, 11 October 1987.
21 Paul Bolton, 'Education: Historical Statistics', House of Commons Library, 27 November 2012, p. 10. 22 Ibid., p. 10.
product of the introduction of GCSEs in September 1986, which provided a uniform test and passport into the changing workforce. GCSE results improved, too, where the proportion of students obtaining five or more grades between A-C increased from twenty-five per cent to forty per cent in 1986-93. 23 Participation in Further Education institutions, including former polytechnic schools, also rose, as the workforce was becoming more qualified. 24 The ratio between teachers and pupils was not the dramatic decline which might have been expected under Thatcher's cuts, where education spending as a proportion of GDP declined from 4.52% in 1979-80 to a low of 3.83% in 1988-89, though this was in part due to fewer students being in each cohort. 25
Whitty and Menter claimed that these Conservative reforms were an example of privatisation, but that it was different from other industries since it was driven by ideology rather than financial reasons. 26 This was because it prioritised 'giving private individuals a sense of control over their lives'. 27 The idea of choice and autonomy continued to drive policy and, for example, the Office for Standards in Education, Children's Services and Skills (Ofsted) was established in 1992. This was, and continues to be, an inspectorate which publishes reports about standards in individual schools, and suggests where improvements could be made. As well as this, the government published examination results, which were used to create league tables. As John Patten outlined in July 1992, Conservative priorities in education were: 'quality', 'diversity', 'increasing parental choice', 'increasing autonomy for
23 Ibid., p. 12.
24 Ibid., p. 13.
25 Bolton, 'Education: Historical Statistics', p. 12; Paul Bolton, 'Education spending in the UK', House of Commons Library, No. 1078, 15 November 2021, p. 26.
26 Whitty and Menter, 'Lessons of Thatcherism', p. 49.
27 Ibid., p. 49.
schools', and 'greater accountability'. 28 By the 1990s, British education had been transformed.
Labour's Response
With these changes in educational discourse and policy, as well as broader ideas about social mobility and equality, Labour faced an immediate political challenge in this policy area. The Labour Party had previously 'dominated' the issue of education in political debate, but this was being challenged. 29 Bill Inglis, for example, argued that it lost its 'initiative' on education policy because it did not sufficiently challenge the Conservative argument that standards were falling, nor did it 'adapt' its policies or demonstrate political will to win educational arguments. 30 While Labour did not trail the Conservatives on the issue of education in the polls, it was not leading on the issue as emphatically as it needed to in order to win a general election. 31 Laura Beers pointed out how women, to whom education mattered more to than men, were seven points less likely to support Labour's policy on education than men in June 1987. 32 Labour policy emphasised the role that funding could play in improving standards, but the Conservatives had won some support by claiming they would destroy the 'left-wing domination of schools' and expand individual choice. 33
28 Choice and Diversity: A New Framework for Schools (July 1992) quoted in Chitty, New Labour and Secondary Education, p. 108.
29 Bill Inglis, 'The Labour Party's Policy on Primary and Secondary Education, 1979-89, British Journal of Educational Studies 39 (1991), p. 4.
30 Ibid., pp. 8-14.
31 Laura Beers, 'Thatcher and the Women's Vote' in Making Thatcher's Britain, eds. Ben Jackson and Robert Saunders (Cambridge: Cambridge University Press, 2012), p. 130.
32 Ibid., p. 130.
33 Ibid., p. 130.
Neil Kinnock, the Leader of the Labour Party, had to contend with this issue. He had won the leadership election after the heavy General Election defeat in 1983 and attempted to 'modernise' the party, in order to present it as a competent and a credible option in future elections. In terms of education, his views were similar to those which had driven reforms in the 1960s and 1970s, that it should contribute to equality and 'social justice'. 34 He strongly supported comprehensivisation in secondary education and, during his time as Shadow Secretary of State for Education and Science in 1979-83, he suggested the extension of this to tertiary education. He articulated this in his document 16-19: Learning for Life (1982). However, he recognised the need to reconcile these 'conventional' views about comprehensive reform with the evolving landscape of education discourse under the Conservative government, most notably the increasing focus on choice. 35 Subsequently, in his book Making Our Way (1986), he outlined how he supported the idea of parents having choice, but nuanced this with the suggestion that more financial support in education was needed. As Joseph Tiplady has posited, this did not 'refute' the Conservative value of choice, 36
but attempted to synthesise discourses about funding and choice.
While Kinnock set broad policy direction, policy details were fleshed out by Shadow Secretary of State for Education and Science Giles Radice between 1983 and 1987. Radice continued to emphasise the importance of equality, but he took a broader definition of this than Kinnock. For him, the increasing perception that comprehensive schools were of low quality was a threat to the potential for equality, since it did not provide opportunities to
34 Joseph Tiplady, 'Education Policy' in Neil Kinnock: Saving the Labour Party?, ed. Kevin Hickson (London: Routledge, 2022), p. 140.
35 Ibid., p. 140.
36 Ibid., p. 146.
those from lower socio-economic groups. Hence, as in his pamphlet Equality and Quality (1986), he claimed that the Labour Party should focus more on raising standards than issues such as completing the comprehensivisation project. Also, a MORI poll in June 1987 revealed that only seventeen per cent of respondents strongly disapproved of selection at eleven, indicating that education policy needed to have a broader focus to satisfy prospective voters. 37
Radice supported policies that would increase participation in tertiary education, improving the quality of teaching, introducing a new National Curriculum, and fostering a closer relationship between parents and schools. Tiplady noted how this was in line with his idea that education should serve the user of the service, the students, rather than other actors in the wider educational community, such as unions. This led to a distancing between the Labour Party and unions such as the National Union of Teachers (NUT). Radice believed this was electorally beneficial since the Conservatives were framing the issue in a similar way to exploit what he saw as Labour's outdated approach of criticising selective education.
In 1987, Labour's manifesto Britain Will Win balanced Radice's emphasis on standards with Kinnock's ideological opposition to selective education (though promises to end selection were a lower priority than in 1983). Tiplady argued that this part of the manifesto was 'ambiguous' and a 'compromise' as, while the commitment to end the eleven-plus remained, it also featured Radice's 'modernisation' ideas. 38 For example, it included an emphasis on 'raising standards of performance in schools', which was a step towards the
37 The Churchill Archives Centre, Cambridge, The Kinnock Papers, KNNK 3/2/50. Polling on issue of selection at eleven, conducted for the Labour Party, 1 June 1987. 38 Tiplady, 'Education Policy' in Neil Kinnock: Saving the Labour Party?, p. 147.
evolving policy towards 'standards not structures'. 39 The 1987 General Election ended in defeat for Kinnock's Labour Party, which only gained twenty seats on its poor performance in 1983.
The Policy Review and Grammar Schools
One feature of Kinnock's leadership was an 'increasing reliance' on focus groups, which Murphy has shown shaped policy in relation to sexuality and race. 40 This can also be applied to education, predominantly after 1987. For example, a focus group conducted by Deborah Mattinson in Roehampton, South West London, revealed how former Labour Party voters believed that the Conservative Party was more favourable as it offered more power to the individual. Participants criticised the Conservatives for making the level of education about 'just one book: your cheque book', and that they were 'not proud' of the party. 41 However, Labour did not offer a 'credible alternative' and the Conservative Party offered more to their lives than the Labour Party. 42 This indicated that the Labour Party had not crafted a broad narrative which resonated with the lives of potential voters, even if individual policies were popular. On the other hand, the Conservatives continued to benefit from claiming that Labour were anti-aspiration where education policy symbolised a wider narrative about class and the individual. The increasing focus on individual power and choice, coupled with the lack of electoral success for the Labour Party, crafted the context for a shift in priority in education policies.
39 The Labour Party, Britain Will Win with Labour: Labour Party Manifesto, 1987 (London: Labour Party Manifesto, 1987).
40 Colm Murphy, 'The 'Rainbow Alliance' or the Focus Group? Sexuality and Race in the Labour Party's Electoral Strategy, 1985-7', Twentieth Century British History 31 (2020), p. 291.
41 The Kinnock Papers, KNNK 2/2/3. Summary of two group discussions conducted by the Labour Party, November 1987.
42 Ibid.
For Labour, Meet the Challenge, Make the Change (1989) was the document which marked a significant re-assessment of Labour Party policy. While it was more detailed on areas such as defence, it affirmed that the Party should make 'raising standards' and providing a 'good education for all' the central aims of its education policy. This indicated support for the modern principles which had been catalysed by Radice, and continued to soften ideas about abolishing selection, which was becoming a much lower priority. Although the review supported 'comprehensive education', it did not explicitly express an intention to abolish the eleven-plus, as the 1987 manifesto did. 43
Radice represented the turn towards modernisation but, after tensions rose with teaching unions, he was replaced by Jack Straw in 1987. 44 Straw continued the support for the choice and standards agenda, but made it the cornerstone, rather than one aspect, of policy. For example, at the 1990 party conference, there was no mention of selection and rather an emphasis on 'rais[ing] the standards of training and education' and 'encouraging parents to be involved'. 45 He drew on his experience of education in the Inner London Education Authority to evidence low standards, and claimed that many in the party privately admitted that 'the practice of comprehensive education had become a little detached from the ideal'. 46 He even remarked that, while he did not agree with the eleven-plus, there were 'at
43 The Kinnock Papers, KNNK 2/2/42. Meet the Challenge, Make the Change, 1 January 1989.
44 Julia Langdon, 'Lord Radice Obituary', The Guardian, 30 August 2022.
45 Neil Kinnock, 'Leader's Speech, Blackpool 1990', 2 October 1990, last accessed 23 April 2024, ht p://www.brit shpolit calspeec h. o rg /s pe e c h-archive.htm?speech=196 .
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46 Jack Straw, Last Man Standing: Memoirs of a Political Survivor (London: Macmillan, 2012), pp. 169-70.
least […] standards' under this system. 47 By 1992, while the party remained formally committed to ending selection, it had moved decisively in tone and emphasis.
In 1992, Labour's manifesto It's Time to get Britain Working Again maintained the commitment to 'end selection at 11 where it still exists', though this continued to be diluted. Tiplady argued that this was a strong difference from the 1987 manifesto because it made more clear that the Labour Party prioritised its narrative of standards, rather than it being 'ambiguous' or a 'compromise'. 48 In an interview, Charles Clarke identified this as 'accepting the Thatcher changes', including providing the ability to choose the school for your child and positioning itself as supporting social mobility. 49 Conservative narratives had influenced Labour narratives and led to a reduced emphasis on ending selection. Labour did not entirely co-opt Conservative education policies, for example it focused on increasing funding and increasing the influence of LEAs, but the wider narrative emphasising standards and choice remained recognisable.
47 Ibid., p. 169.
48 Tiplady, 'Education Policy' in Neil Kinnock: Saving the Labour Party?, pp. 147-8.
49 Charles Clarke, personal interview, 20 November 2023.
Chapter Two: Tony Blair and New Labour in Opposition, 1994-97 This chapter examines how Tony Blair dealt with the issue of selection when he became leader of the Labour Party in 1994. It interrogates the extent to which party policy changed before the 1997 General Election, including through an assessment of its 1995 policy document Diversity and Excellence. This set out Labour's emphasis on local decision-making for schools and laid the groundwork for the grammar school ballot legislation, an important aspect of its policy on selection. It also explores the interface between the personal and the political, in incidents such as the controversy over Harriet Harman sending one of her sons to a grammar school, as well as Blunkett's 'read my lips' statement. This will include addressing how far these events changed Labour's approach to education policy and how it was situated in a broader narrative about British people, class, aspiration, and the economy.
Ideology and Electoral Strategy
Education was central to Blair's narrative about economic change and how the state could help citizens adapt to it. Colm Murphy explored this, arguing that scholars have underestimated the extent to which New Labour emphasised 'human capital', including 'education and training', rather than 'industrial capital' in the 1990s. 1 He claimed that this is essential to understanding New Labour's policy, and explains the emphasis placed on 'education, education, education'. 2 Rather than being 'a way to appease social-democratic consciences', the large investment in education supported the premise that the 'health' of the post-industrial British economy could be maintained and flourish. 3 This was in part a
1 Murphy, Futures of Socialism, p. 230.
2 Ibid., p. 233.
3 Ibid., p. 233.
result of deindustrialisation which, as Jim Tomlinson argued, was the most important 'underpinning narrative' for explaining changes in the second half of the twentieth century. 4 It was also a product of the rise of the service sector, particularly in the City of London following the 'Big Bang' in finance in the 1980s. 5 Alongside research and development, this was perceived to be the future of the British economy.
Therefore, New Labour looked to improve the quality of education and use it to provide the future workforce with the skills it requires to contribute to a healthy economy. As Jenny Andersson argued, New Labour's political economy was not merely a continuation of neoliberal policies practiced under the Conservatives; rather, it came from an 'an intellectual reinvention of technocratic social democracy'. 6 Broader values in education were adopted from Conservative narratives and the internal market remained, such as the publication of league tables, but Labour set these in the context of a distinct approach to the postindustrial economy.
More broadly, Blair believed that Labour should continue its programme of modernisation and reform. His approach to education was shaped by his own schooling at the private Fettes College in Edinburgh, and may have contributed to his reluctance to abolish grammar schools. 7 For example, in his memoir A Journey, even though he was 'opposed to selection aged eleven', he described the way that comprehensive schools were introduced in the
4 Jim Tomlinson, 'Deindustrialisation Not Decline: A New Meta-narrative for Post-war British History', Twentieth Century British History 27 (2016), p. 76.
5 Christopher Bellringer and Ranald Michie, 'Big Bang in the City of London: an intentional revolution or an accident?', Financial History Review 21 (2014), p. 111.
6 Jenny Andersson quoted in Murphy, Futures of Socialism, p. 233.
7 Lord Blunkett, Zoom interview, 7 December 2023.
1960s as 'pretty close to academic vandalism'. 8 For Blair, anti-grammar school campaigners had missed the point by assuming that the only reason grammar schools were 'better' was through 'privilege and class'. 9 Rather, he believed that they had an 'acute sense of ethos and identity', especially where they pursued 'excellence', 'innovate[d] because no one [told] them they can't', and had 'strong leadership'. 10 This epitomised Labour's shift in priorities to creating high-quality schools regardless of their admission arrangements, with an emphasis on school autonomy to raise standards.
However, many of Blair's close political allies, such as Campbell and Gould, placed more weight on their opposition to selection. Clarke reflected on this, stating that he 'did not know anyone who thought grammars were a good vehicle for social mobility'. 11 Despite this, abolishing selection was feared to be 'politically dangerous', and Blair insisted that it would be perceived as an 'ideological statement'. 12 Since selection primarily existed in Conservative strongholds, such as in Lincolnshire, Labour focused on other policies which would be more popular in marginal seats. 13
This demonstrated the rationale behind Labour's electoral strategy and was exemplified by David Blunkett replacing Ann Taylor as Shadow Secretary of State for Education in October 1994. Taylor had been too committed to involving trade unions and supported comprehensivisation, which Anthony Seldon (Blair's biographer) suggested was an 'Old
8 Tony Blair, A Journey: My Political Life (New York: Alfred A. Knopf, 2010), pp. 571-2.
9 Ibid., p. 572.
10 Ibid., p. 572.
11 Clarke, personal interview, 20 November 2023.
12 Ibid.
13 Ibid.
Labour area of domestic policy'. 14 Blunkett, on the other hand, was a sensible appointment for two main reasons. Firstly, he had a strong reputation among left-leaning figures within the Labour Party, due to his politics while Leader of the Sheffield City Council in the 1980s, meaning he was not seen as a figure on the Labour right. 15 Secondly, despite his left-wing credentials, he was committed to Blair's modernisation programme and the shift away from prioritising the issue of selection.
Controversies
The issue of grammar schools came to the fore early into Blair's leadership, due to a personal decision. In 1994, Blair decided to send his son to the London Oratory School, a grant-maintained and Catholic school. This decision demonstrated a tension between the personal and political, where Blair insisted that he was a 'parent first' rather than a politician. It led to criticism from the media, public, and senior members of the Labour Party. 16 For example, Gould claimed that this was the 'main disagreement' between Campbell and Blair, and the Socialist Educational Association argued that the decision was a display of support for 'covert selection' which 'undermine[d] the whole basis' of local accountability and democracy. 17 The Conservative Party also attempted to use this decision to gain political capital. As Conservative Education Secretary Gillian Shephard pointed out, Blair had 'exercised that parental choice which has been made possible by Conservative
14 Clarke, personal interview, 20 November 2023; Anthony Seldon quoted in Chitty, New Labour and Secondary Education, p. 68.
15 Daisy Payling, Socialist Republic: Remaking the British Left in 1980s Sheffield (Manchester: Manchester University Press, 2023), p. 27.
16 Gavin Cordon, 'Blair 'backs parental choice' amid private school row', The Independent, 8 January 2007.
17 Gould, The Unfinished Revolution, p. 224; Western Bank Library, University of Sheffield, The Blunkett Papers, 467/4/6. Letter from Joanna Tait and Max Morris to Tony Blair, 3 December 1994.
policies'. 18 However, Blair refused to reconsider his position on this, and instead he used it as an illustration of Labour's modernisation. He portrayed it as 'back[ing] parental choice' and 'a signal to parents everywhere that Labour was now on the side of those who wanted the best for their children'. 19 Despite the controversy, it had no major influence on Labour polling. 20
In June 1995, the Labour Party published Diversity and Excellence: A New Partnership for Schools, which set out the party's policy direction on education. It outlined how Labour would strengthen the role of LEAs, raise standards across the country, and end the ability of schools to opt-out of their LEA and become grant-maintained schools. 21 It argued that Labour opposed the eleven-plus and grammar schools, but explained that 'change can come only through local agreement'. 22 It introduced the idea of ballots, the mechanism by which parents could decide the admissions procedure and type of their local school. This came to be the policy device Blair used to triangulate on the issue of grammar schools. The document set the course for New Labour's education policy and, as Ken Jones argued, it was a commitment to 'parental choice' and 'competition' within schools. 23
However, at the Labour Party Conference in October 1995, Blunkett announced that there would be 'no selection, either by examination or interview, under a Labour government'. 24
18 The Blunkett Papers, 467/4/7. Letter from Gillian Shephard to Mr Keith Hedges, 21 December 1995.
19 Gavin Cordon, 'Blair 'backs parental choice' amid private school row', The Independent, 8 January 2007; Gould, The Unfinished Revolution, p. 224.
20 Gould, The Unfinished Revolution, p. 225.
21 The Blunkett Papers, 467/12/5. Diversity and Excellence: a new partnership for schools, 1995.
22 Ibid.
23 Ken Jones, Education in Britain: 1944 to the Present (Cambridge: Polity Press, 2003), p. 145.
24 Hattersley, 'Blunkett's Biggest Lie'.
He refuted the claim that this was an attack on Blair's decision to send his son to a grantmaintained school, and Blair claimed there would be 'no return to selection [at eleven-plus]' in his own speech. 25 There was a distinct discursive difference, though: Blunkett appeared to imply an end to all selection, whereas Blair's commitment only committed to not expanding selection.
As noted above, Blunkett later admitted that he had made a mistake, saying that he meant to say 'no further selection' rather than abolishing it where it existed. 26 Clarke suggested that Blunkett corrected himself in order to 'contest' the increasing criticisms that Blair was continuing Thatcherite policies, instead of 'propos[ing] abolition'. 27 It was perhaps also an attempt to appease and manage growing internal pressure, where left-wing critics and unions doubted Blair's reassurance that Labour would stick to its 'bedrock values', including its 'commitment to comprehensivisation'. 28 However, the fact that there were two years between the statement and correction leaves it open to debate whether Blunkett's comment was a response to pressure or a genuine mistake.
The issue came to the fore again in January 1996, when Shadow Secretary of State for Health Harriet Harman, who was one of Blair's key allies, announced her decision to send her son to a grammar school. 29 Harman defended this by claiming that it was a state school which any
25 Blunkett, Zoom interview, 7 December 2023; Rebecca Smithers and Patrick Wintour, 'Patriot Blair reclaims flag', The Guardian, 4 October 1995.
26 Smithers, 'Blunkett defends 11-plus stance'.
27 Clarke personal interview, 20 November 2023.
28 Michael White, 'Blair wants 'to make UK young again', The Guardian, 1 October 1995; The Blunkett Papers, 467/4/6, Letter from Graham Lane to David Blunkett, 23 September 1995.
29 Donald Macintyre, 'Why my son will go to grammar school, by Harriet Harman', The Independent, 20 January 1996.
student could go to, as it was not related to 'money or who their parents [were]'. 30 It had caused controversy among the press and 'massive rows' within the party, though Blair defended the decision. 31 He claimed that it 'demonstrated a commitment to parental choice' which appealed to a 'core group of previously Conservative voters', a key target voting group for Labour ahead of the 1997 General Election. 32 At an ideological as well as strategic level, he argued that 'an eleven year old boy did not destroy our education system', but a 'seventeen-year government could'. 33 Although most of 'even Blair's office' considered this to be against Labour's values, Blair's defence of Harman displayed further commitment to the modernisation programme, the notion of choice, and the top-down nature of decisionmaking within the Party. 34
Preparing for the 1997 General Election
Before the 1997 General Election, the Conservative government tried to make grammar schools and the notion of aspiration a political issue. For example, John Major announced plans to build a 'large grammar school in every town in England and Wales'. 35 Right-wing newspapers, including the Sunday Express, reported that this created a political problem for Blair, who was coming under pressure to make Labour's stance on selection more tolerant following his defence of Harman. 36 Another Conservative policy proposal involved allowing
30 Ibid.
31 Susan Young, 'From the Harman affair to the return of caning', Times Educational Supplement, 27 December 1996; Donald Macintyre and John Rentoul, 'Blair on the rack over Harman', The Independent, 24 January 1996. 32 Gould, The Unfinished Revolution, p. 272.
33 Ibid., p. 272.
34 Ibid., p. 273.
35 The Conservative Party, You Can Only Be Sure with the Conservatives: the Conservative Manifesto 1997 (London: Conservative Central Office, 1997).
36 National Archives, 'Tories planning a wave of new grammar schools', Sunday Express, 10 March 1996, PREM 19/5580.
other schools to use selection to admit up to fifteen per cent of their students, which they argued was more meritocratic than Labour's 'meritocracy by mortgage'. 37
In February 1997, the issue of selection played out in the Wirral South by-election. This was a seat that Labour intended to win from the Conservatives, and the constituency included two grammar schools. On his visit to one of the grammar schools, Blunkett claimed that Conservative Schools Minister Eric Forth 'launched a bizarre protest demonstration outside the school' in an attempt to frame Labour as abolishing it. 38 The Shadow Education Secretary claimed that his visit showed that 'parents were much more concerned about standards in their local schools' rather than the issue of selection, which had 'little relevance'. 39 An ICM poll in 1996 had shown that the comprehensive model of schooling was popular, where sixty-five per cent of the population supported the idea of pupils going to comprehensive schools 'designed for all abilities'. 40 On the other hand, just twenty-seven per cent supported a selective system based on differentiating 'high ability' students. 41 However, the poll did not include whether the population supported actively changing the selective admission arrangements of existing grammar schools, rather than the principle of comprehensive education. The narrative of standards was more prominent and, as a result, Labour prioritised tackling the perception that comprehensives represented 'dull uniformity'. 42
37 Prime Minister's Office, PREM 15/5580. Letter from Dominic Morris to John Major, 5 January 1996.
38 David Blunkett with Alex MacCormick, On a Clear Day (London: Michael O'Mara, 2002), p. 220.
39 Ibid., p. 220.
40 Clyde Chitty and John Dunford (eds.), State Schools: New Labour and Conservative Legacy (London: Woburn Press, 1999), p. 31.
41 Ibid., p. 31.
42 Blunkett with MacCormick, On a Clear Day, p. 221.
Blunkett claimed that focusing on standards, rather than structures, contributed to winning the seat and therefore the Conservatives losing their majority in the House of Commons. 43
In 1997, the Labour Party Manifesto committed to education being the government's 'number one priority', which it would do by increasing government expenditure. 44 It argued that education was important 'not just […] for the individual', but that it was an 'economic necessity for the nation'. 45 It also claimed that standards in schools were low, citing that 'nearly half of eleven-year-olds in England and Wales fail to reach expected standards in English and Maths'. 46 Broadly, it would 'modernise the comprehensive principle', for example by encouraging setting within schools, as well as creating programmes for 'lifelong learning'. 47 It also promised to 'cut classes to 30 or under for five, six, and seven-year-olds', funded by abolishing the Assisted Places Scheme. 48 'Ambitious targets' were set out in numeracy and literacy as well, by encouraging further teaching of phonics and 'whole class interactive teaching for maths'. 49 Other commitments included an increase in the 'powers and responsibilities of parents', an improvement in teacher training, and a greater role for LEAs in 'raising standards'. 50 Early years education was tackled as well, by creating 'early
43 Ibid., p. 221.
44 Ibid.
45 Ibid.
46 The Labour Party, New Labour: Because Britain Deserves Better: Labour Party Manifesto, 1997 (London: Labour Party, 1997).
47 Ibid.
48 Ibid.
49 Ibid.
50 Ibid.
excellence centres combining education and care for the under-fives'. 51 This manifested in the Sure Start programme which targeted the twenty per cent poorest wards. 52
For the first time since 1955, Labour's manifesto did not commit to abolishing selection at eleven-plus. Rather, it said that changes to the 'admissions policies of grammar schools' would be 'decided by local parents'. 53 It did not explicitly mention that this would be done through ballots, but Diversity and Excellence had set this out as a way of giving parents a voice with regards to grant-maintained schools, so it was understood to apply to grammar schools as well. Ballots had also been introduced under the 1988 Act, and revised in the 1993 Education Act, to adopt grant-maintained status. This was complemented by the claim that 'Labour will never force the abolition of good schools' and that 'standards, not structures, are the key to success'. 54 On the other hand, the Conservative Party manifesto supported 'a grammar school in every town where parents want that choice', in an attempt to paint themselves as the party of aspiration and meritocracy. 55 For the Conservatives, selection was used as a wedge issue, perhaps due to New Labour's convergence on other issues.
Ultimately, while education was a central theme of Labour's campaign in 1997, it largely managed to avoid the controversy over selection which had affected it during the 1970s and 1980s. Grammar schools had become tied to the notion of aspiration and represented
51 Ibid.
52 Petr Bouchal and Emma Norris, 'Implementing Sure Start Children's Centres', The Institute for Government, July 2024, p. 2; 'The impact of Sure Start Local Programmes on five-year-olds and their families', Department for Education, DFE-RR067, November 2010, p. 1.
53 The Labour Party, New Labour: Because Britain Deserves Better.
54 Ibid.
55 The Conservative Party, You Can Only Be Sure with the Conservatives.
choice, where the Conservatives had framed Labour's education policy as symbolic of a wider challenge to social mobility. There was a policy shift under Blair but, in 1997, considerable uncertainty remained about how a New Labour government would handle selection in practice.
Chapter Three: Blair's First Term in Power, 1997-2001
When the Labour Party won the election in May 1997, Blair proclaimed his intention to build 'a world class education system in which education is not a privilege of the few, but the right of the many'. 1 Chapter three examines how Labour implemented its ballot legislation, the mechanism by which local parents had the potential to remove selection from grammar schools. It asks how this worked in practice, to what extent it was successful, and its role in managing selection as a 'politically dangerous' issue. 2 Ultimately, it explores whether this government legislation drove, was harmful to, or had no impact on moving towards a fully comprehensive system. This is also placed in the context of Blunkett's claim that it was the end of 'Labour's historic campaign against grammar schools' in March 2000.
Excellence in Schools
By May 1997, the main issue Labour faced with education was the widespread perception that school standards were low. Blunkett, who was now Secretary of State for Education and Employment, had identified this in his constituency, Sheffield Brightside, where only four out of eleven primary schools had students reaching the expected Level Four by the time they transferred to secondary school. 3 Another key issue, though, was dealing with underinvestment in school buildings, where Blunkett argued that there was a 'legacy of more than £3 billion of disrepair'. 4 The government also had to address the issue of large class sizes,
1 Dan Bloom, 'Tony Blair's 1997 election victory speech in Downing Street – 20 years later', Daily Mirror, 1 May 2017.
2 Clarke, personal interview, 20 November 2023.
3 Blunkett, Zoom interview, 7 December 2023.
4 Commons sitting of Thursday 22 May 1997. House of Commons Hansard , Sixth Series, Volume 294, cc828-9 (online: ht ps://api.parliament.uk/historic-hansard/commons/1997/may/22/sc ho o lbuildings ) .
t
which had increased to 27.6 in maintained primary schools in England by 1997, the largest on record. 5 By contrast, they had declined from 26.3 in 1978 to 24.7, the smallest on record, in 1984. 6 Low attainment rates in areas with higher deprivation was also a challenge facing the new administration. 7
The Blair government was quick to publish the White Paper Excellence in Schools in July 1997, setting out the ways in which they intended to improve education by 2002. This emphasised that their priority was to 'raise standards', which focused on individual schools rather than changing the 'structure of the school system'. 8 It proposed to set 'challenging targets' for each school, predominantly focusing on numeracy and literacy, which primary schools would now have to teach for 'at least an hour each day'. 9 Ofsted was to inspect LEAs as well as schools, performance tables would show the 'rate of progress' made by pupils at individual schools, and Education Action Zones (EAZs) were to be set up for 'targeted support and development where they are most needed'. 10 Alongside this, the government set out plans to deliver its election pledge to reduce all class sizes for five to seven-year-olds to below thirty.
Underlying this strategy, as Alex Gibson and Sheena Asthana argued, was the idea of 'School Effectiveness Research', which distinguishes factors that make individual schools more
5 Department for Education. Class Size and education in England evidence report , 2011, last accessed 23 April 2024, ht ps://assets.publishing.service.gov.uk/media/5a7b08bfe5274a 3 19e 77c 880 /DFE-RR169. pdf , p. 8.
t
6 Ibid., p. 8.
7 Howard Glennerster, 'United Kingdom Education, 1997-2001 Oxford Review of Economic Policy 18 (2002), p. 130.
8 The Blunkett Papers, 467/17/1/2. Excellence in Schools, July 1997.
9 Ibid.
10 Ibid.
effective than others. 11 Gibson and Asthana claimed that this shows how the White Paper was influenced by New Right ideas. 12 For example, retaining Chris Woodhead as Chief Inspector of Ofsted displayed the commitment to this rationale, as he had a reputation, and many critics, for emphasising areas of weaknesses in schools. It also emphasised 'local decision-making', through parents having greater representation in LEAs and having a voice in 'chang[ing] the size or character of existing schools'. 13 This included the possibility of removing selection from existing grammar schools, whose future would be 'decided by local parents'. 14 It also stated that there would be 'no more partial selection by general academic ability'. 15
Labour's commitment to local decisions was tested early into its first term, when it rejected a proposal to expand the number of student places and classrooms at two grammar schools in Kent in October 1997. Various advisors suggested that the government should approve the recommendations, as it was 'uncontroversial locally', but they refused to 'until parents have had the opportunity to vote'. 16 Critics claimed that the decision would be detrimental to access to school places, but the government had made a firm commitment to parental choice and wanted to prevent selection from becoming an issue. 17
11 Gibson and Asthana, 'School Performance', p. 196.
12 Ibid., p. 196.
13 The Blunkett Papers, 467/17/1/2. Excellence in Schools, July 1997.
14Ibid.
15 Ibid.
16 Department for Education and Science, ED 207/562. Letter from Alan Cranston to Mr. Byers, 27 October 1997, and response from Mr. Byers, 30 October 1997, ED207/562.
17 Ibid.
1998 School Standards and Framework Act
In July 1998, the SSFA became law, after being developed by ministers such as Stephen Byers and Baroness Blackstone. It enacted many proposals from Excellence in Schools. It abolished grant-maintained schools and initiated the establishment of twenty-five EAZs across the country, providing £500,000 to each zone to attract 'super heads', in order to raise standards. 18 After the Education (Schools) Act in July 1997 had abolished the Assisted Places Scheme, the Act also restricted 'infant class sizes' to thirty. 19 Alongside this, it encouraged greater parental representation, including requiring each LEA to have a minimum of one elected parent on its education committee, and the establishment of school organisation committees in each LEA, to create local 'plans' for education. 20 Partial selection was addressed, too. Clause 102 permitted selection 'by aptitude' in maintained secondary schools, under the condition that the school had a 'specialism' in a subject and it did not select more than ten per cent of its intake. 21
On top of this, it introduced the ballot legislation, the mechanism by which parents could exercise their vote on the admissions arrangements of their local grammar school. This would require a petition to be signed by twenty per cent of eligible voters to hold a referendum on whether to maintain a selective admissions process. Petitions had to carry paper signatures and meet the twenty per cent threshold within the same academic year
18 'Failing schools to get 'super-heads'', BBC News, 5 December 1997.
19 Department for Education and Employment, 'School Standards and Framework Act', July 1998, last accessed 23 April 2024, https://www.legislation.gov.uk/ukpga/1998/31/contents; 'Failing schools to get 'super-heads'', BBC News, 5 December 1997.
20
'Education: How it all works: Legislation: School Standards and Framework Bill',BBC News, 19 May 1998;
Department for Education and Employment. 'School Standards and Framework Act', July 1998.
21 Chitty, New Labour and Secondary Education, pp. 88-9.
they had started, before being presented to the LEAs to hold the ballot. 22 The ballots offered two options: a maintenance of the status quo, by continuing to use the eleven-plus to admit pupils into the grammar school, or removing selection. The SSFA also banned the opening of new grammar schools, having defined the schools as those which 'make provision for all (or substantially all) of its pupils to be selected by reference to general ability' and identifying the 166 existing ones. 23
The notion of ballots had been signalled in Diversity and Excellence in 1995 and was justified as Labour's commitment to parental choice and local agreement. Blunkett claimed that tackling grammar schools from the centre was not a priority since it would harm the broader standards agenda. Coupled with Blair's belief that grammar schools could act as an 'escape route' for working class children, Blunkett stated that standards are not impacted by 'whether there is selection or non-selection', but rather by the quality of the individual schools. 24 Labour, therefore, snowballed the issue of selection into the more defining agenda about standards and choice.
The Commons debate on the SSFA saw Labour and Conservative MPs set out arguments for and against the existence of selection at eleven-plus. Conservative MP Graham Brady, for instance, requested data on the GCSE performance of selective areas, including his constituency, Altrincham and Sale West, which the DfEE acknowledged was an attempt to
22 Tulloch, 'Will Selection at 11 Ever End?' in The Ins and Outs, p. 134; Tulloch, Zoom interview, 8 November 2023.
23 Department for Education and Employment. 'School Standards and Framework Act', July 1998.
24 Mark Hewlett, Richard Pring and Margaret Tulloch, Comprehensive education: evolution, achievement and new directions (Northampton: University of Northampton, 2006), p. 26; Commons sitting of Monday 22 December 1997. House of Commons Hansard, Sixth Series, Volume 303, cc665-7 (online:
htttps://publications.parliament.uk
/pa/c m1
99798/cmhansrd/vo971222/debtext/71222-08.htm).
'show that areas with grammar schools outperform areas with comprehensives'. 25 This displayed how, between 1993 and 1997, LEAs with selective schools consistently achieved a higher percentage of fifteen-year-olds achieving five or more GCSEs at grade C or above than LEAs without selective schools. 26 In response, Labour politicians made the argument that contextual factors should be incorporated to provide a more accurate assessment of attainment. Stephen Marston, who worked for the DfEE, argued that LEAs with selective schools began 'from a higher baseline than those without'. 27 Alongside this, Labour MP Margaret Hodge reflected on how non-grammar schools featured more free school meal students, which had an impact on attainment. 28
However, Labour had not committed to abolishing grammar schools where they existed. This was in part due to ideology, including Blair's traditional approach to education and New Labour's view of the modern economy. It was also motivated in part by electoral strategy, even in 1998. Labour had won the Medway seat from the Conservatives at the election, which had six grammar schools, and it had also won other constituencies with grammar schools, including Stretford and Urmston, Wirral South, and Lancaster and Wyre. In hindsight, Blunkett claimed that policies were designed to 'take account' of these new seats, meaning that the government did not want to 'cause unnecessary aggravation' by abolishing grammar schools. 29 This was when it was also facing other challenges in education, such as the introduction of tuition fees under the 1998 Teaching and Higher Education Act. 30 Clarke
25 Department for Education and Science, ED 207/671. Reply from DfEE to Graham Brady MP, 19 January 1998.
26 Ibid.
27 Department for Education and Science, ED 207/671. Letter from Stephen Marston to Mr. Byers, 30 January 1998.
28 Department for Education and Science, ED 207/671. Standing Committee notes, 26 November 1996.
29 Blunkett, Zoom interview, 7 December 2023.
30
Ibid.
also claimed, upon reflection, that there was 'insufficient data' to justify abolition and, even though the central government did not commission such research, he suggested that LEAs could have 'create[d] some movement' on it. 31
In fact, the evidence suggests that the government's ballot legislation contributed to and favoured maintaining grammar schools. While this was not necessarily intentional, the structure and design of the petitions and ballots came under criticism from campaigners for comprehensive education, including the Campaign for the Advancement of State Education (CASE). 32 This was for three reasons: the nature of area ballots, the demographic of feeder ballots, and the changing role of LEAs. Partly because of this, there have been zero changes to the selective nature of grammar schools under this framework. Only one ballot ever took place, in Ripon, North Yorkshire, in March 2000. The parents voted to preserve the selective nature of Ripon Grammar School by 1,493 votes to 747. 33
Firstly, the nature of area and feeder ballots posed challenges for anti-grammar school campaigners and parents who supported change. Feeder ballots differed from area ballots as only parents of children in the feeder schools to grammar schools could sign a petition and vote. Area ballots, on the other hand, included all parents in a fully selective authority, including parents with 'children below school age or those living outside the area but with children in the schools within the local authority'. 34
31 Clarke, personal interview, 20 November 2023.
32 Rebecca Smithers and Martin Wainwright, 'Parents vote to retain Ripon grammar school', The Guardian, 11 March 2000.
33 Ibid.
34 Tulloch, 'Will Selection at 11 Ever End?' in The Ins and Outs, p. 135.
This meant that it was much more challenging for petitions to be successful within fully selective areas, since it required more signatures to reach the twenty per cent threshold. For example, in Buckinghamshire, where an area ballot could happen, 18,000 parents were required to sign the petition. 35 However, in Ripon, a feeder ballot, just 587 parents were required to meet the threshold. 36 This was exacerbated by the fact that petitions had to carry paper signatures, and reach the threshold in the same academic year that the petition had started. 37 As a result, no area ballots were held.
Secondly, the demographic of who could vote in a feeder ballot was unevenly distributed. For example, twenty-five per cent of the electorate in the Ripon ballot were parents of privately educated children. 38 This was significantly higher than the 4.6% of pupils in North Yorkshire who attended a private primary school, since private preparatory schools prepared children for the eleven-plus and were disproportionately more likely to send children to Ripon Grammar School. 39
In feeder ballots, only parents with children at feeder schools to the local grammar school could vote. Feeder schools were those which sent at least five children to the grammar school per year over the past two years. Tulloch, who worked closely with the anti-grammar school campaign in Ripon, identified how there was a school ten miles away which was
35 Ibid., p. 136.
36
Lords sitting of Tuesday 22 February 2000. House of Lords ht
Hansard, Volume 610 (online:
ps://hansard.parliament.uk/L
ords/
2000-02-22/debates/0a37fd1d-c605-4210-a424- b7c560a57e4c/RiponGrammarS
choolBallot).
37 Tulloch, 'Will Selection at 11 Ever End?' in The Ins and Outs, p. 134; Tulloch, Zoom interview, 8 November 2023.
38 Tulloch, 'Will Selection at 11 Ever End?' in The Ins and Outs, p. 135; Lords sitting of Tuesday 22 February 2000. House of Lords Hansard, Volume 610.
39 Tulloch, 'Will Selection at 11 Ever End?' in The Ins and Outs, p. 135.
defined as a feeder school, and therefore its parents could vote, but a primary school closer to Ripon Grammar School had not sent five children to the grammar school, and therefore its parents did not qualify. 40 Sue Royston, who also campaigned against selection in Ripon, echoed this, claiming that a change in the demographic of the vote could have changed the outcome of the vote decisively. 41 Likewise, Blunkett himself acknowledged that the Labour government had not communicated which parents were eligible clearly enough. 42
Finally, LEAs were prohibited from campaigning in favour of comprehensivisation. The Ballot Information Code outlined that the authorities could not take a public position on the outcome of a ballot. Rather, they were required to offer 'objective' information which could help parents 'to reach a soundly-based decision'. 43 The Liberal Democrats proposed Amendment Thirty-Five in the SSFA, which would allow LEAs to 'decide whether or not grammar schools should retain their selective admission arrangements', but this was rejected as it was 'at odds with [the] Manifesto' and Labour's commitment to choice within education. 44
LEAs had previously been able to create plans to change the selective nature of grammar schools and were a key driver in the reforms of the 1960s and 1970s. 45 This was evident as late as 1999-2000, before the SSFA took effect, when Bristol City Council supported Cotham
40 Ibid., p. 136.
41 Sue Royston, Zoom interview, 7 February 2023.
42 Blunkett, Zoom interview, 7 December 2023.
43 Department for Education and Employment, 'The Education (Grammar School Ballots) Regulations, Regulation 15(1)', November 1998, last accessed 23 April 2024,
htttps://www.legislati
on.gov.uk/uks i/1998/2
876/made.
44 Department for Education and Science, ED 207/671. School Standards and Framework Bill Amendments, 20 February 1998.
45 Mandler, 'Educating the Nation I: Schools', p. 18.
Grammar School and Fairfield Grammar School becoming comprehensive schools without a ballot. This reflected a continuation of previous organic trends away from selection. 46 No longer could LEAs support plans for comprehensive reform, though these powers had already been undermined in 1988, and instead only the individual schools and ballot system could remove selection. 47
The SSFA procedure also meant that LEAs could not outline 'what the system would look like afterwards', for instance if the existing grammar school would merge with a local comprehensive school, or simply change its admission procedures. 48 This was another example of the changing role of LEAs, as they had previously been able to assure parents that none of them 'would have to move their child' if selection was abolished in their area. 49 As Tulloch acknowledged, LEAs may have favoured maintaining grammar schools, such as the Conservative-controlled Kent County Council, but it removed one mechanism which could have contributed to completing the comprehensive project. 50 It meant that there was more weight on the system of parental ballots, and took the issue out of local government politics.
There is too little evidence to suggest that the Labour government intentionally designed the ballot legislation in a way that favoured preserving selection at eleven. However, the
i
46 Lords sitting of Wednesday 30 June 1999. House of Lords Hansard , Volume 603 (online: ht ps://hansard.parliament.uk/l o rds /199 9-06-30/debates/d5de4785-c78e-4410-866c09428c2ea20f/Select onInEduca tio n ) .
47 Clyde Chitty, 'The Role and Status of LEAs: post-war pride and fin de siècle uncertainty', Oxford Review of Education 28 (2002), p. 269.
48 Tulloch, Zoom interview, 8 November 2023.
49 Ibid.
50Ibid.
structure of the SSFA meant that the likelihood of change was reduced. Tulloch accurately described the legislation as creating a 'parental ballot in a vacuum', and expressed frustration that the central government did not support the anti-grammar school campaign in Ripon, despite Blunkett being 'pragmatically opposed' to grammar schools. 51 The ballot system was successful as a political device, and a form of issue management, but it consolidated the position of the remaining selective schools within the education system at the end of the twentieth century.
Grassroots Opinion and Opposition to Grammar Schools
Alongside the ballot system, other factors also contributed to a lack of change to the existing grammar schools. Grassroots, or bottom-up, pressure also held minimal power in comparison to its role in the drive for comprehensivisation earlier in the century. For example, former Education Minister Edward Boyle admitted that middle-class parental opinion had intensified and influenced policy in the 1960s, and this was epitomised by the role of CASE. 52 CASE had been established in 1960 following the increasing acceptance of middle-income parents that they could be beneficiaries of a comprehensive system. In 1958, 1.5 million children attended secondary modern schools, which were often considered inadequate, meaning that public opinion and the role of campaigners was high. 53
In the 1990s, however, these conditions did not exist. Firstly, due to the drive for comprehensivisation and the patchwork nature of the grammar schools that remained,
51 Tulloch, Zoom interview, 8 November 2023; Blunkett, Zoom interview, 7 December 2023. 52 Edward Boyle, 'The Politics of Secondary School Reorganisation: Some Reflections', Journal of Educational Administration and History 4 (1972), p. 30. 53 ''Experimental' Secondary Modern Education in Britain, 1948-1958', Cultural and Social History 13 (2016), p. 25.
selection was seen as a regional rather than national issue. Secondly, many comprehensive schools were now perceived as inadequate, as secondary modern schools had been previously. This meant that changing the character of grammar schools to comprehensives was not appealing. The political argument for the rise of comprehensive education had been about expanding access to grammar schools and was tied to notions of standards, meritocracy, and aspiration, rather than a criticism of grammar schools themselves. Changes in the educational landscape during the 1970s and 1980s meant that this argument was weaker, and therefore meant it was more difficult and less appealing to challenge selection where it existed.
Opposition to grammar schools still existed, but it was less coherent, more regional, and, as Blunkett claimed to represent the narrow but concentrated nature of it, 'stiletto heel pressure'. 54 There was a petition attempt in Kent, which reached 7,000 out of the necessary 46,000 signatures, but this was suspended in March 2000. 55 Campaigners, including those from the national-level pressure group CASE, argued that this was a product of 'political confusion', as well as the structure of the ballot legislation. 56 Spokesperson Martin Frey argued that the campaigners had the 'same' standards agenda as Blunkett, but that he needed to address how 'the selective structure in Kent does damage standards'. 57 Meeting the petition threshold was difficult for anti-grammar school campaigners, some of whom felt that pro-grammar school campaigners also had more resources. 58 For example, in Ripon,
54 Blunkett, Zoom interview, 7 December 2023.
55 'Grammar school petition halted', The Guardian, 27 March 2000.
56 Ibid.
57 Ibid.
58 Tulloch, Zoom interview, 8 November 2023.
they distributed a video outlining the drawbacks of voting against selection to 'every home'. 59
There is also evidence of letters to the DfEE, for example from non-selective secondary school headteachers in Lincolnshire who called for 'more equitable' policies. 60 One such letter argued that, while the headteacher was initially 'enthusiastic' about New Labour's White Paper, the parental ballots were not 'fair or just'. 61 This was because they were 'disenfranchised' in votes on preserving grammar schools outside of their local authority, which 'badly affected' their intake of both students and teachers. 62 Blunkett, however, responded with the 'general line' that 'the government does not support a return to the eleven-plus', but that changes 'will be decided by parents' through the ballots legislation. 63
Rather than the grammar school issue, the Labour government stuck to its promise of abolishing the Assisted Places Scheme, which caused less controversy. This raised £22 million, and this was to help fund a reduction in infant class sizes, as well as increasing the number of teachers and funding classrooms. 64 This was justified as providing funds to raise standards across the country and, as Clarke reflected on, it was less controversial than challenging grammar schools as the notion that private schools were unjust was more widespread. 65 This meant that abolishing Assisted Places, though justified on similar
59 Ibid.
60 Department for Education and Science, ED 207/562. Letter from the headteacher of The Hereford School to Mr. Byers, 13 October 1997.
61 Ibid.
62 Ibid.
63 Department for Education and Science, ED 207/562. David Shand response to letter from headteacher, 29 October 1997.
64 'Blunkett cuts infant classes down to size', BBC News, 12 February 1998.
65 Clarke, personal interview, 20 November 2023.
principles to the 'pragmatic opposition' to grammar schools, was more politically viable and benefitted the broader standards agenda through the funding it made available. 66
Ultimately, the ballots legislation, while politically successful, made change to the selective admissions of grammar schools less likely. The government had prevented LEAs from being able to initiate change, meaning only grammar schools themselves, and parents, through a challenging petition and ballot process, could remove selection. As well as this, despite the efforts of campaign groups such as Comprehensive Future, there was less pressure against grammar schools, particularly after the failure of the Ripon ballot in 2000. Indeed, the issue of selection has never really returned as a central part of the Labour Party's political agenda.
66 Blunkett, Zoom interview, 7 December 2023.
Chapter Four: Selection or Specialisation? 2001-05
This chapter explores the increase in selection under New Labour in its second term, and how this was justified. This happened through Blair's re-introduction of the specialist schools programme, which had been initiated under the Conservatives in the late 1980s and early 1990s. It asks where selection fitted into its education policy at the beginning of the twentyfirst century, after Blunkett had claimed that Labour had moved on from the issue of grammar schools. This involves an assessment of how selection was part of new academic agendas, including programmes such as the London Challenge and the broader effort to increase the number of students going on to Higher Education. It also investigates the extent to which the issue of grammar schools disappeared from the political radar in the 2000s, and why this was the case, particularly after Blunkett's claim that they would disappear by 2011.
The Origins of Specialisation
In June 2001, the Labour Party was re-elected for a second term. The government's record on education had been perceived as generally successful, predominantly in early years and primary schooling, with expenditure rising by 4.2% on average under Labour, rather than the 1.5% under the previous Conservative government. 1 There was a rapid increase in Key Stage Two test scores from 1995 to 2000 which, even though academics and political opponents have challenged the credibility of these statistics, Labour used to present the success of its standards agenda. 2
1 Anthony Heath, Alice Sullivan, Vikki Boliver and Anna Zimdars, 'Education under New Labour, 1997-2010', Oxford Review of Economic Policy 29 (2013), p. 230.
2 Ibid., p. 233.
Ambitions for Britain, the Labour Party's manifesto in 2001, claimed that education would continue to be the government's 'number one priority'. 3 There was a strong emphasis on education in election planning, and it featured more prominently in the 2001 manifesto than it had in 1997. 4 As Geoffrey Walford argued, the government looked to focus more on secondary, further, and higher education than in its first term, including raising standards in secondary schools and increasing the number of people under thirty years old moving on to higher education by fifty per cent. 5 Its 'five pledges' included a promise to employ 10,000 additional teachers, and 'expand higher education as we raise standards in secondary schools'. 6 As well as continuing to increase the 'share of national income' spent on education, it aimed to diversify secondary education, including through an 'expansion of specialist schools' and 'new City Academies'. 7 This emphasis on diversity was an important development in Labour education policy.
However, Labour was re-introduced, rather than initiated, the specialist schools programme. In 1988, the Conservatives had introduced City Technology Colleges, which specialised in science, mathematics, and technology, before it broadened the scope for specialisation in other schools to subjects such as art, music, and sport. Under the Conservatives, only grantmaintained schools had been allowed to specialise initially, before Gillian Shephard allowed
3 Walford, 'Education and the Labour Government', p. 3.
4 Prime Minister's Office, PREM 49/1949. General election preparation papers, 23 November 2000-19 March 2001, available online: ht ps://cdn.nat onalarchives.gov.uk/documents/release-2023-12/prem49-1949.pdf .
t
5 Walford, 'Education and the Labour Government', p. 6.
6 The Labour Party, Ambitions for Britain: the Labour Party Manifesto 2001 (London: Labour Party, 2001).
7 Ibid.
those under LEA control to specialise from 1994. 8 By the time Labour reached power in 1997, it had inherited 181 specialist schools and colleges, alongside 15 City Technology Colleges. 9 Blunkett had supported the idea of specialisation since at least February 1996, and Labour planned to expand the programme. 10 However, the government stopped short of Conservative proposals to increase the proportion of each cohort which could be selected to thirty per cent. 11
Specialist schools had not been a key priority in Labour's first term, but Blair had already begun re-introducing them. In January 2000, for example, he announced that hundreds of comprehensive schools would become specialist schools on BBC Television's Breakfast with Frost. 12 His administration also intended for there to be 650 specialist schools in the UK by September 2001. 13 This followed the Conservative Party's commitment to make one in five schools specialist by 2001 in its 1997 manifesto. 14 Labour Party reports recognised that specialist schools were 'improving at a significantly faster rate than other schools', providing momentum for this programme to become a more central part of Labour's education policy in its second term. 15
8 Christine Walter, 'A history of the Specialist Schools and Academies Trust', Specialist Schools and Academies Trust, 2007, p. 14.
9 Chitty, Education Policy in Britain, p. 66.
10 Conor Ryan, 'Ministers need the levers for their plan', The Independent, 29 July 2004.
11 Commons sitting of Tuesday 25 June 1996. House of Commons Hansard , Sixth Series, Volume 280, cc153-66 (online: ht ps://api.parliament.uk/historic-hansard/commons/1996/jun /25/sc ho o ls -se lfgo ve r nment ) .
t
12 Chitty, New Labour and Secondary Education, p. 90.
13 Chitty, Education Policy in Britain, p. 67.
14 The Conservative Party, You Can Only Be Sure with the Conservatives.
15 The Labour Party History Archive and Study Centre, OS 70 362.6. 'Education and Employment: Second-year Consultation Document', January 2000.
As it had been at the end of the 1990s, the issue of selection and grammar schools was becoming less prevalent in political discourse. For example, selection was absent from the 2001 manifesto, the first time it had not been mentioned in a Labour manifesto since 1951. In December 2001, the government provided £500,000 to grammar schools for a scheme which created partnerships between grammar and non-selective schools. 16 While it drew criticism, it was not overturned, and this encapsulated the increasing tolerance of selection in Labour's second term. Blunkett had changed his tone, having proclaimed an end to Labour's historic war on grammar schools. At the same time, he had also suggested that they would disappear within a decade, because the improvement in education across the country would 'make it absurd' to select, as other schools would also 'offer an excellent education'. 17 In an interview, Blunkett later claimed that he was 'wrong' to suggest this, because he 'underestimated the pull of grammar schools playing to their academic strength' and misjudged the 'slowness with which schools as a whole were catching up to grammar schools [and their academic standards]'. 18
Estelle Morris and Specialist Schools
Estelle Morris replaced Blunkett as Secretary of State after the election. Morris was the first comprehensive teacher who held the position and supported Blair's idea of a 'postcomprehensive' education system. 19 This included the idea of diversity and moving away from a 'one size fits all' structure of schools, as she stated in June 2002, which included the expansion of specialist schools.
16 Gilliard, 'Labour and the Grammar Schools: a history', p. 388.
17 Blunkett, Zoom interview, 7 December 2023.
18 Ibid.
19 The Guardian, 'Full text of Blair's speech (1)', 1 October 2002.
In September 2001, the White Paper Schools Achieving Success outlined the importance of diversity in education. It also outlined the three key aims of Labour's second term: raising standards in secondary schools; reforming and improving the teaching profession; and meeting four objectives. These included 'greater consumer choice' and ensuring there is a 'system of accountability, inspection, and intervention to maintain basic standards'. 20 It reaffirmed the commitment to non-intervention in schools unless standards fell to the point where it was 'necessary', and it aimed to reform the age fourteen-to-nineteen curriculum. 21 Renewed targets in numeracy and literacy were set, with a national aim of seventy-five per cent of pupils achieving Level Five in English, Mathematics, and ICT by the end of Key Stage Three. 22 'Successful' secondary schools would also be given the 'freedom to excel and innovate', including by specialising. 23
This formed the basis of the 2002 Education Act which, as Walford argued, was centred around the notion of choice and diversity in schools. 24 A key aspect of this allowed certain comprehensive schools to become specialist schools, and therefore become partially selective. The schools had to meet certain criteria for this, including having a 'history of achieving above average exam results in the subject' or 'specialist equipment or facilities' for
20 Department for Education and Skills, Schools Achieving Success, 5 September 2001, last accessed 23 April 2024,
https://assets.publishing.service.gov.uk/media/5a7edcf8ed915d74e6226efb/Schools_Achieving_Success.pdf, p. 6.
21 Ibid., p. 6.
22 Ibid., p. 18.
23 Ibid., p. 6.
24 Walford, 'Education and the Labour Government', p. 6.
a certain subject, such as music. 25 There would be a cap on selection at ten per cent of admitted students per year.
Labour argued that this was different to the eleven-plus. Selection in specialist schools was on the basis of aptitude in a specific subject, rather than 'general ability', which remained banned under the 1998 SSFA. 26 For Labour, this was what made selection in specialist schools 'entirely different' from selection in grammar schools, and not 'selection by the back door'. 27 They argued that the ten per cent limit on selection ensured that it would not become a 'proxy for general ability', nor would it cause an increase in 'social selection'. 28 Rather, it allowed children to 'have the opportunity to develop their talents to the full', with the government believing that selection had 'an important part to play in creating diversity and giving parents more choice'. 29 While also complementing the standards agenda, the specialist schools programme can be seen as an attempt to subsume grammar schools within a larger landscape of diversity and choice, reflecting Campbell's comments about the desire to get away from 'bog-standard' comprehensives. 30
From 2002, the drive for specialist schools intensified. The Labour government aimed to increase the number of specialist schools to 1,000 in 2003 and 1,500 by 2005, meaning they
25 Department for Education and Science, ED 269/785. Draft of 1998 SSFA, on admission arrangements.
26 Department for Education and Science, ED 207/61. Briefing on selection policies for grant-maintained schools, February 1998.
27 Department for Education and Science, ED 207/61. Briefing on selection policies for grant-maintained
schools, February 1998; Prime Minister's Office, PREM 15/5580. Q&A Briefing on partial selection.
28Department for Education and Science, ED 207/61. Briefing on selection policies for grant-maintained schools, February 1998; Prime Minister's Office, PREM 15/5580. Q&A Briefing on partial selection.
29 Department for Education and Science, ED 207/61. Briefing on selection policies for grant-maintained schools, February 1998; Prime Minister's Office, PREM 15/5580. Q&A Briefing on partial selection.
30 Sarah Cassidy, 'Are you a bog-standard secondary?', Times Educational Supplement, 16 February 2001.
would comprise fifty per cent of secondary schools in England. 31 In February 2003, the government announced that 217 more comprehensives would turn into specialist schools, which meant that approximately 1,200, state secondary schools in England specialised. 32 The programme also extended to Scotland and Northern Ireland from 2005.
As a result, discourse around education policy was shifting away from the cautious rejection of Conservative proposals to increase grammar schools in the late 1990s, to the benefits of selection in what Blair called a 'post-comprehensive era'. 33 The notion of the 'postcomprehensive era' was defined as one which maintains the 'comprehensive principle of equality of opportunity', but also one which was 'built around the needs of the individual child'. 34 This was championed by Blair at the 2002 Labour Party Conference, demonstrating the explicit shift away from comprehensivisation. 35 Grammar schools were no longer a key issue, and selection in specialist schools were presented as a way of raising standards in secondary schools and providing more choice for parents. Other aspects of schools policy also focused on issues of standards, leadership and investment, rather than selection, for example the London Challenge which intended to improve secondary schools in the capital. 36
31 Gilliard, 'Labour and the Grammar Schools: a history', p. 388.
32 'New specialist schools unveiled', BBC News, 10 February 2003.
33 The Guardian, 'Full text of Blair's speech (1)',
34 Ibid.
35 Ibid.
36 Marc Kidson and Emma Norris, 'Implementing the London Challenge', Institute for Government, last accessed 23 April 2024,
htttps://www.instituteforgovernment.
org. uk/sites/default/fiiles/publicatiions/Implementing%20the%20London
%20Challenge%20-%20final_0.pdf
,p. 3.
Charles Clarke and Political Geography
Morris resigned in October 2002 after just sixteen months, for various reasons. 37 Firstly, Shadow Education Secretary Damian Green put her under pressure by mentioning the promise to resign if targets in literacy and mathematics had not been met. 38 Test results indicated the targets had indeed been missed. 39 Secondly, Morris was criticised for the 2002 A-Level results fiasco, where the Tomlinson inquiry revealed that 1,220 A-Level students needed to have their results re-graded. 40 Thirdly, when referring to low standards and poor discipline in some comprehensive schools, she claimed that there are some schools that she 'wouldn't touch with a bargepole'. 41 This created tension with the teaching unions, and she was publicly criticised by the Leader of the NUT, Doug McAvoy, among others. 42
In October 2002, Charles Clarke replaced Morris and continued the focus on standards and choice. Andrew Adonis was also influential in formulating education policy at this time, in his role in the Number Ten Policy Unit. Like Blair, both Clarke and Adonis had attended private schools and, even though Adonis's was with a local authority grant, it meant that all three shared a similar and traditional perception of educational excellence and merit. Their views were developed in the White Paper The Future of Higher Education in January 2003 and the Higher Education Act in 2004, which emphasised the importance of continuing the specialist schools programme. 43 This was in order to raise standards in secondary schools and
37 'Education secretary resigns', The Guardian, 23 October 2002.
38 Ibid.
39 Ibid.
40 Andy McSmith, 'Not quite good enough: why did Estelle really flunk on Education?', The Independent, 27 October 2002.
41 Chitty, New Labour and Secondary Education, p. 99.
42 McSmith, 'Not quite good enough: why did Estelle really flunk on Education?'.
43 Department for Education and Skills, The Future of Higher Education, January 2003, last accessed 23 April 2024, https://publications.parliament.uk/pa/cm200203/cmselect/cmeduski/425/425.pdf; Department for
encourage more young adults to participate in Higher Education. They set a target to have created 2,000 specialist schools by 2006, aided by the incentive of schools receiving a oneoff grant of £100,000, plus other financial benefits if they specialised. 44 As well as the role of Adonis, this intensification was perhaps also influenced by global trends in the 1990s which emphasised increasing autonomy for schools, high quality local leadership, diversity, and choice. 45
Grammar schools had fallen off the political agenda, though Clarke was concerned after a study by the University of York criticised the impact of grammar schools and there were increasing concerns about poor examination results in Kent. 46 In response, he initiated contact with the Conservative leader of the Kent County Council to explore the possibility of comprehensive reform, but an agreement did not materialise. 47 Adonis, conversely, claimed that there should be a 'restrictive' set of rules for changing admission arrangements. 48 This indicated that Adonis held significant influence, and that ideology in the New Labour government ensured the issue of grammar schools and selection did not return to the forefront of educational discourse in the early twenty-first century. This was in spite of increasing academic criticism of the impact of eleven-plus on standards, as well as a
Education and Skills, 'Higher Education Act 2004', last accessed 23 April 2024, ht
tps://www.legislation.gov.uk/ukpga/2004
/8/contents.
44 Curtis, 'Clarke vows to make all schools 'special''.
45 Pasi Sahlberg, 'Trends in global education reform since the 1990s: Looking for the right way', International Journal of Educational Development 98 (2023), p. 3.
46 Rebecca Smithers, 'Clarke urges new look at grammars', The Guardian, 12 December 2002; Clarke, personal interview, 20 November 2023.
47 Clarke, personal interview, 20 November 2023.
48 Ibid.
challenge from the Commons Education Select Committee about the £400 million spending on specialist schools, since there was a lack of evidence that they raised standards. 49
Political geography and electoral pragmatism also contributed to moving the issue of grammar schools away from the political agenda. Clarke acknowledged this, claiming that improving standards of inner-city areas such as Hackney, where there were two constituencies which had always voted Labour, was 'higher up the priority list'. 50 This was rather than tackling grammar schools in areas such as Lincolnshire, a county dominated by Conservative MPs both historically and in 1997. 51 In his diary, Campbell reflected on this with disappointment in February 2005, outlining how he did not enter politics 'for education policies that are creeping us closer and closer to eleven-plus-style nonsense'. 52 Clarke, however, suggested that the issue of selection was 'never high up on the agenda enough' since tackling grammar schools was not perceived to 'transform education in Britain'. 53
Scotland, Wales, and Northern Ireland
Devolution of education policy to Scotland and Wales under the 1999 devolution resettlement meant that the shift towards specialisation was primarily an English one. Grammar schools no longer existed in Wales, after the last one closed in 1988, and the Labour-controlled National Assembly for Wales refused to adopt the drive for specialist
49 Gilliard, 'Labour and the Grammar Schools: a history', p. 389; Select Committee on Education and Skills, Minutes of Evidence, UK Parliament, 8 March 2004, last accessed 19 April 2024,
htttps://publications.parliament.uk
/pa/c m2
00304/cmselect/cmeduski/426/4030804.htm; David Jesson, 'The
Comparative Evaluation of GCSE Value-Added Performance by Type of School and LEA',University of York
(2000), 1-44.
50 Clarke, personal interview, 20 November 2023.
51 Ibid.
52 Campbell with Hagerty (eds.), The Alastair Campbell Diaries, p. 449
53 Clarke, personal interview, 20 November 2023.
schools and academies. 54 In Scotland, all grammar schools had turned comprehensive by the early 1980s, and selection only existed in private schools. 55
The case of Northern Ireland provides an example of the impact of devolution on the issue of selection. In 2001, the Department of Education in Northern Ireland published the Burns Report, which criticised the eleven-plus for being 'divisive', reinforcing 'inequality of opportunity', and being detrimental to students' 'self-esteem'. 56 In response, plans were made in 2003 to phase out the eleven-plus where it was state-directed, a process which began in November 2008. 57 Students would instead be assigned to schools based on parental preference and pupil profiles. 58 This was not adopted across the whole of Northern Ireland, with schools having scope to set their own transfer tests, but it contrasted with the apathy of the Department for Education and Skills in England.
Jack Straw later reflected on this, claiming that there was a 'much deeper consensus for comprehensive education' in places such as South Wales, than in 'London and southern England'. 59 He suggested that this was because fewer children were in private schools in Wales, as in Northern Ireland too, which meant that there was a 'greater middle-class commitment to the state system'. 60 This reveals how Labour was able to justify both not
54 Walford, 'Education and the Labour Government', p. 8.
55 Michael Lynch (ed.), The Oxford Companion to Scottish History (Oxford: Oxford University Press, 2007).
t
'The schools system in Northern Ireland', BBC News, 22 October 2007.
56 Commons sitting of Tuesday 14 January 2003. House of Commons Hansard , Sixth Series, Volume 397, cc556605 (online: ht ps://api.parliament.uk/historic-hansard/commons/2003/jan /14/e ducat o nno r the r n-ire l and ). 57
58 Caroline Perry, 'Academic selection: a brief overview', Northern Ireland Assembly Paper 48/16, 8 September 2016, last accessed 23 April 2024,
htt
ps://www.niassembly.gov.uk/g lo
ba las
sets/documents/raise/publications/2016-
2021/2016/education/4816.pdf
, p. 2.
59 Straw, Last Man Standing, p. 167.
60 Ibid., p. 167.
abolishing the eleven-plus and increasing selection through specialist schools in England, as most of the pro-comprehensive views were in Wales, Scotland, and Northern Ireland.
Overall, Labour justified its increase in selection by emphasising the notion of diversity of schools, within its larger agenda about improving standards and choice. The issue of grammar schools had been actively limited, and they became an aspect of Labour's commitment to diversity as a means of improving examination results after secondary school, and to increase the rates of school leavers going to university. This reaffirms the idea that New Labour intended to appeal to voters who prioritised aspiration, a decisive shift from Old Labour ideas of the welfare state and equality.
This move to specialisation has set the course for education policy since this period. Academy schools were introduced in 2000 and, after rapidly increasing in number following the 2010 Academies Act, now make up eighty per cent of secondary schools in England. 61 Academies operate outside of LEA control, meaning they have more individual autonomy to teach outside of the National Curriculum and specialise. This also led to the introduction of free schools, meaning new academies which have been set up since 2011, rather than converted from LEA-run secondary schools. 62 Michael Gove, the Secretary of State for Education from May 2010 to July 2014, led this impetus on academies, and introduced the English baccalaureate in 2010. This was a measurement of students' GCSE results in various
61 Andrew Eyles, 'The Introduction of Academy Schools to England's Education', Journal of the European Economic Association 17 (2018), p. 1108; Department for Education, 'What are academy schools and what is 'forced academisation?', 2 May 2023, last accessed 20 April 2024,
t
i
i
ht ps://educat onhub.blog.gov.uk /2023/ 05/ 02 /what-are-academy-schools-and-what-is-forced-academisat on/ . 62 'What is a free school? Everything you need to know', Department for Education, 10 June 2022, last accessed 20 April 2024, ht ps://educat onhub.blog.gov.uk/2022/06/10/what-is-a-free-sc ho o le v e r ything-yo u -ne ed -toknow/ .
academic subjects, adding data to league tables. Gove also made the GCSE grading system numbered, which the Department for Education argued was to increase 'differentiation' in ability. 63 The 1990s, therefore, proved to be a critical moment in the shift from debates over selection, to a cross-party focus on school autonomy, differentiation, and standards. This looks set to continue.
63 'GCSE 9 to 1 grades', Department for Education, 3 March 2017, last accessed 20 April 2024, ht ps://www.gov.uk/government/ne ws /ne w -gcse-9-to-1-grades-coming-soon .
t
Conclusion
The issue of grammar schools in the 1990s was significant because it was a path not taken by the Labour government. This was ultimately the reason why the existing grammar schools largely survived New Labour's thirteen years in power. Labour decided that the traditional notion of the comprehensive school was no longer worth fighting for, and that the issue of grammar schools was not one to be grappled with, but one to be managed. Grammar schools, therefore, were pushed off the political agenda by the end of New Labour's first term. Rather, Labour diagnosed a problem within the comprehensive revolution itself. This was that these comprehensive schools were 'bog-standard', leading to selection being consistently subsumed by broader agendas of standards, diversity, choice, and individual school autonomy. This, in turn, created the narrative that justified an increase in partial selection, through the re-introduction of specialist schools. Stepping back from the detail, the analysis developed in this dissertation highlights four key factors which explain this process.
Firstly, the changing context mattered. The rightward move of public discourse around education from the late 1960s shifted the 'Overton window', leading to the politics of education being framed around standards and parental choice. The increasing idea that comprehensive schools had not become the 'grammar schools for all' that had been promised in the 1960s meant that comprehensive reform was less appealing to many. Grammar schools returned to being perceived as a better school for a child to go to than a comprehensive, and therefore they were perceived as symbols of aspiration. As a result, Labour softened its policy and, as well as the patchwork nature of the remaining grammar
schools, this caused a change in priorities away from challenging selection at eleven.
Grammar schools had become a residual issue, and it was no longer central to public debate.
Secondly, the leadership of Tony Blair ensured that there was an active break in Labour's policy on grammar schools. He believed that they had the potential to be vehicles for social mobility, and also viewed attacks on grammar schools as 'politically dangerous', and these personal views influenced policy. This was epitomised by his support for Harman sending her son to a grammar school by claiming that it was a symbol of choice, displaying how selection became subsumed by broader narratives. A convergence of ideology and electoral pragmatism meant that opposing the eleven-plus was not just a lowered priority, but it was a decision that they would give to local parents. This reveals how Blair and New Labour rebranded around ideas of individualism and aspirationalism, in line with their view of the modern economy.
Thirdly, the ballot legislation served as an issue management device which New Labour used with the intention to make the issue less salient. Apathy meant that selection would not be challenged through central government, but this policy reduced the chances of other actors from making change. While under the guise of supporting parental choice, it made it difficult for parents to campaign for a ballot and win it, while also minimising the role of LEAs. Not only did apathy mean the existing grammar schools remained selective, but so did active policy decisions.
Finally, new narratives of diversity and autonomy, alongside the broader ideas of standards and choice, led to increased selection through specialist schools. This highlighted how the issue of selection was not tackled directly. Rather, it became a tool which actively contributed to the broader efforts of the Labour government to improve results in secondary education, and increase participation in Higher Education. Selection was rarely challenged directly, and it was also used as a tool to reach the targets the government set. This drew less criticism as Labour had previously reduced the salience of selection in political and public discourse around education, by focusing on the standards agenda, and the issue of grammar schools specifically was rarely discussed in the early 2000s. Devolution made this an exclusively English extension of selection, and global influences added to justifying specialisation.
It is revealing to compare the factors driving Labour's retreat from comprehensive education with explanations for the rise of comprehensive schooling in the 1960s and 1970s. The role of LEAs was limited, for instance, so they did not have a role in changing admissions procedures, as they had done previously. Central governments had encouraged comprehensivisation in the 1960s, in both rhetoric and policy, whereas the New Labour governments made it more difficult. Opposition to the eleven-plus became softer, particularly by the end of the first term, and policy made it more difficult for change to happen. Parents and campaign groups had less scope to drive change as a result, though there was also less enthusiasm among the population, partly due to the worsening perceptions of the academic standards of comprehensive schools. 1 Rost and Collinson's suggestion that policy entrepreneurs were a key driving force applies to the 1990s and 2000s to an extent, where individuals within the party became more influential, such as Adonis,
1 Straw, Last Man Standing, p. 169.
but these were often more senior figures appointed by Blair, who fitted with the modernisation and New Labour projects.
The most important change between the rise and retreat of comprehensive schooling was the decline of the idea of comprehensives being a 'grammar school for all'. Hugh Gaitskell, among others, used this political discourse when more children were using the state education system, with middle-class parents being more likely to have an interest. However, this was not the prevailing educational argument for comprehensive education. Comprehensive education was different as it emphasised a 'broader and more holistic' approach to education, including offering more vocational qualifications than grammar schools, as well as having a more socially and economically diverse student populace. 2 The fact they were sold as expanding access to grammar schools and therefore being judged as grammar schools meant that, when comprehensive schools came under criticism for their lower academic standards, together with New Right criticisms of new teaching methods, the political argument for comprehensivisation lost some of its force. Consequently, this study reveals that the argument often used by the Left from the 1950s was not sustainable enough for the completion of the comprehensive project.
This piece provides original contributions to the literature in various ways. Firstly, it is the first archival research into the politics of selection after Mandler's work which ends in the 1980s. Most accounts of this period are written by former campaigners or relevant actors to
i
2 Natalie Perera, 'Grammar Schools: 8 Conclusions from the Data', Education Policy Institute , 8 November 2016, last accessed 21 April 2024, ht ps://epi.org.uk/publicat ons-and-research/grammar-schools-8-conclusionsdata/ ; T. G. Monks, Comprehensive Education in England and Wales: A survey of schools and their organisation (Slough: National Foundation for Educational Research, 1968), p. 2; Blunkett, Zoom interview, 7 December 2023.
the time, but this study breaks the trend and allows for a broader and more objective insight into what happens and why. It also adds new archival material from recently opened files to the historiography, which is important for a wider understanding of education policy, political change, New Labour, and its consequences for the present-day.
Secondly, for the history of selection, it identifies the landmark turning points in policy development. These include: Radice's framing of selection; Diversity and Excellence and the role of ballots in providing parental choice; the moral and political challenges of Blair and Harman's decisions to send their children to certain schools; the 1997 White Paper; the 1998 SSFA; the ultimately unsuccessful Ripon ballot; Blunkett's proclamation to end the war on grammar schools and his view that they would disappear by 2011; and the specialist schools' programme. Within this, it shows that Labour's retreat from selection had already begun under Radice, in tone and emphasis. It also underlines the high public prominence of the selection issue in the mid-1990s, as encouraged by the press and the Conservatives, and shows how Blair and Blunkett managed the issue.
Thirdly, by analysing the 1990s, a relatively new field of history, it adds insights into how change happens and how the process of change may have altered. For example, it explores the increasing role of the Leader of the Labour Party, where Blair changes the course of policy in this area significantly. 3 This is coupled with a political assessment of how lowsalience issues are managed, particularly when they are opposed in principle. It argues that Conservative narratives were influential in making New Labour view aspiration as key and
3 Debates have increased about who influenced Labour Party policy. See for example Richard Toye, ''The smallest party in history'? New Labour in historical perspective', Labour History Review 69 (2004), 83-103.
egalitarianism as toxic, and indicates that this is perhaps another example of accommodating Thatcherism. Finally, it assesses the legacy of political arguments, such as the idea of 'grammar schools for all', and how rhetoric influenced policy development. In this case, it inhibited the completion of the comprehensive project.
However, this study is limited and can be built on. It is a primarily top-down piece of political history, and an incorporation of the efforts of campaigners, together with the views of parents, teachers, and educationalists on selection, would add to the history. This bottom-up and grassroots historical approach may reveal trends such as how people viewed education and selection differently at a regional level. A study could also interrogate the differences in national perceptions of education, including the link between English identity, aspiration, and the purpose of education, in contrast with other areas with and without selective admission arrangements. Further studies could also extend the periodisation of this history when more files are released, from New Labour's third term in office, to the Coalition government's impact on the politics of selection. Comparisons to other aspects of the welfare state could also be made, including healthcare and to what extent ideas of quality rather than universality influenced policy. These would contribute to ideas about the role of aspiration in British society and the economy from the late twentieth century, as well as the impact of processes such as de-industrialisation and globalisation.
Understanding how this change happened is important for politics in the twenty-first century. The issue remains relevant as approximately 100,000 children take the eleven-plus examination each year. 4 Academic research on the impact of selection is also emerging, such as the study by Durham University in August 2023 which revealed how grammar schools provide no 'substantial academic gain' and can even be detrimental to grades. 5 Campaigns for and against grammar schools remain active, most notably Comprehensive Future. Other issues of selection have also been raised, following a Sutton Trust report in January 2024 which indicated that some comprehensive schools are 'more socially selective than grammar schools'. 6 While New Labour ensured the issue of grammar schools was limited in the longterm, there have been flashpoints where it has increased in salience. Conservative Prime Ministers Theresa May and Liz Truss both hinted at plans to overturn the 1998 SSFA and build new grammar schools, though both were unsuccessful. 7 The Labour Party has not included a commitment to abolish the eleven-plus in its manifesto since this period, but Jeremy Corbyn challenged the Conservative Party's proposals to expand grammar schools in 2016. 8 This has been the firmest criticism of grammar schools by the Labour Party in the twenty-first century, and this is unlikely to change in its current form.
4 'Facts, Figures and Evidence about Grammar Schools', Comprehensive Future , 30 August 2023, last accessed 11 April 2024, ht ps://comprehensivefuture.org.uk/facts-f gures-and-evidence -abo utgramma r-sc ho o ls/ .
t
5 Binwei Lu, Jake Anders, Nadia Siddiqui and Xin Shao, 'How do academic selection systems affect pupils' educational attainment? New evidence from an analysis of large-scale data on England', Educational Review (August 2023), p. 1.
6 Sally Weale, 'Some comprehensive schools 'more socially selective than grammars', The Guardian, 11 January 2024.
7 Sally Weale, ''They don't work': experts criticise Liz Truss's grammar schools plan', The Guardian, 22 September 2022.
8 Jessica Elgot, 'Corbyn lambasts May on grammar schools in boisterous PMQs', The Guardian, 14 September 2016.
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Mandler, Peter, The Crisis of Meritocracy: Britain's Transition to Mass Education since the Second World War (Oxford: Oxford University Press, 2020).
McCulloch, Gary, 'British Labour Party Education Policy and Comprehensive Education', History of Education 45 (2016), 225-245.
McSmith, Andy, 'Not quite good enough: why did Estelle really flunk on Education?', The Independent, 27 October 2002
[https://www.independent.co.uk/news/education/education-news/not-quite-good- enough-why-did-estelle-really-flunk-on-education-132954.html, accessed 7 January
2024].
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Newman, Martin Peter, 'Going local, heading nowhere: the 1974-79 Labour Government's attempt to reintroduce comprehensive schooling in Northern Ireland', Irish Political Studies 38 (2023), 210-230.
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|
Legislative Council
LC Paper No. CB(1)2170/04-05 (These minutes have been seen by the Administration)
Ref: CB1/BC/6/04/1
Bills Committee on Securities and Futures (Amendment) Bill 2005
Minutes of the fifth meeting held on Tuesday, 5 July 2005, at 10:45 am in Conference Room A of the Legislative Council Building
Members present : Hon SIN Chung-kai, JP (Chairman)
Hon Ronny TONG Ka-wah, SC (Deputy Chairman)
Hon Margaret NG
Hon CHAN Kam-lam, SBS, JP
Hon Howard YOUNG, SBS, JP
Hon Emily LAU Wai-hing, JP
Hon Audrey EU Yuet-mee, SC, JP
Hon Jeffrey LAM Kin-fung, SBS, JP
Hon WONG Ting-kwong, BBS
Hon Andrew LEUNG Kwan-yuen, SBS, JP
Hon TAM Heung-man
Members absent: Hon Bernard CHAN, JP
Hon Abraham SHEK Lai-him, JP
Hon CHIM Pui-chung
Hon KWONG Chi-kin
Public officers : attending
Mr Kevin HO
Permanent Secretary for Financial Services and the Treasury (Financial Services)
Miss Alice CHEUNG
Principal Assistant Secretary for Financial Services and the Treasury (Financial Services)
Miss Aubrey FUNG
Assistant Secretary for Financial Services and the
Treasury (Financial Services)
Mr W L CHEUNG
Senior Government Counsel
Department of Justice
Attendance by : Securities and Futures Commission
invitation
Mr Andrew L T SHENG
Chairman
Miss Doris PAK
Commission Secretary
Hong Kong Securities & Futures Industry Staff Union
Mr WONG Kwok-on
Chairman
Mr Roger LEUNG Sung-yeung
Vice Chairman
Hong Kong Society of Financial Analysts Limited
Mr Karl LUNG
President
Mr James SOUTAR
Director
Individual
Mr David M WEBB
Editor
Webb-site.com
Clerk in attendance : Miss Polly YEUNG
Chief Council Secretary (1)3
Staff in attendance : Mr KAU Kin-wah
Assistant Legal Adviser 6
3
Ms Rosalind MA Senior Council Secretary (1)8
I Meeting with the Administration and deputations Action
Follow-up to previous meetings
(a) Issues arising from the meeting held on 10 June 2005
(b) Reference to overseas models
LC Paper No. CB(1)1927/04-05(03)
LC Paper No. CB(1)1930/04-05
LC Paper No. LS78/04-05
- Information note on "Governance structures of overseas securities regulators" provided by SFC
- Paper for the meeting on 5 July 2005 prepared by the Secretariat
- Paper on "Observations on the United Kingdom legislation in respect of the separation of the roles of the Chairman and Chief Executive of the Financial Services Authority (FSA)" prepared by the Legal Service Division
Previous papers provided by the Administration
LC Paper No. CB(1)1762/04-05(01)
- Administration's response to the submission of the Hong Kong Society of Financial Analysts Limited
LC Paper No. CB(1)1745/04-05(04)
LC Paper No. CB(1)1735/04-05(01)
LC Paper No. CB(1)1651/04-05(01)
LC Paper No. CB(1)1537/04-05(04)
LC Paper No. CB(1)1537/04-05(05)
LC Paper No. CB(1)880/04-05(08)
Consultation with IOSCO
LC Paper No. CB(1)1699/04-05(01)
LC Paper No. CB(1)1699/04-05(02)
LC Paper No. CB(1)1699/04-05(03)
LC Paper No. CB(1)1699/04-05(04)
LC Paper No. CB(1)1745/04-05(01)
- Administration's response to the submission of the Hong Kong Bar Association
- Administration's response to the issues raised at the meeting on 30 May 2005
- Administration's response to the issues raised at the meeting on 19 May 2005
- Administration's response to the issues raised at the meeting
on 22 April 2005
- Administration's response to the written submissions
- Administration's response to issues raised in the written submissions to the Panel on Financial Affairs
- Letter dated 20 May 2005 to the Chairman of the IOSCO Executive Committee
- Letter dated 20 May 2005 to the Deputy Chairman of the IOSCO Technical Committee
- Letter dated 31 May 2005 from the Chairman of the IOSCO Executive Committee
- Letter dated 31 May 2005 from the Deputy Chairman of the IOSCO Technical Committee
- Administration's response to the views of the Chairman of the Executive Committee and the Deputy Chairman of the Technical Committee of the IOSCO
LC Paper No. CB(1)1745/04-05(02)
Submissions previously received
LC Paper No. CB(1)547/04-05(04)
LC Paper No. CB(1)1590/04-05(02)
LC Paper No. CB(1)547/04-05(06)
LC Paper No. CB(1)1537/04-05(01)
LC Paper No. CB(1)1651/04-05(02)
LC Paper No. CB(1)547/04-05(07)
LC Paper No. CB(1)1537/04-05(02)
LC Paper No. CB(1)1651/04-05(03)
LC Paper No. CB(1)1735/04-05(02)
LC Paper No. CB(1)547/04-05(16)
LC Paper No. CB(1)547/04-05(08)
LC Paper No. CB(1)1537/04-05(03)
LC Paper No. CB(1)1590/04-05(01)
LC Paper No. CB(1)1669/04-05(01)
Other relevant papers
LC Paper No. CB(1)1553/04-05(01)
- Letter dated 12 January 2005 from Mr Philippe Richard to Financial Services and the Treasury Bureau
- Submissions from Securities and Futures Commission
- Speaking note of Mr Andrew L T SHENG, Chairman, Securities and Futures Commission
- Submissions from Hong Kong Securities & Futures Industry Staff Union (Chinese version only)
- Submissions from the Hong Kong Society of Financial Analysts Limited (English version only)
- Submission from Mr David M WEBB
(English version only)
- Submission from Hong Kong Stockbrokers Association Limited
- Submission from the Law Society of Hong Kong (Securities Law Committee) (English version only)
- Submission from Mr Ermanno PASCUTTO (English version only)
- Submission from Hong Kong Bar Association (English version only)
- Extracts of relevant provisions under Securities and Futures Ordinance (Cap.571) on functions vested with the Chairman of Securities and Futures Commission
LC Paper No. CB(1)1344/04-05(01)
LC Paper No. CB(3)439/04-05
SUB12/2/1(2005)Pt.5
LC Paper No. LS43/04-05
- Marked-up copy of the Bill prepared by the Legal Service Division
- The Bill
- The Legislative Council Brief issued by the Financial Services and the Treasury Bureau
- The Legal Service Division Report on the Bill
LC Paper No. CB(1)1343/04-05
- Background brief on Securities and Futures (Amendment) Bill 2005 prepared by the Secretariat)
1. The Bills Committee deliberated (Index of proceedings attached at Appendix).
Issues which required follow-up actions by the Administration/the Securities and Futures Commission (SFC)
Admin 2. The Administration was requested to take the following actions:
(a) to further consider putting in place measures to address members' concern about the safeguards against conflict of interests which would be binding on the future non-executive Chairman of SFC, other non-executive directors and staff of SFC under the split model if the Bill was enacted;
(b) to facilitate the Bills Committee's consideration of the Bill and its practical implementation, the Administration and SFC were requested to further discuss the delineation of roles and responsibilities of the Chairman and the Chief Executive Officer (CEO) under the split model with a view to reaching a consensus on the arrangements for the future model; and
(c) to provide its response to the proposal of the SFC Board on the delineation of roles and responsibilities of the Chairman and CEO as set out in SFC's letter dated 28 June 2005 (LC Paper No. CB(1)1927/04-05(02)), as well as amendments, if any, to be proposed to the Bill.
3. In connection with paragraph 2(b), members deliberated on alternative means for setting out the delineation of roles and responsibilities of the two posts. The Chairman suggested that the roles and responsibilities of the two posts might be set out by a combination of the following means :
Clerk
(a) by including the relevant information in the respective appointment letters to the successful candidates of the two posts;
(b) by including the relevant information in the speech by the Secretary for Financial Services and the Treasury (SFST) during the resumption of Second Reading debate of the Bill; and
(c) by setting out the relevant information in the legislation, i.e. the Bill.
Members agreed that the means for setting out the delineation of roles and responsibilities between the two posts should be further considered after the Administration and SFC had reached a consensus on the arrangements under the split model.
4. Members invited SFC to provide in written form the remarks about the splitting proposal made by the incumbent Chairman of SFC at the meeting in his personal capacity.
(Post-meeting note: The paper provided by SFC on paragraph 4 above was circulated to members vide LC Paper No. CB(1)1997/04-05(01) on 6 July 2005.)
Arrangements for the next meeting
5. Members were of the view that in the absence of a consensus between the Administration and SFC on the delineation of roles and responsibilities between the future Chairman and CEO under the split model, it would be very difficult for the Bills Committee to consider how scrutiny of the Bill should be taken forward. Members therefore agreed in principle that the next meeting should only be held after such a consensus had been reached between the Administration and SFC. Nevertheless, noting that the current contract of the incumbent Chairman of SFC would expire at end September 2005, members agreed that the next meeting be scheduled for Monday, 5 September 2005 at 2:30 pm in anticipation that a consensus might be reached before then. The Secretariat would liaise with the Administration in late August 2005 to confirm the meeting arrangements having regard to the progress of the discussion between the Administration and SFC as requested in paragraph 2(b) above.
(Post-meeting note : At the request of the Administration and with the concurrence of the Chairman, the next meeting has been deferred to October 2005 to allow more time for the Administration to discuss with SFC the various aspect of the splitting proposal. Members were informed of the arrangement vide LC Paper No. CB(1)2128/04-05 on 26 July 2005.)
II Any other business
6. There being no other business, the meeting ended at 12:10 pm.
Council Business Division 1 Legislative Council Secretariat 9 August 2005
Proceedings of the fifth meeting of the Bills Committee on Securities and Futures (Amendment) Bill 2005 on Tuesday, 5 July 2005, at 10:45 am in Conference Room A of the Legislative Council Building
| Time Marker | Speaker | Subject(s) |
|---|---|---|
| 000000 – 000019 | Chairman | (a) Confirmation of minutes (b) Introductory and welcoming remarks |
Speaker
Subject(s)
Marker
Action
Required
Speaker
Subject(s)
Marker
Action
Required
| | | Administration had provided to the SFC Board the broad principles governing the delineation of roles and responsibilities between the Chairman and CEO and would be willing to discuss with the Board for clarifications on any relevant matters |
|---|---|---|
| 001936 – 002659 | Mr WONG Ting-kwong Administration | (a) Future acting arrangements during the temporary absence of the non-executive Chairman of SFC (b) Safeguards against conflict of interests which would be binding on the future non-executive Chairman of SFC, other non-executive directors and staff of SFC under the split model |
| 002700 – 005212 | Chairman Mr Ronny TONG SFC Administration Ms Audrey EU | (a) The Chairman’s view that it would be difficult for the Bills Committee to consider how scrutiny of the Bill should be taken forward without a clear consensus between the Administration and SFC on key issues such as the delineation of roles and responsibilities between the Chairman and CEO and safeguards for avoidance of conflicts of interest (b) Mr Ronny TONG’s view that the Bills Committee could not consider the propriety of the delineation of roles and responsibilities if this was only to be worked out after the enactment of the Bill as suggested by the SFC Board in its response to the Administration (LC Paper No. CB(1)1927/04-05(02)) |
- 4 -
Speaker
Subject(s)
Marker
Action
Required
- 5 -
Speaker
Subject(s)
Marker
Action
Required
| | | between the Chairman and CEO and the difference in views of the Administration and SFC as to whether and how the chairman post should be split (f) The Administration’s concern that while the roles and responsibilities of the Chairman and CEO could be set out in the appointment letters to the candidates of the respective posts, the suggestion of setting out the division of work in the legislation could not provide the flexibility required for the SFC Board to fine-tune and adjust the duties and responsibilities of the posts which would evolve over time |
|---|---|---|
| 005213 – 011200 | Mr CHAN Kam-lam Mr Howard YOUNG Chairman Mr Ronny TONG Ms Emily LAU Administration | (a) Mr CHAN Kam-lam’s view that to facilitate the Bills Committee's consideration of the Bill and its practical implementations, the Administration and SFC should further discuss the delineation of roles and responsibilities of the Chairman and CEO under the split model with a view to reaching a consensus on the arrangements for the future model (b) The Chairman proposed a combination of three means for setting out the roles and responsibilities of the Chairman and CEO, namely, in the respective appointment letters for the candidates of the posts, in the speech of SFST during the resumption of the Second Reading debate |
- 6 -
Speaker
Subject(s)
Marker
Action
Required
- 7 -
| Time Marker | Speaker | Subject(s) |
|---|---|---|
| | | (c) The Bills Committee's thanks extended to the incumbent SFC Chairman |
Council Business Division 1 Legislative Council Secretariat 9 August 2005
|
BIOTECHNOLOGY AND BIOLOGICAL SCIENCES RESEARCH COUNCIL
NEW TECHNIQUES FOR GENETIC CROP IMPROVEMENT
Position statement
1. This statement sets out the position of the Biotechnology and Biological Sciences Research Council (BBSRC) on new and emerging genetic techniques that have the potential to contribute to producing crops with improved performance.
Key messages
* There is a pressing need for agriculture to produce more output with less input, and to do so sustainably within social, political, economic and environmental contexts. Genetic crop improvement can contribute towards solving this complex problem.
* Novel genetic techniques have been developed in recent years and are advancing rapidly. They include techniques commonly referred to as 'genome editing' that allow targeted changes to be made to genomes, such as adding, removing or replacing DNA at specified locations.
* All genetic crop improvement methods rely on introducing genetic changes. Genetic changes, however produced, can add beneficial characteristics or remove undesirable ones.
* The risks and benefits of genetic crop improvement are associated with the particular changes that have been introduced, not the method by which they were introduced.
* The new techniques offer the possibility of making genetic changes more precisely than previously possible by targeting them to specific sites in the genome.
* In some cases it will be impossible to tell what method was used to produce a new crop variety, because exactly the same DNA changes could be introduced using a variety of conventional breeding or newer techniques. The boundaries between established genetic modification (GM) and non-GM techniques will become increasingly blurred as techniques develop.
* This raises questions about how new crop varieties should be regulated. A regulatory system based on the characteristics of a novel crop, by whatever method it has been produced, would provide more effective and robust regulation than current EU processes, which consider new crop varieties differently depending on the method used to generate them.
The context
2. Agriculture is facing many challenges, which can be summarised as a pressing need to produce more output with less input.
3. Achieving a sustainable and secure supply of agricultural products is a complex problem requiring a multi-faceted solution, including improvements in crop genetics,
1
agronomic practices and post-harvest systems. Agriculture takes place in diverse social, political, economic and environmental contexts, which shape the choice of priorities for research, the consideration of alternatives approaches, the potential for specific technologies or products to deliver their anticipated benefits, and their acceptability.
4. In this context, genetic crop improvement is an attractive target because of the potential for rapid dissemination via seed distribution. Furthermore, genetic improvement can contribute to diverse aspects of crop biology. These include improved agricultural properties such as resource use efficiency or disease resistance, and improvements in the harvested product, such as nutritional content, storage performance, or processing properties for both food and non-food uses.
5. Because of the potential contributions of genetic crop improvement to the sustainable and secure supply of agricultural products, there is considerable excitement around the rapid emergence of a new suite of techniques to add to the existing tool box (see below and Table).
6. While it is important to guard against the notion of a simple "technological fix" to the many challenges facing agriculture, it is equally important to reap the benefits of available and emerging technologies where they can contribute effectively. This can only be achieved by considering the social, political and economic factors that will support the equitable delivery of these benefits. This, in turn, points to the need for proactive discussion with interested parties such as farmers, consumers and foodbased industries, who are likely to have different viewpoints on what constitutes a benefit. Such discussion should seek to listen to views, support information needs and respond to concerns. It is in this context that new technologies for genetic crop improvement should be evaluated.
The techniques
7. A range of novel genetic techniques, particularly techniques often collectively referred to as 'genome editing', have been developed that allow targeted changes to be made to genomes. Changes can include adding or removing DNA at a specified location in the genome or replacing a specified segment of DNA with a different one. It is also possible to make epigenetic changes, where the DNA sequence remains unchanged but gene expression is altered because of chromatin changes that may be heritable. For examples of such techniques and comparison with established methods, see the Table; further technical detail is provided in the Annexes.
8. Adding a gene at a specified location is similar to established genetic modification (GM) approaches, except that the new gene is introduced at a specific site, potentially reducing problems such as unpredictable expression levels that can be associated with random insertion.
9. Deleting a gene can remove an undesirable trait from a crop more rapidly and easily than conventional breeding or mutational breeding techniques, and more reliably than
established GM approaches such as anti-sense gene expression.
10. Replacing a DNA segment with a different one could allow swapping different versions of the same gene more quickly and precisely than conventional breeding. This is particularly attractive for crops where it is possible to do this directly in existing elite crop varieties.
11. An important limitation of this sort of targeted approach is the requirement to know which genes to target. This requires a good understanding of which genes have relevant functions. Currently, the main application for these new technologies is in basic laboratory-based research to understand gene function. This understanding can be applied to agriculture in many different ways, including any of the available methods for genetic crop improvement, or through changes in agronomic practice.
12. Although there is still much work to be done to understand important plant traits, for some, such as resistance to some diseases, we already know enough about their genetic basis to be able to use the new technologies for crop improvement. It is therefore expected that crop varieties produced using these approaches will be developed world-wide over the coming years.
13. All genetic crop improvement methods rely on genetic changes. The availability of rapid and relatively inexpensive methods for DNA sequencing has taught us that genomes are highly dynamic and constantly changing. Conventional breeding approaches have relied on this dynamism to drive substantial improvements in productivity both historically – during the original domestication of crops – and subsequently within more targeted breeding programmes.
14. The genetic changes underlying the development of conventionally bred modern crop varieties range from small changes in DNA sequences, through more substantial rearrangements caused by transposable DNA elements, to combining entire genomes through species hybridisation.
15. As more methods for introducing genetic changes become available, in an increasing number of cases it will be impossible to tell what method was used to produce a new crop variety, because exactly the same DNA changes could be introduced using a variety of conventional breeding, established GM or newer techniques. If epigenetic approaches are adopted, there will be no DNA sequence changes at all.
16. These developments present a number of important questions about how the potential benefits from these new techniques can be realised. How can the social, political, economic and environmental factors that will influence the realisation of anticipated benefits be identified and evaluated to determine whether, when and how these tools should be used in agriculture? How can the perspectives of different stakeholders be taken into account? What kind of regulation is appropriate for the techniques and products generated using them? Active engagement of a wide range of stakeholders is needed to explore these questions.
Regulation
17. How a new crop variety is handled under the current EU regulatory system is determined by the process used to generate the crop. For new conventionally bred crop varieties, the main requirements are to demonstrate that the variety is distinct, uniform and stable. If the crop is GM it is also subject to an evidence-based risk assessment to determine whether its cultivation would pose significant additional risks when compared to an equivalent conventionally-bred variety.
18. By contrast, Canada operates a trait-based system under which plants with novel traits/characteristics, however introduced, are assessed for their safety and environmental impact. A BBSRC-led workshop in June 2014 showed strong support for this approach.
19. The new techniques place even more emphasis on the advantages of a trait-based system, since the boundaries between GM and non-GM techniques will become increasingly blurred as new techniques develop.
20. These new techniques therefore provide a stimulus to develop a proportionate and evidence-based regulatory framework that will be sufficiently robust to accommodate both existing and new technologies and agronomic practices as they arise.
21. It is recognised that changes to the current EU regulatory processes would be neither quick nor easy. Nonetheless, it is important for policy-makers to recognise that the new techniques are already widely used in research, and commercial applications are likely to follow. Regulatory processes need to be able to accommodate them.
22. Indeed, policy-makers need to be aware of the many costs of not introducing appropriate regulatory processes. These include inhibition of the development of potentially important applications that could contribute to addressing some of the key challenges facing agriculture; deployment of novel traits without appropriate consideration of risks when new products fall outside the remit of existing regulatory processes; and additional costs arising from the need to detect particular types of novel products in traded goods.
23. A trait-based regulatory system would allow more meaningful debate about agricultural priorities. Many of the concerns raised about GM crops are not related to the technique used but rather to the traits that have been introduced. These concerns are twofold. There are general concerns about the decision-making processes involved in selecting which traits should come to market and how they are marketed, and there are specific concerns about the impacts of particular traits. A trait-based regulatory system would focus the discussion explicitly on both these factors.
24. Trait-based regulation should be delivered via development of the evidence-based risk assessment and management approaches used currently. The regulatory end-points should remain the effective mitigation of hazards associated with human health and the environment. If the regulatory system is to become fit for purpose, some significant issues will need to be reviewed relating to: proportionality; the type, quality
and extent of the evidence needed to assess applications; and the appropriate basis of comparison of new crops with existing ones.
25. Evidence-based risk management should remain separate and distinct from regulations on traceability and labelling that are intended to support consumer choice once crop varieties have been approved for cultivation.
BBSRC, September 2014
Table: Some genetic approaches for crop improvement
6
Annex 1: Genome editing
Note: this annex was first produced as a fact sheet for the Science Media Centre and is available at www.sciencemediacentre.org/genome-editing
Genome editing comprises a range of molecular techniques that allow targeted changes to be made to the genomes of organisms.
Also referred to as genome engineering or site-directed mutagenesis, genome editing can:
* modify genetic information within genomes to create new traits
* add transgenes (genes from other organisms) to specific locations in genomes
* remove specific regions from genomes
Genome editing is more precise than conventional crop breeding methods, as well as many standard genetic engineering (transgenic) methods, for introducing desirable traits in crops.
Established genetic engineering techniques include using the naturally occurring plant pathogen Agrobacterium to insert genes in the genome of an organism, typically at a random position.
It is unclear how existing regulations for genetically modified organisms apply to plants modified by genome editing methods.
Genome editing precisely modifies nucleotides (A, T, G, C) in the genetic code, and is performed by:
1. using specifically engineered 'molecular scissors' to create precise breaks in the genome
2. repairing and editing the genome by harnessing the DNA repair mechanisms of cells
1. Techniques for creating breaks in the genome: sequence-specific nucleases
Nucleases are enzymes that sever nucleic acids (DNA, RNA), hence 'molecular scissors'. They can be engineered to target specific sites within genes and create breaks in the genome.
Four kinds of sequence-specific nucleases (SSNs) are currently used in genome editing:
Zinc-Finger Nucleases (ZFNs)
Zinc-fingers, protein structures containing zinc molecules, can be designed to recognise and bind to unique sequences in a genome.
Two combinations of zinc-fingers are then fused to nucleases that create a break when they meet.
Transcription Activator-Like Effector Nucleases (TALENs)
Transcription activator-like (TAL) effectors are proteins produced by Xanthomonas bacteria, a family of plant pathogens, which bind to specific sections of a plant's genome.
TAL effectors can be engineered to target desired DNA sequences and when fused to nucleases can be used to create breaks in a similar way to ZFNs.
Meganucleases
Unlike ZFNs and TALENs which have separate DNA recognition and nuclease components, meganucleases (also called homing endonucleases) have DNA recognition built in.
Meganucleases occur naturally and can be engineered, to some extent, to target specific sequences.
Clustered Regularly Interspersed Short Palindromic Repeats (CRISPRs)
CRISPRs are an immune defence system found in bacteria to protect against viruses; the system exploits short stretches of viral DNA that, when matched to the DNA sequence of an invading virus, trigger CRISPR associated (Cas) nucleases to make a break.
CRISPRs can be easily engineered to specify where a break should be made on the genome: the target DNA sequence is provided by a short RNA making it easier to implement than the three systems above.
2. Techniques for repairing and adjusting the genome
Once a break is made in the genome at the desired position the DNA repair mechanisms of a cell are triggered which can be harnessed to make the desired changes via two mechanisms:
Homologous Recombination involves introducing a DNA fragment as a template for repair which contains the desired genetic sequence and can be used to replace or insert nucleotides or full genes.
Non-Homologous End Joining (NHEJ) doesn't require a template and simply repairs the break, in general precisely but occasionally with small deletions or insertions.
Slight changes made to the genome will often stop a gene from functioning, creating a 'knock out', but NHEJ can also be purposefully used to make insertions and deletions of full genes.
Sources / further information
Precision Genome Engineering and Agriculture: Opportunities and Regulatory Challenges (PLOS Biology)
Plant Genome Engineering with Sequence-Specific Nucleases (Annual Review of Plant Biology)
Genome engineering using the CRISPR-Cas9 system (Nature Protocols)
This is a fact sheet issued by the Science Media Centre to provide background information on science topics relevant to breaking news stories. This is not intended as the 'last word' on a subject, but rather a summary of the basics and a pointer towards sources of more detailed information. These can be read as supplements to our roundups and/or briefings.
For more information about our fact sheets, please contact Robin Bisson at the Science Media Centre on 020 7611 8345 or email email@example.com.
See also the BBSRC New Crop Breeding Technologies Working Group's register of declared interest on the BBSRC website.
Annex 2: Schematic outlining one possible process for genome editing using Agrobacterium and CRISPR
|
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549
FORM 10-Q
(Mark One)
[X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the Quarterly Period Ended July 3, 1994
OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Commission File Number 1-5075
EG&G, Inc.
(Exact name of registrant as specified in its charter)
Massachusetts 04-2052042
(State or other jurisdiction of (I.R.S. employer identification no.)
incorporation or organization)
45 William Street, Wellesley, Massachusetts 02181 (Address of principal executive offices)(Zip Code)
(617) 237-5100
(Registrant's telephone number, including area code)
NONE
(Former name, former address and former fiscal year, if changed since last report)
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.
Yes X No
Number of shares outstanding of each of the issuer's classes of common stock, as of the latest practicable date:
Class Outstanding at July 31, 1994
Common Stock, $1 par value 55,121,000
(Excluding treasury shares)
PART I. FINANCIAL INFORMATION
Item 1. Financial Statements --------------------
EG&G, INC. AND SUBSIDIARIES
CONSOLIDATED STATEMENT OF INCOME
For the Three and Six Months Ended July 3, 1994 and July 4, 1993
(Unaudited)
---------
(In Thousands Except Per Share Data)
----------------------------------
Three Months Ended Six Months Ended ------------------ ----------------
July 3, July 4, July 3, July 4,
EG&G, INC. AND SUBSIDIARIES
CONSOLIDATED STATEMENT OF INCOME
For the Three and Six Months Ended July 3, 1994 and July 4, 1993 (Continued)
The accompanying unaudited notes are an integral part of these consolidated financial statements.
EG&G, INC. AND SUBSIDIARIES
CONSOLIDATED BALANCE SHEET
As of July 3, 1994 and January 2, 1994
(Dollars in Thousands)
--------------------
======== ========
EG&G, INC. AND SUBSIDIARIES
CONSOLIDATED BALANCE SHEET (Continued)
As of July 3, 1994 and January 2, 1994
Current Liabilities:
The accompanying unaudited notes are an integral part of these consolidated financial statements.
EG&G, INC. AND SUBSIDIARIES
CONSOLIDATED STATEMENT OF CASH FLOWS
For the Six Months Ended July 3, 1994 and July 4, 1993
(Unaudited)
-------- --------
The accompanying unaudited notes are an integral part of these consolidated financial statements.
EG&G, INC. AND SUBSIDIARIES
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
(Unaudited)
(1) Principles of Consolidation
- - -------------------------------- The consolidated financial statements included herein have been prepared by the Company, without audit, pursuant to the rules and regulations of the Securities and Exchange Commission. Certain information and footnote disclosures normally included in financial statements prepared in accordance with generally accepted accounting principles have been condensed or omitted pursuant to such rules and regulations. The Company believes, however, that the disclosures are adequate to make the information presented not misleading. It is suggested that these consolidated financial statements be read in conjunction with the financial statements and the notes thereto included in the Company's latest annual report on Form 10-K. The balance sheet amounts as of January 2, 1994 in this report were extracted from the Company's audited 1993 financial statements included in the latest annual report on Form 10-K.
In the opinion of management, the unaudited consolidated financial statements included herein contain all adjustments, consisting only of normal recurring accruals, necessary to present fairly the financial position as of July 3, 1994 and the results of operations for the three and six months ended July 3, 1994 and July 4, 1993 and the cash flows for the six months then ended. The results of operations are not necessarily to be considered indicative of the results for the entire year.
Effective January 3, 1994, the Company adopted Statement of Financial Accounting Standards (SFAS) No. 112 on accounting for postemployment benefits. This new standard requires that benefits paid for former or inactive employees after employment but prior to retirement must be accrued if certain criteria are met. Adoption of the statement did not have a material impact on the Company's financial position or results of operations.
(2) Other Income (Expense), Net - - --------------------------------
Other income (expense), net, consisted of the following:
(In Thousands)
------------
Three Months Ended Six Months Ended ------------------ ----------------
July 3, July 4, July 3, July 4,
1994 1993 1994 1993 ------- ------- ------- ------dividend income $ 614 $ 832 $ 1,453 $ 1,686
Interest expense (1,145) (1,582) (2,110) (3,083)
Other 98 1,078 203 1,075 ------- ------- ------- ------$ (433) $ 328 $ (454) $ (322)
======= ======= ======= =======
EG&G, INC. AND SUBSIDIARIES
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (Continued)
(Unaudited)
(3) Accounting for Income Taxes
- - -------------------------------- Effective January 4, 1993, the Company adopted SFAS No. 109 on accounting for income taxes. As part of adopting the new standard, the Company recorded a one-time, non-cash charge against earnings of $7.3 million ($.13 per share) in the first quarter of 1993.
(4) Postretirement Benefits Other Than Pensions - - ------------------------------------------------
Effective January 4, 1993, the Company adopted SFAS No. 106 on accounting for postretirement benefits other than pensions for its U.S. retiree health benefits. As part of adopting the new standard, the Company recorded a one-time, non-cash charge against earnings of $20 million before taxes, or $13.2 million after income taxes ($.23 per share), in the first quarter of 1993.
(5) Inventories - - ----------------
Inventories consisted of the following:
(In Thousands)
======== ========
(6) Property, Plant and Equipment, at Cost - - -------------------------------------------
Property, plant and equipment consisted of the following:
(In Thousands)
------------
July 3, January 2,
1994 1994 ------- ----------
Land $ 17,303 $ 14,327
Buildings and leasehold improvements 97,266 91,280
Machinery and equipment 235,658 221,809 -------- -------$350,227 $327,416 ======== ========
EG&G, INC. AND SUBSIDIARIES
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (Continued)
(Unaudited)
(7) Investments - - ----------------
Investments consisted of the following:
------------
======= =======
Effective January 3, 1994, the Company adopted SFAS No. 115 on accounting for certain investments in debt and equity securities. This new standard requires that available-for-sale investments in equity securities that have readily determinable fair values be measured at fair value in the balance sheet and that unrealized holding gains and losses for these investments be reported in a separate component of stockholders' equity until realized. At July 3, 1994, marketable investments classified as available-for-sale had an aggregate market value of $12.9 million and gross unrealized holding gains of $6.3 million. At July 3, 1994, $4.1 million was reported as a separate component of stockholders' equity, representing the unrealized holding gains, net of deferred federal income taxes.
(8) Intangible and Other Assets
- - --------------------------------
Intangible and other assets consisted of the following:
The majority of the increase in other assets was due to an increase in prepaid pension expense.
EG&G, INC. AND SUBSIDIARIES
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (Continued)
(Unaudited)
(9) Accrued Expenses
- - ---------------------
Accrued expenses consisted of the following:
======== ========
Item 2. Management's Discussion and Analysis of Financial Condition and ---------------------------------------------------------------
Results of Operations ---------------------
EG&G, INC. AND SUBSIDIARIES
Results of Operations ---------------------
The following industry segment information is presented as an aid to a better understanding of the operating results:
(In Thousands)
------------
The discussion that follows is a summary analysis of the major changes in operating results by industry segment that occurred for the three and six months ended July 3, 1994 compared to the three and six months ended July 4, 1993.
EG&G, INC. AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS (Continued)
Second Quarter 1994 Compared to Second Quarter 1993
Sales
Sales for the second quarter of 1994 of $646 million were $16 million below 1993 levels. Lower sales in Technical Services resulted primarily from a $12 million reduction in program expenditures under the new base operations contract at the Kennedy Space Center. In addition, sales returned to more normal levels in the automotive testing business following increases in 1993 caused by the introduction of new industry testing protocols. Department of Energy (DOE) Support sales levels declined primarily as a result of reduced program expenditures under the Rocky Flats contract. The increase in Instruments sales was due primarily to the acquisition of Wallac late in the second quarter of 1993 and, to a lesser extent, several large shipments of security instruments. In Mechanical Components, the decrease resulted primarily from the sale of an operation in late 1993. In Optoelectronics, the increase was caused by a higher level of shipments for flash products.
Income from Operations
Income from operations in 1994 was $25.5 million, $5.8 million less than 1993. In Technical Services, lower sales in the automotive testing business resulted in reduced income. The decrease also reflected the reduction in available fee under the new base operations contract at the Kennedy Space Center. The 1993 results of this segment included favorable contract adjustments negotiated in the second quarter.
In DOE Support, the reduction was due to lower performance grades earned under the Idaho and Rocky Flats contracts. Uncertainty continues to exist in the DOE Support segment. The Idaho contract is scheduled to expire October 1, 1994. The Company is participating as the majority interest in a joint venture that has submitted a proposal for increased work scope at the facility. The DOE has not awarded the contract as of the date of this filing. The terms of the joint venture's proposal could result in a reduction of income to the Company.
The DOE is proceeding with a contract reform initiative and has recently announced that five DOE sites will be competitively bid at the expiration of the current contracts. In addition to Idaho, the list of sites includes the Nevada Test Site and Rocky Flats where the Company's contracts with the DOE expire late in 1995. The contract reform initiative also provides for increased contractor liability. The Company is reviewing and evaluating the recently issued request for proposal for the Rocky Flats contract.
The decrease in Mechanical Components was due to increased start up costs for the transportation element of the electromechanical business and the impact of lower sales in the industrial seal business. The
EG&G, INC. AND SUBSIDIARIES
MANAGEMENT'S DISCUSSION AND ANALYSIS (Continued)
Optoelectronics increase was due to a higher level of shipments of flash products and the continued benefit of cost reductions implemented in 1993.
In Instruments, the income contributed by the Wallac sales was offset by costs associated with delays in new diagnostic product introductions and continued price erosion in the security instruments business.
Several operating elements, particularly in the Instruments segment, continue to underperform against key measures of profitability and return on investment. Management has intensified the ongoing review and is focusing on the development of alternative programs to achieve business goals. This review may result in a charge to operating income if the Company determines that restructuring is advantageous or if it is unable to realize the value of any associated assets, including goodwill.
The increase in general corporate expenses was due to separation costs and general cost increases. The change in other income (expense) was due primarily to foreign exchange losses.
Six Months 1994 Compared to Six Months 1993
Sales
Sales for the six months of 1994 of $1.3 billion were slightly ahead of 1993. Technical Services sales declined $13.6 million primarily from a $21 million reduction in program costs at the Kennedy Space Center, partially offset by an increase in sales at the Tooele chemical demilitarization facility which is preparing for operational start-up. Instruments sales increased $31.3 million in 1994 primarily due to the acquisition of Wallac late in the second quarter of 1993. The $11.9 million decrease in Mechanical Components is primarily due to the divestiture of an operation late in 1993. Lower sales in our industrial seal and valve businesses also contributed to the decrease.
Income from Operations
Income from operations of $47.4 million declined $13.3 million in 1994. The $9.7 million decrease in Technical Services reflects the reduction in available fee at the Kennedy Space Center and the impact of lower sales in the automotive testing business. In addition, the 1993 results of Technical Services included adjustments from favorable contract negotiations. The decrease in DOE Support operating income is the result of lower performance grades at Rocky Flats and Idaho. In Instruments, the income contributed by the Wallac acquisition was offset by costs associated with delays in new diagnostic product introductions and price
EG&G, INC. AND SUBSIDIARIES
MANAGEMENT'S DISCUSSION AND ANALYSIS (Continued)
erosion in security instruments. The Mechanical Components decrease resulted from lower sales and inventory adjustments in the industrial seal business and costs associated with new programs. In Optoelectronics, the increase resulted from higher levels of shipments and improved margins resulting from cost reductions. The increase in general corporate expenses was due to separation costs and general cost increases.
Liquidity and Capital Resources -------------------------------
The Company's cash and cash equivalents decreased $16.7 million in the first six months of 1994 while total debt increased $11.2 million. Net cash provided by operating activities totaled $22.7 million during the period. The Company invested $21.3 million in physical plant and equipment during the first half of 1994. The $8.9 million increase in capital expenditures over 1993 was due primarily to a higher level of investment to support new product development initiatives in the Optoelectronics segment.
In the fourth quarter of 1993, the Board of Directors authorized the purchase of up to a total of 5.5 million shares of the Company's common stock through periodic purchases on the open market. The Company has purchased 2.2 million shares under this program to date, including 1.1 million shares purchased in the first quarter of 1994. No shares were purchased under the program in the second quarter pending an evaluation of investment opportunities.
Effective March 21, 1994, the Company concluded the restructuring of its credit facilities with the signing of two revolving credit agreements totaling $250 million. These agreements consist of a $175 million 364-day facility and a $75 million three-year facility and serve as backup facilities for the commercial paper borrowing.
PART II. OTHER INFORMATION
EG&G, INC. AND SUBSIDIARIES
Item 6. Exhibits and Reports on Form 8-K --------------------------------
(b) Reports on Form 8-K - There were no reports on Form 8-K filed for the three months ended July 3, 1994.
EG&G, INC. AND SUBSIDIARIES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
EG&G, Inc.
By /s/ Thomas J. Sauser --------------------Senior Vice President and Chief Financial Officer (Principal Financial Officer)
Date August 1, 1994
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(www.rdmodernresearch.com) Volume I, Issue I, 2016
A CONCEPTUAL STUDY ON CHANGING PERSPECTIVE OF INFORMATION TECHNOLOGY ENABLED EMPLOYMENT SERVICES THROUGH FREELANCE JOBS
K. Krishna Prasad
Srinivas Institute of Management Studies, Pandeshwar, Mangalore, Karnataka
Abstract
Index Terms: Freelance, Biding, SWOT Analysis & Content Writing
In a developing country like India, every year a huge number of graduates are produced by different universities and institutions. The ratio of graduate to employment is not proportional or numbers of graduates are more and only a few of them are getting employed. In this context, due to the drastic development of information and communication peoples can earn money or get employment through freelance jobs and employees can sit in their place or home and work for different clients without any restriction of time and place. In order to work in freelance jobs, first, employee or user should register in any of the website or portals which find respective skilled jobs and drops to the employer. In the website, the user should maintain a good profile and showcase his skills and talents to others. After creating the complete profile user has to register in some membership plans and user will bid for projects based on their skills. A new approach for getting more projects and to earn more money is proposed. The new approach is analyzed using SWOT analysis. This paper helps to improve the user's knowledge in freelance jobs and also help them to get new methods to earn more money. If the user or employee is skilled in different areas like website development, content writing, coding, designing, data entry and advertisement preparation can earn a good amount from home without any physical barriers.
1. Introduction:
Freelance jobs are not attracted by old or mid-aged persons due to some of its constraints like loneliness, lack of employer-employee eye to eye contact or relationship, lack of friendly environment, and also due to insecurity [8-9]. Nowadays there are plenty of freelance service provider websites are available. Due to some of the constraints, people are finding difficult to set initial business for their freelancing [10]. Usually in an organization, employment rank, rules, regulations and time constraints are direct affects the work culture of an employee or it creates pressure on employees. Cohen and Mallon studied on how freelance workers make sense of their enterprise and how much information they will acquire on that enterprise [11]. Freelance is an alternative employment to traditional employment in terms of four different
All over the world every year students are get graduated in large proportion and these students are not able to get jobs due to many reasons like competition, lack of skills and high increase in the ratio of a number of applicant to a number of jobs etc. Due to several reasons self- employment gets more and more popularity. A freelance or freelancer word is commonly used for persons who have set up their own business or self-employment [1-2]. They may also work from home online [3-5]. This freelance job will create specific jobs in different skilled areas like typing, content writing, designing, software testing and developing, garments and design and many more other areas. Depending on the organization, freelance work structure or behaviour will vary and continuously change over time and payment of freelance job is depending on industry or organization, work type, different skill sets, and experiences [6-7].
International Journal of Engineering Research and Modern Education (IJERME) ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
arrangements which include independent contractors, temporary agency workers and on-call workers [12-13]. Nowadays tendency is shifted to more flexible jobs that can be achieved using freelance jobs. By studying the present freelancing service providing web portal, in this paper, a new model is proposed. This model helps to build initial target marketing for a fresh freelancer or for existing freelancer. This model will also help for people who are working for freelancer and through this, they can improve their income. The model is analyzed using SWOT analysis. This paper will indirectly improve the people knowledge in freelance jobs and also help them to get new methods to earn more money.
The main objective of this paper is to propose an innovative model through which freelancer and people hired by freelancer gets a new idea to improve their business and to increase their overall turnover or income. The sub-objective is to avoid some hurdles or difficulties that exist in the present freelancing field. The main concepts involved in this work are
2. Objective and Methodology of the Study:
Providing sample projects for workers to know their working behaviour.
A good employer and employee relationship by continuous communications through a mobile phone or email.
Promoting and motivating the worker by publishing their work details in websites or portals.
3. The proposed Model-Enhanced Employment Service Freelance Model:
3.1 Freelancer: Freelancer is a person or a team who works as designer, content writer, developer and self employed and provide employment to others or to freelance workers.
The proposed model-Enhanced Employment Service Freelance Model as shown in Fig.1 helps for the freelancer and freelance worker to improve their employment services. For Freelance worker it's helpful to get new projects and to earn more money. The proposed model-Enhanced Employment Service Freelance Model, comprises of different units like Registration, Personal website or blog, bidding, Trustworthy services, Membership plans, sample project, freelance service provider website, Efficiency and time consciousness, Freelance worker, freelancer and key skills. The existing freelance service provider and freelancer assign jobs to worker only if they bid more or if they have good experience in respective key skills.
3.2 Freelance Worker: Freelance worker is a person who works as a designer, content writer, developer and works for freelancer and gets paid by freelancer. Here Freelancer worker has flexibility in time and place anytime, anywhere, he can work and no barriers as office surroundings.
3.3 Registration: Every freelance worker and freelancer initially, has to register in one of the freelance service provider websites. This service provider website requires different details like personal details, work experience details, key skills details, security details and much more other details. Even if a freelancer has their own well-established websites, initially it is better to register in some already established freelancer websites.
3.4 Personal Website or Blog: In order to get more assignments or projects, every freelancer should build their own separate websites. This should be linked to their profile in freelance service provider websites. Freelancer worker should showcase their skills and already completed projects in their personal websites. They should be connected through social networking sites to communicate with other freelance worker or freelancer. The personal websites will get more hits and get popularized, if it is connected through social networking sites.
Figure 1: Enhanced Employment Service-Free lance Model
Figure-1: Enhanced Employment Service-Free lance Mode
l
Enhanced
Employment
Service-Free lance
Model
Registration
Personal Website or
Blog
Bidding
Sample Project
Efficiency and
Time-
consciousness
Freelance
Worker
Freelancer
Freelance
service
provider
website
Trustworthy
services
Membership
Plans
Key
Skills
3.6 Trustworthy Services: Many people show a lack of interest in freelance jobs because of insecurity and untrustworthy services. Freelancer and freelance worker should be trustful each other in terms of personal data security, financial security and in providing or hosting or completing projects.
3.5 Bidding: Usually, freelance service provider has to publish a project or work for some amount. This project is bided by freelance workers and service provider portal inform this to freelancer. The freelancer will assign the work to one of the worker, who has bided for a cheap amount. Only those who have bided and have pre-knowledge and experience will only get projects frequently. In this model, paper suggests avoiding this and freelancer should provide work based on the performance of sample project.
3.7 Membership Plans: In Freelance service provider's website freelancer or freelance worker has to register in some membership plans in order to get frequently projects or works. They have to pay some amount for some period of time. If a freelance worker or freelancer has a good, attractive and informative websites of their own, they can avoid or bypass this registration process.
3.9 Freelance Service Provider Website: Freelance service provider website, act as an intermediate between freelancer and freelance worker. They should focus mainly own
3.8 Sample Project: Usually, new freelance worker is not able to properly bid and get projects. In order to avoid this as soon as freelance works registers and requests for some projects, the freelancer should make proper communication with the freelance worker. After identifying the interest of freelancer worker, the freelancer should provide one sample project to freelance worker and should observe the interest, commitment and time conscious of later one. The sample project is the main unit of this new model.
International Journal of Engineering Research and Modern Education (IJERME) ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
satisfying the requirements of the new customer and also help them in the freelance process. In freelance jobs freelance worker registers and bids for a project through this website.
3.10 Efficiency and Time-Consciousness: Freelancer and freelance worker should show commitment to their work. The work should be completed in time with more efficiency. Whatever offerings or wordings are made by freelancer or worker, they should stick on, and that should be reflected in their work and be a faithful mirror to the real word.
3.11 Key Skills: To get more and more projects, freelance worker should have some key skills in some areas like website development, content writing, coding, designing, data entry and advertisement preparation and many more.
4. Enhanced Employment Service Free Lance Model-SWOT Analysis:
The new model-Enhanced Employment Service Freelance Model is analyzed using its strength, weakness, opportunities, and challenges. The main attraction of this model is sample projects unit and identifying the efficiency and truthfulness and time consciousness through this unit.
The first and foremost advantage of this model is people can work from anywhere, anytime they want with high flexibility
Strengths:
Freelancer has control over work and clients, if the worker does not works properly, they can shift the worker and can give job any one else who is good in that area due to the reason that worker is not bound by any service rules.
Freelancer worker is free from eye to eye and time to time unnecessary troubles from hirer or boss.
Freelancer will be chief or boss, no one will be there to impose some rigid policies.
In this model, freelance worker gets a sample project, which will help for him to study the work culture of freelance jobs.
Due to sample project way of getting project is changed through bypassing bidding process for initial or beginner freelance worker.
This model helps for the freelance worker to gain more money.
This model helps to build trusted partnership between freelancer and worker.
Weakness:
Being a freelancer or worker the profits and workload will be unbalanced and contradictory
We cannot distinguish between work and personal life
Freelancer should run here and there in order to set-up his business. He will be the heart and soul of his business.
Even if the freelance worker completes the sample project in time, there is fear of continuing the same, when real project is given.
A Lot of ground work will be involved for freelancer to set up initial business.
Some time Freelancer or worker not paid for many days
Being online in most of the times is one of the barriers in reaching the rural area people in undeveloped countries.
Lack of trust, insecurity in work
There will not be any benefits of employer, cannot use any sick leave or vacation time.
International Journal of Engineering Research and Modern Education (IJERME) ISSN (Online): 2455 - 4200
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Opportunities:
New employment is created in large-scale and widespread across the word without any restriction of the place
Smart and hard working nature works makes more earnings for freelancer or worker
Un-employment can be reduced to a large extent.
Creates large scale of employment in marketing fields.
Opportunity to interact with diverse people all over the world.
Not paid for many days in the beginning stage of the business development can make frustration in freelancer or worker and a chance of quitting the work soon.
Threats:
A Freelance worker has a chance of getting cheated by the freelancer means after completing the work or job freelance worker are not paid or less paid.
Due to in regularity of time, personal life is not balanced.
Loss of teamwork.
Difficult to find the nature, ethics of worker.
5. Conclusion:
Threat to traditional business
Freelance jobs will be one of the best employment services for the youth, they find difficult to get jobs after completion of their studies. Freelancer should have some basic computer knowledge and some special skills in order to get projects. In order to work in freelance jobs, first, employee or user should register in any of the website or portals which find respective skilled jobs and drops to the employer. Following are the different suggestions to become a good freelancer.
Use your contacts, skill, and references while starting or in improving the business
In order to build a good network use good social networking sites and always communicate with your workers or co-workers.
Use your brand, strength to build networks.
Always do the jobs differently than others in terms of time and efficiency.
Do a plan of Action.
Make continuous research in your business
Be always friendly, listener and a good observer
6. References:
By studying the present freelancing service providing web portal, in this paper a new model-Enhanced Employment Service Free lance Model proposed. This model helps to build initial target marketing for a fresh freelancer or for existing freelancer. This model will also help for people who are working for freelancer and through this, they can improve their income. The model is analyzed using SWOT analysis. This paper also helps to improve the user's knowledge in freelance jobs and also help them to get new methods to earn more money.
1. Foltínová, A., & Dubcová, G., Position of freelance jobs in the marketplace of Slovak Republic. Scientific papers of the University of Pardubice. Series D, Faculty of Economics and Administration. Vol. 11, 2007.
3. Reshma, Aithal P.S., Shailashree V. T., Sridhar Acharya P., An empirical study on Working from Home: A popular e-business model, International Journal of Advance and Innovative Research, Vol.2, No.2, pp.12 – 18, 2015.
2. Rothstein, D. S. Youth employment in the United States. Monthly Lab. Rev., Vol. 124, p. 6, 2001.
International Journal of Engineering Research and Modern Education (IJERME) ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
4. Reshma, Aithal P.S., and Sridhar Acharya P. Relevance of On-line Office Administration through Working from Home in Future Education System, International Journal of Application or Innovation in Engineering & Management (IJAIEM), Vol. 4, No. 4, pp. 44 – 53, 2015.
5. Suresh Kumar P.M., and Aithal P.S. Working from Home - A Transition in the concept of Workplace, International Journal of Current Research and Modern Education (IJCRME), Vol. 1, Issue 1, pp. 244-249, 2016.
6. Huang, L., Pergamit, M., & Shkolnik, J. Youth initiation into the labor market. Monthly Lab. Rev., Vol. 124, p.18, 2001.
7. Shevchuk, A., & Strebkov, D. Freelancers in Russia: Remote work patterns and emarkets. Economic Sociology: The European Electronic Newsletter, Vol. 13, No. 2, pp. 37-45, 2012.
8. Platman, K. The price of freedom: the opportunities and constraints of freelance employment for older workers: a study of media professionals (Doctoral dissertation, The Open University), 2002.
9. Kitching, J., & Smallbone, D. Defining and estimating the size of the UK freelance workforce, 2008.
11. Cohen, L., & Mallon, M., The transition from organisational employment to portfolio working: Perceptions of boundarylessness'. Work, Employment & Society, Vol. 13, No. 2, pp. 329-352, 1999.
10. Meager, N., Martin, R., Carta, E., & Davison, S. Skills for Self employment, 2011.
12. Cohany, S. R., Workers in alternative employment arrangements. Monthly Lab. Rev., Vol. 119, p. 31, 1996.
13. Born, A., & Witteloostuijn, A., Drivers of freelance career success. Journal of Organizational Behavior, Vol. 34, No. 1, pp. 24-46, 2013.
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Medical cannabis use for patients with post-traumatic stress disorder (PTSD)
Stephanie Chan 1 , BSc(C),
2
Alexia Blake , MSc, Amiti Wolt
Bo Angela Wan
2
, BA,
Abstract
1
, MPhil,
Pearl Zaki
1
, BSc(C), Liying Zhang
1
, PhD,
1
Henry Lam , MLS, Marissa Slaven
Erynn Shaw
3
3
, MD,
Carlo DeAngelis
1
, PharmD,
Vithusha Ganesh
1
, BSc(C),
Leila Malek
1
, BSc(Hons),
Edward Chow
1
, MBBS, and Shannon O’Hearn
2,
, MSc
1Odette Cancer Centre, Sunnybrook Health Sciences Centre, University of Toronto, Toronto, Ontario, Canada 2MedReleaf, Markham, Ontario, Canada 3Juravinski Cancer Centre, Hamilton Health Sciences, Hamilton, Ontario, Canada
Correspondence: Shannon O'Hearn, MSc, MedReleaf, Markham Industrial Park, Markham ON, Canada. E-mail: email@example.com
, MD,
Common symptoms associated with post-traumatic stress disorder (PTSD) include re-experiencing and avoiding trauma-related situations, negative cognitions and mood, and arousal. Early clinical research studies have shown that medical cannabis may minimize these debilitating symptoms. The present study analyzed patient-reported outcomes in patients using medical cannabis for PTSD in Canada. A voluntary online survey was completed by PTSD patients using medical cannabis at baseline, 4-months, and 10-months after initiating use of cannabis from a single medical cannabis provider. Patients reported on outcomes including present symptoms and medical conditions, quality of life (QOL), and side effects experienced from cannabis use. A total of 588 patients with PTSD, predominantly Caucasian (84.4%) males (77.7%) with an average age of 43 years, completed the survey at baseline. There were 58.3% and 48.3% of PTSD patients that reported also having depression and anxiety disorders, respectively. Seventy-eight of 139 (56.1%) patients reported experiencing severe pain at baseline, compared to only 15 (10.8%) patients after 4-months (p < 0.0001). Significant improvements were also seen in patients' ability to cope with pain after 4 and 10 months of cannabis use (n = 100, p < 0.0001). Patients reported significant improvements in overall QOL (n = 39, p = 0.03) and general mood (n = 37, p = 0.0005), as well as experience with sleep (n = 31, p = 0.002) and concentration (n = 30, p = 0.006) after 4 and 10 months. Patients suffering from PTSD reported significant improvements in a variety symptoms and QOL indicators after 4 months of cannabis use. Cannabis use in this population should be further studied and considered as an alternative treatment option.
Keywords: Medical cannabis, post-traumatic stress disorder, medical marijuana, quality of life, symptoms
Introduction
Post-traumatic stress disorder (PTSD) is a debilitating trauma and stressor-related disorder that may occur after directly experiencing or witnessing a traumatic
event(s) (1). The four symptom cluster domains outlined in the Diagnostic and Statistical Manual of Mental Disorders 5 th Edition (DSM-5) are reexperiencing, avoidance, negative cognitions and mood, and arousal (1). Re-experiencing may occur in the form of flashbacks, dreams, or psychological distress pertaining to the traumatic event(s), while avoidance symptoms involve avoiding memories, thoughts, or physical reminders of the event(s). Negative cognition and mood pertains to a variety of emotions such as a distorted sense of blame of others or oneself for the traumatic event(s), or a sense of estrangement or surrealism from others or surroundings. Finally, arousal symptoms may manifest in the form of aggressive and reckless behaviour or hypervigilance and sleep-related problems (1).
Reported rates of exposure to a traumatic event(s) in an individual's lifetime have ranged from 39.1% to 89.6% in the United States (2,3). In Canada, a study conducted by telephone survey of 2991 individuals in a nationally representative sample reported that 76.1% of participants had exposure to at least one traumatic event sufficient to cause PTSD (4).
In the United States, the lifetime prevalence of PTSD in adults was estimated to be 6.8% according to the National Comorbidity Survey Replication conducted between 2001 and 2002 (5). The lifetime prevalence was 3.6% and 9.7% among men and women, respectively (5). In another study conducted in a sample of 1002 individuals in Winnipeg, Manitoba, the 1-month prevalence of PTSD was found to be 1.2% in men and 8.2% in women (6). Of 3062 surveyed women in Ontario, a 10.7% lifetime prevalence of PTSD was observed (7). In a nationally representative sample of 2991 Canadian individuals, the lifetime and 1-month prevalence of PTSD was estimated to be 9.2% and 2.4%, respectively (4).
PTSD is associated with several behavioural and mental comorbid conditions. In particular, major depressive disorder (MDD), anxiety disorders, and alcohol and substance abuse/dependence are the most common comorbidities (8–10). In Canada, it has been reported that 74% of PTSD patients also suffered from MDD, 27.8% from alcohol abuse/dependence, and 25.5% from substance abuse/dependence (4).
A variety of psychotherapies may be used to treat PTSD including Prolonged Exposure Therapy and
Cognitive Processing Therapy. Pharmacological interventions can reduce PTSD symptoms through the modulation of neurotransmitter activity, particularly the activity of serotonin, norepinephrine, gammaaminobutyric acid, and dopamine. Selective serotonin reuptake inhibitors are generally used as first-line treatment for PTSD, but other antidepressants, mood stabilizers, atypical antipsychotics, tricyclic antidepressants, monoamine oxidase inhibitors or benzodiazepines may also be used (11).
The mammalian endocannabinoid system contains series of receptors known as cannabinoid receptors 1 and 2 (CB-1 and CB-2), upon which endogenous cannabinoids such as anandamide naturally act. The activation of these receptors can produce a multitude of effects including muscle relaxation, pain reduction, appetite stimulation, and the modulation of mood and memory (12). Medical cannabis has shown potential in managing various symptoms of PTSD, predominantly through the interaction of the cannabinoids cannabidiol (CBD) and tetrahydrocannabinol (THC), with the endocannabinoid system. Further, PTSD patients have been reported to have abnormalities in CB-1 receptors and low levels of the endocannabinoid anandamide (13). Therefore, increasing stimulation of the CB-1 pathway with the use of medical cannabis may have potential as an effective treatment option for reducing PTSD-related symptoms in these patients. However, there are very few studies in the literature reporting the efficacy of cannabis in PTSD symptom management (14). The purpose of the present study was to report the results of a survey of a sample of Canadian PTSD patients on the efficacy of medical cannabis in relieving their symptoms.
Methods
Patients using medical cannabis were invited to complete a voluntary online survey at baseline, prior to initiating treatment with cannabis from the medical cannabis provider. Patients who completed the baseline survey were sent a follow-up (FU) survey 4 months later, which was customized based on their initial baseline responses. Another FU survey was sent to patients 10 months following the completion
of the baseline survey if they completed a FU survey at 4 months.
Survey design
The baseline and follow-up survey consisted of more than 100 questions; however, the survey was dynamic and customized to only ask patients questions that were relevant to them (e.g., patients were not asked to answer pain-related questions if they had not experienced any pain at baseline). Therefore, not all patients answered all questions. Patients could also skip questions if they did not want to answer them. The survey was designed to take between fifteen and twenty-five minutes to complete.
Questions were developed based on consultation with nurses and physicians who have experience prescribing medical cannabis to patients, and relevant scientific literature. However, due to the range of patients included and scope of information intended to be collected in this survey, questions were adapted from the literature to be shorter and cover certain parameters in less detail than commonly referenced validated questionnaires. The pain scale used was based on the numeric rating scale, a commonly used method of measuring pain severity in patients with chronic pain (15–17). Questions on patients' ability to cope with pain were based on the Pain Self-Efficacy Questionnaire, which emphasizes the importance of understanding patients' perceived ability to cope with pain (18). The dimensions of quality of life (QOL) covered in the survey were based on a number of validated and commonly used QOL assessment tools (19, 20).
Baseline
The baseline survey collected demographic information including age, sex, ethnicity, and employment status. Patients were asked to indicate whether they suffered from a wide range of conditions including, but not limited to, type and stage of cancer, diabetes, heart disease, anxiety, depression, PTSD, and autism. Patients were also asked to rate the severity of the conditions they reported as mild, moderate, or severe, and to state how many years they have suffered from the condition. Additional FU questions specific to each of the patient's conditions were posed to better characterize patients' experiences with those conditions.
Additionally, based on a large list of symptoms provided, patients were asked to report which symptoms they experienced regularly and the severity of each symptom (mild, moderate, or severe). If patients indicated they had recurring pain at baseline, they were asked to score their pain on a scale from 110, where 1 represented dull pain and 10 represented severe pain. They were also asked to rate their ability to cope with pain (very easy, somewhat easy, somewhat difficult, or very difficult).
QOL questions followed, including questions asking patients to rate their overall QOL (very good, good, fair, bad, very bad) and how capable they were of performing their activities of daily living (ADL) (very capable, somewhat capable, somewhat incapable, very incapable, don't know). Additional questions regarding patients' experience with sleep, appetite, concentration, bowel activity, and sexual function (severe difficulty, moderate difficulty, no difficulty, good, very good), and patients' mobility and ability to dress and shower independently (severe, moderate, minimal, or no difficulty) were asked.
Follow-up
FU surveys were sent to patients 4 months after the completion of the baseline survey and for patients that completed the 4-month FU survey, another survey was sent 10 months following the baseline survey. In the FU surveys, patients were first asked to rate the effect of cannabis on their reported condition(s) (significant deterioration, moderate deterioration, slight deterioration, no change, slight improvement, moderate improvement, significant improvement) and then asked how long it took for cannabis to affect their condition(s).
Patients with pain were also asked to score their pain on a scale from 1-10 and to rate their ability to cope with pain after using cannabis (very easy, somewhat easy, somewhat difficult, very difficult). Questions on QOL and symptoms identical to those from baseline were asked.
Additionally, questions on side effects of cannabis use including the type, frequency, duration, and intensity were included.
Patient population
Baseline and FU surveys were completed between January 2015 and October 2016. Only patients that reported having PTSD in the survey were included in this study.
Statistical analysis
Descriptive analysis was conducted using proportions for categorical variables, and mean (range) for age. The Fisher exact test or the Chi-squared test was used as appropriate to look for significant associations between pain and ability responses, improvement status (improvement, no change, or deterioration), the presence of most common medical conditions, quality of life and symptoms between baseline and follow-up. A paired t-test was used for comparing baseline and follow up pain scores. Two-sided p-value < 0.05 was considered statistically significant. All analyses were conducted using Statistical Analysis Software (SAS version 9.4, Cary, NC).
Results
At baseline, 2321 people completed the survey, 588 of which reported having PTSD. Most PTSD patients were male (77.7%) and Caucasian (84.4%) with an average age of 43 years. Of 540 PTSD patients who reported how many years they had suffered from PTSD, 48.3% reported less than 10 years, 27.0% reported 10-19 years, and 24.6% reported 20 or more years. The most common comorbidities reported in PTSD patients at baseline were depression (58.3%), anxiety disorders (48.3%), sleep disorders (35.6%), arthritis (23.2%) and migraines (17.0%). Many patients reported having previous experience with cannabis (78.5%) and currently using cannabis at baseline (85.8%); Table 1 summarizes the demographic information of the PTSD patients included in this study.
Table 1. PTSD patient demographics
| Demographic | n (%) |
|---|---|
| Gender | |
| Male | 457 (77.72%) |
| Female | 131 (22.28%) |
| Number of Years with PTSD | |
| < 10 | 261 (48.33%) |
| 10 – 19 | 146 (27.04%) |
| 20 | 133 (24.63%) |
| Ethnicity | |
| Caucasian | 492 (84.39%) |
| Spanish/Hispanic/Latino | 3 (0.51%) |
| Native Canadian | 38 (6.52%) |
| Black/African American | 1 (0.17%) |
| Asian | 5 (0.86%) |
| Other | 44 (7.54%) |
| Age (years) | |
| 19 - 29 | 46 (8.07%) |
| 30 - 39 | 170 (29.82%) |
| 40 - 49 | 191 (33.51%) |
| 50 - 59 | 126 (22.11%) |
| 60 - 69 | 36 (6.32%) |
| 70 | 1 (0.18%) |
| Average (min, max) | 43.25 (19, 70) |
| Other Conditions | |
| Depression | 344 (58.30%) |
| Anxiety disorder | 285 (48.31%) |
| Sleep disorder | 210 (35.59%) |
| Arthritis | 137 (23.22%) |
| Migraines | 101 (17.00%) |
| Previous Experience with Cannabis | |
| Yes | 394 (78.49%) |
| No | 71 (14.14%) |
| Prefer not to answer | 37 (7.37%) |
| Currently on Cannabis | |
| Yes | 339 (85.82%) |
| No | 56 (14.18%) |
Pain and ability to cope with pain
Patients who reported experiencing recurring pain were asked to score their pain severity from 1 to 10 at baseline, 4-month FU and 10-month FU. Between baseline and 4-month FU, a significant reduction in the severity of pain was observed (n = 139, p < 0.0001) from 56.1% patients reporting severe pain
(score of 8-10) at baseline to only 10.8% at 4-month FU. Of the 21 patients who completed the question at baseline, 4-month FU, and 10-month FU, 13 patients (61.9%) at baseline, 3 patients (14.3%) at 4-month FU, and 1 patient (4.8%) at 10-month FU reported experiencing severe pain. This again, demonstrated a statistically significant reduction in the severity of pain following cannabis treatment (p < 0.0001).
In all three surveys, patients were asked to describe their ability to cope with pain by selecting one of the following categorical responses: very easy, somewhat easy, somewhat difficult, or very difficult. From baseline to 4-month FU, significantly fewer patients responded 'very difficult' (n = 48 at baseline, n = 3 at 4-month FU; n = 100, p < 0.0001). Of the 21 patients who answered this question in all three surveys, 13 (61.9%) responded with 'very difficult' at baseline versus zero patients at 4-month and 10-month FU (p < 0.0001). Additionally, only 1 (4.8%) patient at baseline responded with 'somewhat easy' in comparison to 15 (71.4%) and 14 (66.7%) patients at 4-month and 10-month FU, respectively. Table 2 summarizes patients' pain scores and ability to deal with pain at all three time-points.
Improvement in medical conditions
Patients reported changes in other medical conditions from baseline by selecting one of the following categorical responses: significant deterioration, moderate deterioration, slight deterioration, no change, slight improvement, moderate improvement, or significant improvement. At 4-month follow-up, 73.7% (n = 56), 78.3% (n = 47), 74.0% (n = 37), 68.8% (n = 22), and 76.9% (n = 10) of patients reported an improvement in depression, anxiety disorders, sleep disorders, arthritis, and migraines, respectively (Table 3). Although many patients reported improvements in their conditions, this was not statistically significant.
Improvements in quality of life (QOL)
Questions were asked on overall QOL, general mood, mobility, ability to dress and shower independently, and ability to perform activities of daily living
(ADLs) (Table 4), in addition to patients' experience with sleep, appetite, concentration, bowel activity, and sexual function (Table 5). From baseline to 4-month and 10-month FU, improvements in all QOL indicators were observed; for the overall QOL item, significantly more patients reported having 'good' or 'very good' overall QOL (n = 33, p = 0.03) and a 'positive' or 'very positive' mood (n = 37, p = 0.0005). More patients also reported 'minimal difficulty' or 'no difficulty' in mobility and ability to dress and shower independently (n = 36; n = 38), and felt 'somewhat capable' or 'very capable' in their ability to perform ADLs (n = 39); however, these were not statistically significant. When asked to describe their experience with several aspects of their QOL, patients were given the following options: severe difficulty, moderate difficulty, no difficulty, good, and very good. Significantly fewer patients had difficulties and more patients used 'good' and 'very good' to describe their experience with sleep (n = 31, p = 0.002) and concentration (n = 30, p = 0.006) from baseline to 4-month and 10-month FU. This association was also seen for appetite, bowel activity, and sexual function, but with no statistical significance.
Improvement in symptoms
The most commonly reported symptoms in PTSD patients were anxiety, sleep problems, depression, insomnia, exhaustion, and headaches. Table 6 describes the distribution of the severities of these symptoms. At 4-month FU and 10-month FU, patients reported how the severity of these symptoms had changed since baseline by selecting one of the following options: significant deterioration, moderate deterioration, slight deterioration, no change, slight improvement, moderate improvement, significant improvement, or no longer have this symptom (Table 7). In the 4-month FU survey, 6479% of patients reported improvements in the symptoms they reported experiencing at baseline. At the 10-month FU survey, 73-83% of patients reported improvements in their symptoms compared to baseline. However, only improvements in exhaustion at 4-month FU were statistically significant (p = 0.009).
Table 2. Pain response and ability to cope with pain at baseline, 4-month follow-up, and 10-month follow-up
| Patients Who Responded at Baseline and 4-month FU | | | | |
|---|---|---|---|---|
| | Baseline | 4-month | | p-value* |
| Pain level (n = 139) | | | | < 0.0001 |
| Mild (1-4) | 10 (7.19%) | 57 (41.01%) | | |
| Moderate (5-7) | 51 (36.69%) | 67 (48.20%) | | |
| Severe (8-10) | 78 (56.12%) | 15 (10.79%) | | |
| Ability to deal with pain (n = 100) | | | | < 0.0001 |
| Very easy | 2 (2.00%) | 13 (13.00%) | | |
| Somewhat easy | 8 (8.00%) | 69 (69.00%) | | |
| Somewhat difficult | 42 (42.00%) | 15 (15.00%) | | |
| Very difficult | 48 (48.00%) | 3 (3.00%) | | |
| Patients Who Responded at Baseline, 4-month and 10-month FU | | | | |
| | Baseline | 4-month | 10-month | p-value |
| Pain level (n = 21) | | | | < 0.0001 |
| Mild (1-4) | 0 (0.00%) | 8 (38.10%) | 14 (66.67%) | |
| Moderate (5-7) | 8 (38.10%) | 10 (47.62%) | 6 (28.57%) | |
| Severe (8-10) | 13 (61.90%) | 3 (14.29%) | 1 (4.76%) | |
| Ability to deal with pain (n = 21) | | | | < 0.0001 |
| Very easy | 0 (0.00%) | 1 (4.76%) | 3 (14.29%) | |
| Somewhat easy | 1 (4.76%) | 15 (71.43%) | 14 (66.67%) | |
| Somewhat difficult | 7 (33.33%) | 5 (23.81%) | 4 (19.05%) | |
| Very difficult | 13 (61.90%) | 0 (0.00%) | 0 (0.00%) | |
*Bolded p-values are statistically significant.
Table 3. Improvement in most common medical conditions at 4-month follow-up
| Depression | 56 (73.68%) | 11 (14.47%) | 9 (11.84%) | 76 |
|---|---|---|---|---|
| Anxiety disorder | 47 (78.33) | 4 (6.67%) | 9 (15.00%) | 60 |
| Sleep disorder | 37 (74.00%) | 7 (14.00%) | 6 (12.00%) | 50 |
| Arthritis | 22 (68.75%) | 5 (15.63%) | 5 (15.63%) | 32 |
| Migraines | 10 (76.92%) | 2 (15.38%) | 1 (7.69%) | 13 |
Table 4. Improvement in quality of life at 4-month and 10-month follow-up
| Response | Baseline | 4-month | 10-month | p-value* |
|---|---|---|---|---|
| Overall Quality of LIFE (n = 39) | | | | 0.0280 |
| Very good | 2 (5.1%) | 5 (12.8%) | 3 (7.7%) | |
| Good | 2 (5.1%) | 9 (23.1%) | 13 (33.3%) | |
| Fair | 18 (46.2%) | 18 (46.2%) | 15 (38.5%) | |
| Bad | 11 (28.2%) | 5 (12.8%) | 7 (17.9%) | |
| Very bad | 6 (15.4%) | 2 (5.1%) | 1 (2.6%) | |
| General Mood (n = 37) | | | | 0.0005 |
| Very positive | 1 (2.7%) | 2 (5.4%) | 4 (10.8%) | |
| Positive | 7 (18.9%) | 9 (24.3%) | 12 (32.4%) | |
| Neutral | 13 (35.1%) | 24 (64.9%) | 12 (32.4%) | |
| Negative | 14 (37.8%) | 0 (0%) | 8 (21.6%) | |
| Very negative | 2 (5.4%) | 2 (5.4%) | 1 (2.7%) | |
| Mobility (n = 36) | | | | 0.3686 |
| Severe difficulty | 5 (13.9%) | 4 (11.1%) | 4 (11.1%) | |
| Moderate difficulty | 13 (36.1%) | 6 (16.7%) | 10 (27.8%) | |
| Response | Baseline | 4-month | 10-month | |
| Minimal difficulty | 8 (22.2%) | 16 (44.4%) | 9 (25%) | |
| No difficulty | 10 (27.8%) | 10 (27.8%) | 13 (36.1%) | |
| Ability to Dress/Shower Independently (n = 38) | | | | 0.9845 |
| Severe difficulty | 1 (2.6%) | 1 (2.6%) | 0 (0%) | |
| Moderate difficulty | 6 (15.8%) | 4 (10.5%) | 6 (15.8%) | |
| Minimal difficulty | 14 (36.8%) | 13 (34.2%) | 12 (31.6%) | |
| No difficulty | 17 (44.7%) | 20 (52.6%) | 20 (52.6%) | |
| Ability to Perform ADLs (n = 39) | | | | 0.6141 |
| Very capable | 12 (30.8%) | 9 (23.1%) | 11 (28.2%) | |
| Somewhat capable | 12 (30.8%) | 19 (48.7%) | 16 (41%) | |
| Somewhat incapable | 6 (15.4%) | 8 (20.5%) | 5 (12.8%) | |
| Very incapable | 8 (20.5%) | 3 (7.7%) | 6 (15.4%) | |
| Don't know | 1 (2.6%) | 0 (0%) | 1 (2.6%) | |
*Bolded p-values are statistically significant.
ADL: activities of daily living.
Table 5. Improvement in experience with sleep, appetite, concentration, bowel activity, and sexual function
| Assessment time | Response | | | | | p-value |
|---|---|---|---|---|---|---|
| | Severe Difficulty | Moderate Difficulty | No Difficulty | Good | Very Good | |
| Sleep (n = 34) | | | | | | 0.0015 |
| Baseline | 19 (54.3%) | 14 (40%) | 1 (2.9%) | 0 (0%) | 1 (2.9%) | |
| 4-month | 5 (14.3%) | 14 (40%) | 4 (11.4%) | 5 (14.3%) | 7 (20%) | |
| 10-month | 7 (20%) | 15 (42.9%) | 2 (5.7%) | 6 (17.1%) | 5 (14.3%) | |
| Appetite (n = 35) | | | | | | 0.3581 |
| Baseline | 6 (16.7%) | 11 (30.6%) | 8 (22.2%) | 10 (27.8%) | 1 (2.8%) | |
| 4-month | 2 (5.6%) | 8 (22.2%) | 6 (16.7%) | 16 (44.4%) | 4 (11.1%) | |
| 10-month | 2 (5.6%) | 6 (16.7%) | 10 (27.8%) | 16 (44.4%) | 2 (5.6%) | |
| Concentration (n = 34) | | | | | | 0.0061 |
| Baseline | 14 (40%) | 15 (42.9%) | 1 (2.9%) | 4 (11.4%) | 1 (2.9%) | |
| 4-month | 2 (5.7%) | 16 (45.7%) | 4 (11.4%) | 8 (22.9%) | 5 (14.3%) | |
| 10-month | 14 (40%) | 15 (42.9%) | 1 (2.9%) | 4 (11.4%) | 1 (2.9%) | |
| Bowel Activity (n = 36) | | | | | | 0.1426 |
| Baseline | 4 (11.1%) | 12 (33.3%) | 6 (16.7%) | 7 (19.4%) | 7 (19.4%) | |
| 4-month | 0 (0%) | 13 (36.1%) | 5 (13.9%) | 10 (27.8%) | 8 (22.2%) | |
| 10-month | 3 (8.3%) | 9 (25%) | 10 (27.8%) | 12 (33.3%) | 2 (5.6%) | |
| Sexual Function (n = 21) | | | | | | 0.0742 |
| Baseline | 11 (32.4%) | 6 (17.6%) | 7 (20.6%) | 2 (5.9%) | 8 (23.5%) | |
| 4-month | 5 (14.7%) | 7 (20.6%) | 6 (17.6%) | 12 (35.3%) | 4 (11.8%) | |
| 10-month | 5 (14.7%) | 5 (14.7%) | 7 (20.6%) | 12 (35.3%) | 5 (14.7%) | |
*Bolded p-values are statistically significant.
Table 6. Severity of most common symptoms at baseline
| Symptom | Mild | Moderate | Severe |
|---|---|---|---|
| Anxiety | 50 (9.1%) | 264 (48.2%) | 234 (42.7%) |
| Sleep problems | 61 (12.0%) | 214 (24.0%) | 234 (46.0%) |
| Depression | 81 (16.4%) | 233 (45.0%) | 182 (37.0%) |
| Insomnia | 59 (13.7%) | 191 (44.3%) | 181 (42.0%) |
| Exhaustion | 76 (20.5%) | 189 (50.9%) | 106 (28.6%) |
| Headache | 131 (37.2%) | 149 (42.3%) | 72 (20.4%) |
Table 7. Improvement in most common symptoms from baseline to 4-month and to 10-month follow-up
| Symptom | Improvement | No Change | Deterioration | Total n | p-value* |
|---|---|---|---|---|---|
| 4-month FU | | | | | |
| Anxiety | 121 (79.1%) | 15 (9.8%) | 17 (11.1%) | 153 | 0.0962 |
| Sleep problems | 104 (75.4%) | 19 (13.8%) | 15 (10.9%) | 138 | 0.8678 |
| Depression | 109 (78.4%) | 15 (10.8%) | 15 (10.8%) | 139 | 0.2476 |
| Insomnia | 82 (73.2%) | 20 (17.9%) | 10 (8.9%) | 112 | 0.6330 |
| Exhaustion | 60 (63.8%) | 25 (26.6%) | 9 (9.6%) | 94 | 0.0086 |
| Headache | 54 (67.5%) | 16 (20.0%) | 10 (12.5%) | 80 | 0.3063 |
| 10-month FU | | | | | |
| Anxiety | 30 (83.3%) | 2 (5.6%) | 4 (11.1%) | 36 | 0.2681 |
| Sleep problems | 28 (82.4%) | 4 (11.8%) | 2 (5.9%) | 34 | 0.9752 |
| Depression | 28 (82.4%) | 4 (11.8%) | 2 (5.9%) | 34 | 0.9752 |
| Insomnia | 23 (82.1%) | 4 (14.3%) | 1 (3.6%) | 28 | 0.7862 |
| Exhaustion | 16 (72.7%) | 4 (18.2%) | 2 (9.1%) | 22 | 0.4003 |
| Headache | 20 (83.3%) | 3 (12.5%) | 1 (4.2%) | 24 | 0.8623 |
*Bolded p-values are statistically significant.
Table 8. Most common side effects at 4-month follow-up
| Side Effect | n (%) | Mild | Moderate |
|---|---|---|---|
| Dry mouth | 23 (20.0%) | 10 (45.5%) | 9 (40.9%) |
| Psycho-active effects (feeling "high") | 15 (13.0%) | 6 (40.0%) | 7 (46.7%) |
| Sleepiness | 14 (12.2%) | 5 (38.5%) | 7 (53.8%) |
| Red/irritated eyes | 9 (7.8%) | 6 (75.0%) | 2 (25.0%) |
| Heart palpitations (increased heart rate) | 7 (6.1%) | 5 (83.3%) | 1 (16.6%) |
| Decreased memory | 7 (6.1%) | 6 (85.7%) | 1 (14.3%) |
| Total | 115 | | |
Side effects
Of the 115 patients that answered questions regarding side effects experienced from cannabis use at 4-month FU, the most common side effects were dry mouth (23.0%), psycho-active effects (13.0%), sleepiness (12.2%), red or irritated eyes (7.8%), increased heart rate (6.1%), and decreased memory (6.1%). The severities of these side effects were mostly mild, with no patients reporting severe for red or irritated eyes, increased heart rate, and decreased memory. Table 8 summarizes the severity of these side effects.
Discussion
This study presents the results of a voluntary online survey administered by a Canadian medical cannabis provider for patients with PTSD.
Few studies have analysed the efficacy of cannabis in reducing symptoms in PTSD patients, and those that have been conducted have shown varying results. A retrospective chart review by Greer et al. (21) of 80 consecutive patients participating in the New Mexico Department of Health's Medical Cannabis Program for PTSD saw an over 75% reduction in all three PTSD symptom clusters as measured by the Clinician Administered Posttraumatic Scale for DSM-IV (CAPS) when on cannabis compared to off cannabis (21). However, these patients were expected to have significant symptom reduction, as all patients had previous experience with cannabis and had already found that cannabis improved their PTSD symptoms. Therefore, they were entering the program for the purpose of legally obtaining cannabis. As well, patients may have experienced some exaggerated PTSD symptoms when off cannabis due to cannabis-withdrawal syndrome; thus, this study's confounding factors make it difficult to determine the effects of cannabis in the general PTSD population (21). In a study by Fraser (22), nabilone (an orally administered synthetic cannabinoid based drug) use in 47 PTSD patients with a 2-year history of PTSD-related nightmares that were unresponsive to standard treatment resulted in total cessation of nightmares or a reduction in nightmare severity in 72% of patients (22). Roitman et al. conducted an open, pilot study to determine the safety and efficacy of an oral Δ9-tetrahydrocannabinol (THC) as an add-on treatment in PTSD patients in Israel. Of the 10 patients studied, significant reductions in symptom severity were observed in the CAPS hyperarousal symptom cluster as well as sleep quality, frequency of nightmares, and nightmare effects (23). Wilkinson et al. (24) studied 2,276 veterans with PTSD admitted to a Veterans Affairs treatment program. Those who started marijuana use after discharge were associated with significantly worse PTSD symptom severity, more violent behaviour, and more alcohol and drug use compared to those who never used or stopped marijuana use after discharge (24). The present study reports contrasting results, in which after 4 and 10 months of treatment with medical cannabis, PTSD patients reported significant improvements in pain and their ability to cope with pain, as well as medical conditions, QOL, and symptoms.
Dry mouth, psychoactive effects, and sleepiness were the most common side effects of cannabis use reported by PTSD patients in the present study. Of the 10 patients in the open pilot study by Roitman et al. (23), two experienced side effects of dry mouth, one experienced headache, and one experienced dizziness (23). In the study of 47 patients using nabilone for PTSD-related nightmares conducted by Fraser, 13 patients experienced side effects such as lightheadedness, forgetfulness, dizziness, and headache resulting in cessation of nabilone therapy (22). Therefore, it is important for physicians prescribing cannabis for PTSD to be aware of possible side effects and to monitor the severity of these side effects closely.
In a study by Bonn-Miller et al. (25), 217 medical cannabis users filled out a series of questionnaires pertaining to cannabis use and efficacy, 18.9% of whom had PTSD and reported cannabis was 'moderately' to 'quite a bit' helpful. However, cannabis abuse and dependence was observed in 22.5% of PTSD patients (25). Bohnert et al. (26) observed that of 186 patients newly referred for medical cannabis, 23% had a lifetime history of PTSD and the PTSD patients had significantly higher lifetime use of prescription opioids, cocaine, prescription sedatives, and street opioids compared to patients without PTSD in the same sample (26). These studies emphasize the importance of closely monitoring substance abuse, alcohol abuse, and specifically, cannabis abuse or dependence in this population.
The present study suffers from several limitations. Firstly, no validated questionnaires pertaining to PTSD symptoms were used such as the PTSD checklist for DSM-5 (PCL-5). Additionally, the compliance rate for the survey was extremely low, which is reflected in the low patient numbers for certain parameters at FU despite the large sample size. This could explain why even though trends indicated improved QOL, many values were not statistically significant. Also, patients were not required to complete the survey at exactly 4 or 10 months following initiation of cannabis use, thus the survey could have been done at any time-point after the survey request had been sent.
The survey administered for the present study was also unable to account for pain medications or study
adverse events or hospitalization occurring during treatment. Additionally, only 1516 of the 2,321 patients (including non-PTSD patients) that initially completed the survey were invited for a follow-up survey. Some patients had not reached the 4-month point after starting cannabis use (n = 552), while 253 patients either stopped medical cannabis treatment or switched providers. Of the 1,516 active patients invited for a follow-up survey, it is uncertain whether these patients were actively taking cannabis. However, it is very likely that they were, based on their active prescriptions with the cannabis provider as well as the fact that they took the time to complete the survey. As the survey is voluntary, it is possible that patients who had a positive experience with medical cannabis were more likely to fill the survey, resulting in a skew towards positive responses in our results. Finally, at baseline, around 86% of patients responded with 'yes' when asked if they were currently on cannabis, meaning that the improvements in symptoms and QOL observed may reflect switching cannabis treatment rather than the efficacy of cannabis in general.
Conclusion
The present study observed significant improvements in PTSD symptoms and QOL in a sample of Canadian PTSD patients after using medical cannabis. Further investigations are required regarding the safety and efficacy of medical cannabis in this patient population. Clinical trials are recommended to determine whether medical cannabis is an appropriate alternative treatment option for symptom relief in PTSD patients.
Acknowledgments
We thank the generous support of Bratty Family Fund, Michael and Karyn Goldstein Cancer Research Fund, Joey and Mary Furfari Cancer Research Fund, Pulenzas Cancer Research Fund, Joseph and Silvana Melara Cancer Research Fund, and Ofelia Cancer Research Fund. This study was conducted in collaboration with MedReleaf.
References
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[10] Helzer JE, Robins LN, McEvoy L. Post-traumatic stress disorder in the general population. Findings of the epidemiologic catchment area survey. N Engl J Med 1987;317(26):1630–4.
[11] Jeffreys M. Clinician's Guide to Medications for PTSD, 2016 URL: http://www.ptsd.va.gov/professional/ treatment/overview/clinicians-guide-to-medications-forptsd.asp.
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[13] Neumeister A, Normandin MD, Pietrzak RH, Piomelli D, Zheng MQ, Gujarro-Anton A, et al. Elevated brain cannabinoid CB1 receptor availability in post-traumatic stress disorder: a positron emission tomography study. Mol Psychiatry 2013;18(9):1034–40.
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[17] Farrar JT, Young JP, LaMoreaux L, Werth JL, Poole RM. Clinical importance of changes in chronic pain intensity measured on an 11-point numerical pain rating scale. Pain 2001;94(2):149–58.
[18] Nicholas MK. The pain self-efficacy questionnaire: Taking pain into account. Eur J Pain 2007;11(2):153– 63.
[19] Burckhardt CS, Anderson KL. The Quality of Life Scale (QOLS): reliability, validity, and utilization. Health Qual Life Outcomes 2003;1:60.
[20] Fletcher A, Gore S, Jones D, Fitzpatrick R, Spiegelhalter D, Cox D. Quality of life measures in health care. II: Design, analysis, and interpretation. BMJ 1992;305(6862):1145-8.
[21] Greer GR, Grob CS, Halberstadt AL. PTSD symptom reports of patients evaluated for the New Mexico Medical Cannabis Program. J Psychoactive Drugs 2014; 46(1):73–7.
[22] Fraser GA. The use of a synthetic cannabinoid in the management of treatment-resistant nightmares in posttraumatic stress disorder (PTSD). CNS Neurosci Ther 2009;15(1):84–8.
[23] Roitman P, Mechoulam R, Cooper-Kazaz R, Shalev A. Preliminary, open-label, pilot study of add-on oral Δ9tetrahydrocannabinol in chronic post-traumatic stress disorder. Clin Drug Investig 2014;34(8):587–91.
[24] Wilkinson ST, Stefanovics E, Rosenheck RA. Marijuana use is associated with worse outcomes in symptom severity and violent behavior in patients with posttraumatic stress disorder. J Clin Psychiatry 2015; 1174–80.
[25] Bonn-Miller MO, Boden MT, Bucossi MM, Babson KA. Self-reported cannabis use characteristics, patterns and helpfulness among medical cannabis users. Am J Drug Alcohol Abuse 2014;40(1):23–30.
[26] Bohnert KM, Perron BE, Ashrafioun L, Kleinberg F, Jannausch M, Ilgen MA. Positive posttraumatic stress disorder screens among first-time medical cannabis patients: Prevalence and association with other substance use. Addict Behav 2014;39(10):1414–7.
Submitted: January 21, 2017. Revised: February 12, 2017. Accepted: February 20, 2017.
|
INSTITUT NATIONAL DE RECHERCHE EN INFORMATIQUE ET EN AUTOMATIQUE
Adding Network Coding Capabilities to the WSNet Simulator
Wei Liang Choo — Frédéric Le Mouël — Katia Jaffrès-Runser — Marco Fiore
N° 0405
March 2011
apport
technique
Networks and Telecommunications
Adding Network Coding Capabilities to the WSNet Simulator
Wei Liang Choo ∗ , Frédéric Le Mouël ∗ † , Katia Jaffrès-Runser ∗ ‡ , Marco Fiore ∗‡
Theme : Networks and Telecommunications Équipe-Projet SWING
Rapport technique n° 0405 — March 2011 — 25 pages
Abstract: This technical report presents the implementation of a Network Coding module in WSNet - a Wireless Sensor Network simulator. This implementation provides a generic programming interface to allow an easy specialization of different coding strategies: random, source/destination-oriented, intra/inter-flow, etc.
Key-words: Network Coding, Wireless Sensor Network (WSN), Simulation, WSNet
∗
University of
Lyon, INSA-Lyon, CITI, F-69621, Villeurbanne, France,
{firstname.lastname@example.org
†
INRIA, AMAZONES Team
‡
INRIA, SWING Team
Centre de recherche INRIA Grenoble – Rhône-Alpes
Téléphone : +33 4 76 61 52 00 — Télécopie +33 4 76 61 52 52
655, avenue de l'Europe, 38334 Montbonnot Saint Ismier
Implantation d'un module de codage de réseaux dans le simulateur WSNet
Résumé : Ce rapport technique présente l'implantation d'un module de codage de réseaux dans le simulateur de capteurs sans-fil WSNet. L'objectif de conception de ce module est d'avoir une interface de programmation générique pour ensuite spécialiser facilement différentes stratégies de codage: aléatoire, orientésource/destination, intra/inter-flux, etc.
Mots-clés : Codage des réseaux, Réseaux de capteurs sans-fil, Simulation, WSNet
Contents
1 Introduction
Our goal is to study the impact of different Network Coding strategies (NC) on end-to-end service delivery over mobile and wireless Disruption-Tolerant Networks (DTNs). To realize this study, in a first step, we simulate a mobile and wireless DTN environment. This report presents (i) in section 2, the context: DTN, NC and why we have chosen the WSNet simulator, (ii) in section 3, our NC framework provided in a WSNet module: architecture, generic API definition, packet storing, linear independence checking, real encoding/decoding.
2 Context
2.1 Disruption-Tolerant Network
Disruption-Tolerant Networking (DTN) is an approach that seeks to address the non-constant nature of links in networks [2]. This could be caused by mobility of the nodes or interference in the environment.
Figure 1 shows an example of DTN where, as a node moves, the link previously established is broken. The link may be established again once the node moves back into range of communicating with the original node. Conventional routing involves finding a path and forwarding packets from the source to the destination. However because of the link break, storing and then forwarding when the link is re-established may be needed - so introducing a delay. A common approach is to send out replicated packets to many nodes hoping that packets will reach the destination. However, this takes up large amounts of storage and bandwidth.
Strategies involving Network Coding are to be accessed to judge their impacts on delay/tolerance/capacity improvement of a DTN environment [11, 9, 1].
2.2 Network Coding
Network Coding (NC) is a technique where nodes of a network are able to combine together two more or received packets and transmit them [4]. With enough information - enough encoded packets, the original packets can then be decoded at the destination. This is a change from just forwarding packets which can bring about potential throughput improvements and a high degree of robustness.
Figure 2 presents the Butterfly Network Coding multicast example. S1 and S2 are Source nodes, R1 and R2 are Relay nodes, D1 and D2 are Destination
nodes and x1 and x2 are packets from S1 and S2 respectively. D1 and D2 needs to receive both x1 and x2 packets. In the traditional packet sending method, x1 would be sent to D1 from S1 directly. But due to distance from D2, S1 will send x1 via R1 to R2 and then to D2. The same case is for S2 and D1. R1 forwards the whole packet x1 then x2, to R2 which then forwards it to D1 and D2. Using NC, when R1 receives both x1 and x2, R1 can combine the packets and send only one packet combining both x1 and x2 to R2 which forwards it to D1 and D2. D1 and D2 use this encoded packet to retrieve the other missing packet. In this case, NC thus helps in reducing the sending of a second packet from R1 and R2.
According to the network topologies considered (linear vs non-linear, multicast vs non-multicast, directed vs undirected, cyclic vs acyclic), different NC strategies exist to select and encode packets [7]: random, unique/multi sourceoriented, unique/multi destination-oriented, intra-session, inter-session, etc. We plan to develop and test social and service-oriented NC strategies and so we need a realistic simulation environment to compare them in a mobile and wireless DTN.
2.3 WSNet Simulator
WSNet is a simulator for large-scale Wireless Sensor Networks created and developed at the CITI Laboratory [3]. While several simulator exist for DTN [10, 8], WSNet main features - Node Simulation, Environment Simulation, Radio Medium Simulation and Extensibility - are particularly suitable for our NC testing. Radio medium simulation provides realistic radio channel modeling appropriate to test wireless communication in mobile DTN. Node
Simulation allows the integration of the application level, suitable to test social and service-oriented NC strategies.
Figure 3 describes a node architecture that can be created in WSNet. There are already various standing modules that can be used for each part: support for complex nodes architecture (MIMO systems, multiple radio/antenna interface support), support for energy consumption simulation, support for various propagation models, support for propagation delays, etc. Modules are attached on run time and an XML file is used to control the WSNet.
3 A Generic Network Coding Module in WSNet
3.1 Module Configuration
Using the WSNet extensibility feature [5], we have developed an application module that simulates a wireless DTN with NC by storing, selecting/dropping, encoding/decoding IP packets.
We configure and test it with different existing WSNet modules [6] (cf Figure 4 and Listing 1). No routing module has currently been used since a static one, with the Butterfly example, was applied.
```
<!−− == RADIO and ANTENNA ============================== −− > <e n t i t y name=" omnidirectionnal " l i b r a r y=" antenna_omnidirectionnal "> <default l o s s="0" angle−xy="random" angle−z="random"/> </ e n t i t y> <e n t i t y name=" radio " l i b r a r y=" radio_half1d "> <default s e n s i b i l i t y="−92" T_b="727" dBm="10" channel="0" modulation="none"/> </ e n t i t y> <!−− == MAC ============================================ −− > <e n t i t y name="mac" l i b r a r y="mac_dcf_802_11"> </ e n t i t y> <!−− == APPLICATION ==================================== −− > <e n t i t y name=" Esource0 " l i b r a r y="application_DTNNC_Source"> <i n i t debugMode="1" dataStruct="1" maxNumberOfCombinedPerPacket=" 30" maxNumberOfPackets="100" numberOfCoefficients="2" FPower= "3" storageOrder="1" decodingPolicy="1" encodingType="1" encodingPacSelection="1" chanceOfSending="10"/> <default type="0" nodenum="0" period="2 s " inData="15"/> </ e n t i t y> <e n t i t y name=" Esource1 " l i b r a r y="application_DTNNC_Source"> <i n i t debugMode="1" dataStruct="1" maxNumberOfCombinedPerPacket=" 30" maxNumberOfPackets="100" numberOfCoefficients="2" FPower= "3" storageOrder="1" decodingPolicy="1" encodingType="1" encodingPacSelection="1" chanceOfSending="10"/> <default type="0" nodenum="1" period="2 s " inData="15"/> </ e n t i t y> <e n t i t y name=" Esensor0 " l i b r a r y="application_DTNNC_Sensor"> <i n i t debugMode="1" dataStruct="1" maxNumberOfCombinedPerPacket=" 30" maxNumberOfPackets="100" numberOfCoefficients="2" FPower= "3" storageOrder="1" decodingPolicy="1" encodingType="1" encodingPacSelection="1" chanceOfSending="100"/> <default type="1" nodenum="0" period="2 s " inData="15"/> </ e n t i t y> <e n t i t y name="ErelayDumb0" l i b r a r y="application_DTNNC_RelayDumb"> <i n i t debugMode="1" dataStruct="1" maxNumberOfCombinedPerPacket=" 30" maxNumberOfPackets="100" numberOfCoefficients="2" FPower= "3" storageOrder="1" decodingPolicy="1" encodingType="1" encodingPacSelection="1" chanceOfSending="100"/> <default type="3" nodenum="0"/> </ e n t i t y> <e n t i t y name=" Esink0 " l i b r a r y="application_DTNNC_Sink"> <i n i t debugMode="1" dataStruct="1" maxNumberOfCombinedPerPacket=" 30" maxNumberOfPackets="100" numberOfCoefficients="2" FPower= "3" storageOrder="1" decodingPolicy="1" encodingType="1" encodingPacSelection="1" chanceOfSending="0"/> <default type="2" nodenum="0"/> </ e n t i t y> <e n t i t y name=" Esink1 " l i b r a r y="application_DTNNC_Sink"> <i n i t debugMode="1" dataStruct="1" maxNumberOfCombinedPerPacket=" 30" maxNumberOfPackets="100" numberOfCoefficients="2" FPower=
"3" storageOrder="1" decodingPolicy="1" encodingType="1" encodingPacSelection="1" chanceOfSending="0"/> <default type="2" nodenum="1"/> </ e n t i t y>
```
Listing 1: DTNNC_Butterfly_example.xml
3.2 Architecture Overview
The Figure 5 presents the architecture of the NC module. Each node includes the functions.h header file, entry point of the framework. This file defines (i) the common node structure, variables and data storage - detailed in section 3.3, (ii) the common masking/encoding/decoding functions - detailed in section 3.4 and (iii) useful logging functions - detailed in section 3.5.
3.3 Node Definition
3.3.1 Node Type
All common aspects of a node are included in DTNNC_dictionary.h, DTNNC_node_structure.h, DTNNC_functions.h, DTNNC_functions.c and DTNNC_dataStorage_handler.h. Each node can then be specialized and instantiated to be a:
Source
* Creates packets
* Sends packets
Sensor
* Stores received packets
* Encodes packets, including masking and xor-ing packets
* Decodes encoded packets, if possible and needed
* Sends encoded packets out
RelayDumb
* Forwards received packets
Sink
* Stores received packets
* Decodes
3.3.2 Node Common Variable Definitions: dictionary.h
DTNNC_dictionary.h defines keywords to make code more readable and easier to use.
```
#ifndef __DTNNC_dictionary__ #define __DTNNC_dictionary__ /∗Node Mode ∗/ #define SOURCE 0 #define SENSOR 1 #define SINK 2 #define RELAYDUMB 3 /∗Log Mode ∗/ // change to 1 for debug // change to 0 for normal #define DEBUG_MODE 1 /∗Debug output p r i n t s ∗/ #define DEBUG_MASK 0 #define DEBUG_DECODING 1 #define DEBUG_NODE_INFO 1 /∗Debug LogFunction ∗/ #define PRINT_NODE_STORAGE 40 #define PRINT_DATA_HOLDER 41 #define PRINT_RECONSTRUCTED_PACKETS 42 /∗LogFunction ∗/ #define PRINT_SEND_EVENT 1 #define PRINT_RECEIVE_EVENT 2 #define PRINT_STORE_PACKET 3 #define PRINT_DROP_PACKET_REPEAT 4 #define PRINT_DROP_PACKET_DECODED 5 #define PRINT_LINEAR_CHECK_FAILED 6 #define PRINT_LINEAR_CHECK_PASSED 7 #define PRINT_DECODED 8 #define PRINT_ENCODED 9 #define PRINT_UNSETNODE 10 // to be changed to more d e t a i l e d #endif // __DTNNC_dictionary__
```
Listing 2: DTNNC_dictionary.h
3.3.3 Node Structure: node_structure.h
DTNNC_node_structure.h defines the common structure of all nodes. It is easier to edit one structure for all nodes than to make a specific structure for each node type. Most variables are needed in all node types.
```
#ifndef __DTNNC_node_structure__ #define __DTNNC_node_structure__ /∗Node p r i v a t e data ∗/ struct nodedata { int ∗overhead ; // Source , Sensor , Sink or RelayDumb int type ; // ID of the node . i . e . node 0 of Source type int nodenum ; // Flag i f Node has decoded packets int decodedFlag ; int seqNum ; // period in which to r e c a l l node uint64_t period ; /∗temp data holder ∗/ struct packet_data∗ dataHolder ; struct header_packets_combined ∗∗ dataHolder_header_packets_combined ; uint16_t dataHolder_numberOfpacketsCombined ; int ∗dataHolder_args ; /∗ data storage ∗/ // data storage type 1( basic arrays ) struct packet_data ∗∗ stored_data ; struct header_packets_combined ∗∗∗ stored_data_header_packets_combined ; uint16_t ∗stored_data_numberOfpacketsCombined ; /∗arguments storage ∗/ int ∗∗ stored_data_args ; /∗ reconstructed packets storage ∗/ struct packet_data ∗∗ reconstructed_pack_data ; int ∗∗ reconstructed_pack_args ; /∗num of packets stored counter ∗/ int num_of_packets_stored ; /∗ for s t a t s ∗/ // Number of packets transmited by node int packet_tx ; // Number of packets received by node int packet_rx ; }; #endif // __DTNNC_node_structure__
```
Listing 3: DTNNC_node_structure.h
3.3.4 Node Management Functions: node_functions.h
DTNNC_node_functions.h allows to manage a node. It creates the variables, allocates the memory for variable structures, and sets the variables to default. This API simplifies the development. Editing or adding a new node variable requires the editing and adding of this variable in each node type's source code file. With this API, it requires to be done only one time in one place.
```
#ifndef __DTNNC_node_functions__ #define __DTNNC_node_functions__ #include "DTNNC_functions . h" // Called when s e t t i n g Node Entity ( from i n t () ) int setNodeEntity ( call_t ∗c , void ∗params ) ; // Called when s e t t i n g Node Variables ( from setnode () ) int setNodeVariables ( call_t ∗c , void ∗params ) ; // Called when unsetting node ( from unsetnode () ) // f r e e s memory a l l o c a t e d int freeNode ( call_t ∗c ) ; #endif // __DTNNC_node_functions__
```
Listing 4: DTNNC_node_functions.h
3.3.5 Node Storage: packet.h dataStorage_handler.h
Data stored are IP packets. These packets are potentially xor-mixed packets, so a packet header includes the number and a table of sub-packet headers. A final sub-packet header contains an id (can be an application or a service id), a sequence number ordering a packet flow, a source and n destinations (for broadcast or multicast). Packet data structure contains the real data (here a dummy example with 4 characters).
```
#ifndef __DTNNC_node_dummy_packet__ #define __DTNNC_node_dummy_packet__ /∗Packet header ∗/ struct packet_header { struct header_packets_combined ∗∗ header_packets_combined_info ; uint16_t numberOfpacketsCombined ; uint16_t ∗args ; }; struct header_packets_combined { uint16_t seqNum ; uint16_t id ; uint16_t source ; uint16_t numOfDest ; uint16_t ∗d e s t i n a t i o n ; }; /∗Dummy packet data ∗/ struct packet_data{ unsigned char packetdata ; unsigned char packetdataB ; unsigned char packetdataC ;
unsigned char packetdataD ; }; #endif // __DTNNC_node_dummy_packet__
```
Listing 5: DTNNC_node_dummy_packet.h
DTNNC_dataStorage_handler.h defines generic functions providing the storage functionality. The data storage structure can easily be changed without changing many other code source files. Accessing data is allowed by using get and set methods and not accessing to the data directly.
```
#ifndef __DTNNC_dataStorage_handler__ #define __DTNNC_dataStorage_handler__ #include "DTNNC_functions . h" // dataHolder get and s e t methods void∗getDataHolderDataAt ( call_t ∗c ) ; void∗getDataHolderData_packetInfoAt ( call_t ∗c , int positionInHeader ) ; int getDataHolder_numberOfpacketsCombinedAt ( call_t ∗c ) ; int setDataHolderDataAt ( call_t ∗c , struct packet_data∗dataT ) ; int setDataHolderData_packetInfoAt ( call_t ∗c , int positionInHeader , struct header_packets_combined∗tempHPC) ; int setDataHolder_numberOfpacketsCombinedAt ( call_t ∗c , int numberOfpacketsCombinedIn ) ; // dataStorage get and s e t methods // Get method to get packet data void∗getDataAt ( call_t ∗c , int p o s i t i o n ) ; void∗getData_packetInfoAt ( call_t ∗c , int positionInDataStorage , int positionInHeader ) ; int getData_numberOfpacketsCombinedAt ( call_t ∗c , int p o s i t i o n ) ; // Set method to s e t packet data int setDataAt ( call_t ∗c , int position , struct packet_data∗dataT ) ; int setData_packetInfoAt ( call_t ∗c , int positionInDataStorage , int positionInHeader , struct header_packets_combined∗tempHPC) ; int setData_numberOfpacketsCombinedAt ( call_t ∗c , int position , int numberOfpacketsCombinedIn ) ; // data Handling functions // Generic method to add packet received to storage // Check i f repeat packet i s already stored . // Defination of non repeat packet i s received packet // contains an i n t not found in that column of storage // Check storage s t r a t e g y int addAllData ( call_t ∗c , packet_t ∗ packet ) ; // use s e t methods to add data .
// for adding in FIFO other . int addAllDataFIFO ( call_t ∗c , packet_t ∗packet ) ; // Swap data between 2 s p e c i f i e d data in storage int swapRowAllData ( call_t ∗c , int dataA , int dataB ) ; // Reconstructed packet storage get and s e t methods // Get method to get data in reconstructed storage void∗getRCDataAt ( call_t ∗c , int p o s i t i o n ) ; // Set method to s e t data in reconstructed storage int setRCDataAt ( call_t ∗c , int position , struct packet_data∗dataT ) ; #endif // __DTNNC_dataStorage_handler__
```
Listing 6: DTNNC_dataStorage_handler.h
3.4 Network-Coding API Definition
3.4.1 Node NC Entry Point: functions.h
DTNNC_functions.h header file is the main entry point of our framework and connects all other files of the module. It defines the four functionalities of one node: storing / dropping / encoding / decoding IP packets.
Creation of a node only needs to include DTNNC_functions.h
```
#ifndef __DTNNC_functions__ #define __DTNNC_functions__ #include <s t d i o . h> #include <include/ modelutils . h> #include "DTNNC_dictionary . h" #include "DTNNC_node_structure . h" #include "DTNNC_node_entity . h" #include "DTNNC_node_dummy_packet. h" // The headers f i l e s below have included t h i s header f i l e //#include "DTNNC_dataStorage_handler . h" //#include "DTNNC_functions_encode . h" //#include "DTNNC_functions_decode . h" //#include "DTNNC_functions_log . h" //#include "DTNNC_functions_mask . h" /∗ Functions ∗/ /∗Encodes packets ∗/ // Calls encodeFunction () from "DTN_functions_encode . h" // which does network coding on two packets depending on p o l i c y s e t // Stores r e s u l t a n t packet into dataHolder storage int encode ( call_t ∗c ) ; /∗Decodes packets ∗/ // Calls decodeFunction () from "DTN_functions_decode . h" // which attempts to do the decoding // s t o r e s decoded packets into reconstructed packets storage int decode ( call_t ∗c ) ;
/∗ Stores received packet ∗/ // Checks i f node has decoded packets . i f yes than drop received packet // Copy received packet to dataHolder storage , This i s for sending ( read report ) // Calls addAllData () from "DTN_dataStorage_handler . h" // which s t o r e s the packet data s t r u c t u r e int s t o r e ( call_t ∗c , packet_t∗ packet ) ; /∗Drops packets ∗/ // Have not been used // Currently empty int drop ( call_t ∗c ) ; #endif // __DTNNC_functions__
```
Listing 7: DTNNC_functions.h
3.4.2 NC Masking: functions_mask.h
Before combining different packets, a choice of fragmenting data information of one packet can be done. Part of the data can be kept and part can be 'masked'. We use the word 'mask' for the randomly chosen coefficient used in the random linear network coding (p = i λ i p i , with p i the packet fragments, λi the coefficients which are referred to in the following as 'masks'). DTNNC_functions_mask.h offers this masking function.
```
#ifndef __DTNNC_functions_mask__ #define __DTNNC_functions_mask__ #include "DTNNC_functions . h" /∗Mask data ∗/ // mask data chosen from data s t r u c t u r e ( dataChoice ) // which holds the column in the matrix ( c o e f f i c i e n t C o l ) // with the mask (maskA) // input maskA of 0 means a random mask int mask( call_t ∗c , int dataChoice , int c o e f f i c i e n t C o l , int maskA) ; #endif // __DTNNC_functions_mask__
```
Listing 8: DTNNC_functions_mask.h
3.4.3 NC Masking - one implementation: functions_mask.c
There are various methods that can be used to mask packet data. Upon consideration, the method described in Figure 6 is used.
One additional byte is added to the data packet during the packet memory allocation. The purpose is to tackle the problem of improper masking when the total bit size of the packet data is not a factor of the mask size.
Packet data is copied byte by byte into a byte storage (byteStoreA). Data in byteStoreA is then transferred bit by bit into a bit storage (bitStoreB). Data in bitStoreB is then transferred bit by bit into a FPower/Size of Mask storage (fPowerStoreC) (in Figure 6, size of the mask is 3). fPowerStoreC is then masked using the selected mask (in Figure 6, the mask is 001). fPowerStoreC is then
transferred back bit by bit to bitStoreB. bitStoreB is transferred bit by bit to byteStoreA. byteStoreA is then copied byte by byte into the dataHolder. Finally, the mask is stored into the argument storage of the dataHolder.
3.4.4 NC Encoding: functions_encode.h
DTNNC_functions_encode.h encodes data depending on an encoding strategy.
The encodeFunction acts as a controller function. When this function is called, it first checks the encoding validity and then calls the real specific encoding function. Currently the checking consists in testing the node role: if the node is only a relay, it checks if there is only one packet in storage buffer and forwards that packet without changing it; if the node has an encoding role and several packets in the buffer, then the real specific encoding function is called.
```
#ifndef DTNNC_ENCODE_H_ #define DTNNC_ENCODE_H_ #include "DTNNC_functions . h" // Controller function // Encoding takes place according to s t r a t e g y chosen ( i . e . random) // Checks number of packets stored , i f only 1 packet in storage than return // Checks encoding type chosen and c a l l s function for encoding int encodeFunction ( call_t ∗c ) ; // S p e c i f i c function // Encoding takes place between two s p e c i f i e d datas // This function i s used for swapping data , needed in decoding process // Checks and encoding type chosen and c a l l s function for encoding
int encodeFunctionSpecific ( call_t ∗c , int sourceDataA , int sourceDataB , int destinationData ) ; #endif /∗DTNNC_ENCODE_H_ ∗/
```
Listing 9: DTNNC_functions_encode.h
3.4.5 NC Encoding - one implementation: functions_encode.c
We provide in the module one random XOR encoding implementation in DTNNC_encode_XOR.h and DTNNC_encode_XOR.c. Two random packets are chosen from the stored data in the node. As rand() of C is biased, an improved version of random is used: seeding of the random number is done at start of node setup at init() of each node type.
```
#ifndef DTNNC_ENCODE_XOR_H_ #define DTNNC_ENCODE_XOR_H_ #include "DTNNC_functions_encode . h" // Encoding using XOR // Check encoding s t r a t e g y and encodes accordingly // Result stored in dataHolder int encodeXOR( call_t ∗c ) ; // Encode choosing 2 random packets in storage // Result stored in dataHolder int encodeXOR_random( call_t ∗c ) ; // Encoding using XOR between two s p e c i f i e d datas // Result stored in dataHolder int encodeXORSpecific ( call_t ∗c , int sourceDataA , int sourceDataB , int destinationData ) ; #endif /∗DTNNC_ENCODE_XOR_H_ ∗/
```
Listing 10: DTNNC_encode_XOR.h
3.4.6 NC Decoding: functions_decode.h
DTNNC_functions_decode.h decodes data following a decoding strategy.
The decodeFunction acts also as a controller function. It checks linear dependency before decoding: it checks if the last received packet contains enough relevant new information comparing to existing information in the storage buffer. If so the decoding testing is applied.
```
#ifndef DTNNC_DECODE_H_ #define DTNNC_DECODE_H_ #include "DTNNC_functions . h" // Controller function // Decoding takes place according to s t r a t e g y chosen int decodeFunction ( call_t ∗c ) ; #endif /∗DTNNC_DECODE_H_ ∗/
```
Listing 11: DTNNC_functions_decode.h
3.4.7 NC Decoding - one implementation: functions_decode.c
We provide in the module one Gaussian Elimination implementation in DTNNC_decode_gaussian_elimination.h and DTNNC_decode_gaussian_elimination.c (cf Listing 12). The linearIndependentCheck function implements the Linear Independence Checking; the forwardSubstitution function implements the first phase of the Gaussian method: the Forward Substitution; the reverseElimination function implements the second phase of the Gaussian method: the Reverse Elimination; the reconstructPacket function finally implements the third phase of the Gaussian method and retrieves the original packet.
```
#ifndef DTNNC_DECODE_GAUSSIAN_ELIMINATION_H_ #define DTNNC_DECODE_GAUSSIAN_ELIMINATION_H_ #include "DTNNC_functions_decode . h" // decoding using the created gaussian elimination method // 0) l i n e a r independence ( return 0 and stop decoding i f not l i n e a r l y independent ) // 1) Forward S u b s t i t u t i o n // 2) Reverse Elimination // 3) Reconstruct packet int decode_gaussian_elimination ( call_t ∗c ) ; // Forward s u b s t i t u t i o n , step 1 of gaussian elimination // Changes the argument matrix // Use linearIndependentCheck () as guard to ensure l i n e a r independent int forwardSubstitution ( call_t ∗) ; // Reverse elimination , step 2 of gaussian elimination int reverseElimination ( call_t ∗) ; // Reconstruction of packet , step 3 of gaussian elimination // Store reconstructed packets in reconstruction data holder // Node data storage s t o r e s the data up to Step2 ( data of each b i t ) int reconstructPacket ( call_t ∗) ; // Check that the argument matrix i s l i n e a r l y independent // Return 0 i f non l i n e a r l y independent int linearIndependentCheck ( call_t ∗) ; #endif /∗DTNNC_DECODE_GAUSSIAN_ELIMINATION_H_ ∗/
```
Listing 12: DTNNC_decode_gaussian_elimination.h
We illustrate the Gaussian implementation with an example in Figures 7-14: a masking in the finite group F23 has been applied on 2 packets from different sources.
1. Checking Linear Independence
Checking Linear Independence is basically the same as the Forward Substitution process and code. However doing forward substitution corrupts the matrix and if the modified matrix is not linearly independent, the original matrix cannot be retrieved easily.
Therefore the first step of checking linear independence phase is to clone the matrix into a temporary matrix for testing linear independence. As
this is just a checking phase, data is not touched and therefore not cloned. Check for linear independence fails when the matrix lines swap is not successful, meaning a triangulation can not be performed.
2. Forward Substitution
Figures 7 to 9 show how forward substitution is done. It starts from the top of the matrix and works in the binary format (even if the matrix is stored in an integer format).
* Swap phase If the first bit of the first column is not at 1, the algorithm finds the first row containing this 1 and data of the rows are swapped.
* XORing phase
The algorithm then checks other rows to find if the first bit of the
first column is also at 1. Each matching rows are then xor-ed with the first swapped row, ensuring that only the first row has the first bit positioned to 1. All data of the row are xor-ed as well.
These Swap phase and the XORing phase are repeated for each row from top to bottom until a triangle of 1 is achieved in Figure 9.
3. Reverse Elimination
Figures 10 to 12 show the reverse elimination process. It starts from the bottom of the matrix. From the bottom matrix last sub column, rows are scanned from bottom to up to ensure only that row is set at 1 in the sub column. Should a 1 be found, a XORing phase is applied and that row is xor-ed along with its data to remove the 1. The algorithm then proceeds on next rows till a diagonal line of 1, like in Figure 12, is achieved.
4. Reconstruction of packets
Figure 13 and Figure 14 show how the reconstruction is done. A reconstruction packet storage is used to separate the fragmented packets from the reconstructed ones (the original data storage may be use later). From the top, (size of mask) number of rows are xor-ed to the first packet of the reconstruction storage to reconstruct the original packet. The data is Xor-ed as well. Then the same process of (size of mask) number of rows xor-ing is applied until the end of the matrix.
3.5 Log API Definition
WSNet produces ASCII prints on standard output. DTNNC_functions_log.h defines some useful functions for printing out statistics logs and debug outputs. DTNNC_functions_log.h includes node common variables outputs: id, position, etc.
```
#ifndef __DTNNC_functions_log__ #define __DTNNC_functions_log__ #include "DTNNC_functions . h" // generic function
// Use dicitonary . h and input at choice // Check debug f i r s t int logFunction ( call_t ∗c , int choice ) ; // Check which log chosen int logNormal ( call_t ∗c , int choice ) ; // Check which print out chosen int logDebug ( call_t ∗c , int choice ) ; // Function to print out node type int print_node_type ( call_t ∗c ) ; // Function to print out node id int print_nodeid ( call_t ∗c ) ; // Function to print out node p o s i t i o n int print_nodePosition ( call_t ∗c ) ; // Function to print out f a i l u r e to print log // Can add what to print when f a i l e d to print log // Currenly p r i n t i n g node type id and p o s i t i o n int print_log_failed ( call_t ∗c , int choice ) ; #endif // __DTNNC_functions_log__
```
Listing 13: DTNNC_functions_log.h
DTNNC_log_normal.h outputs statistics about 'normal' events of the Network Coding module use: number of packets received/sent, encoding/decoding/ linear checking, etc.
```
#ifndef __DTNNC_log_normal__ #define __DTNNC_log_normal__ #include "DTNNC_functions_log . h" // print send event int print_send_event ( call_t ∗) ; // print r e c e i v e event int print_receive_event ( call_t ∗) ; // print store event int print_store_packet ( call_t ∗) ; // print drop packet event when packet i s repeat packet int print_drop_packet_repeat ( call_t ∗) ; // print drop packet event when node has already decoded packets int print_drop_packet_decoded ( call_t ∗) ; // print l i n e a r check f a i l event int print_linear_check_failed ( call_t ∗) ; // print l i n e a r check pass event int print_linear_check_passed ( call_t ∗) ; // print event that node has decoded packets int print_decoded ( call_t ∗) ; // print event that node has encoded packets
int print_encoded ( call_t ∗) ; // print event of destroying or u n s e t t t i n g node at end of simulation // may print information l i k e counters and such held in node here int print_unsetnode ( call_t ∗) ; #endif // __DTNNC_log_normal__
```
Listing 14: DTNNC_log_normal.h
DTNNC_log_debug.h implements debugging log functions. These functions print the internal node state.
```
#ifndef __DTNNC_log_debug__ #define __DTNNC_log_debug__ #include "DTNNC_functions_log . h" // p r i n t s what i s in data storage int print_node_storage ( call_t ∗) ; // p r i n t s what i s in data holder int print_data_holder ( call_t ∗) ; // p r i n t s what i s in reconstructed packets int print_reconstructed_packets ( call_t ∗) ; #endif // __DTNNC_log_debug__
```
Listing 15: DTNNC_log_debug.h
Debug outputs are data-packet specific. These functions do not show only the packet header but output also the packet data to check its correctness. Therefore changing the dummy packet data structure will require to reimplement these functions. For instance, such implementation of the DTNNC_log_debug.h API needs to be adapted.
```
printf ( " ] dataA [%d ] , dataB [%d ] , dataC [%d ] , dataD [%d ] \n" , ( ( s t r u c t packet_data ∗) getDataAt ( c , i ) )− >packetdata , ( ( s t r u c t packet_data ∗) getDataAt ( c , i ) )− >packetdataB , ( ( s t r u c t packet_data ∗) getDataAt ( c , i ) )− >packetdataC , ( ( s t r u c t packet_data ∗) getDataAt ( c , i ) )− >packetdataD ) ;
4 Conclusion
This technical report has described the implementation of a Network Coding module for Wireless and Mobile DTN in WSNet - a Wireless Sensor Network simulator. This module provides a generic framework that includes:
* Programming Interfaces that defines a generic DTN node and its functionalities: IP packet storing, selecting/dropping, encoding/decoding.
* Implementations for the main Network Coding functionalities: random selecting, random linear coding over F2 n , Gaussian Elimination decoding.
Programming Interfaces has been generically defined to allow an easy specialization for future different coding strategies: source/destination-oriented, intra/inter-flow, application-oriented, social-oriented.
References
[1] Eitan Altman, Francesco De Pellegrini, and Lucile Sassatelli. Dynamic control of coding in delay tolerant networks. In Proceedings of the 29th conference on Information communications, INFOCOM'10, pages 121–125, Piscataway, NJ, USA, 2010. IEEE Press. 2.1
[2] Kevin Fall. A delay-tolerant network architecture for challenged internets. In Proceedings of the 2003 conference on Applications, technologies, architectures, and protocols for computer communications, SIGCOMM '03, pages 27–34, New York, NY, USA, 2003. ACM. 2.1
[3] Antoine Fraboulet, Guillaume Chelius, and Eric Fleury. Worldsens: development and prototyping tools for application specific wireless sensors networks. In Proceedings of the 6th international conference on Information processing in sensor networks, IPSN '07, pages 176–185, New York, NY, USA, 2007. ACM. 2.3
[4] Christina Fragouli, Jean-Yves Le Boudec, and Jörg Widmer. Network coding: an instant primer. SIGCOMM Comput. Commun. Rev., 36:63–68, January 2006. 2.2
[5] Elyes Ben Hamida and Guillaume Chelius. WSNet : How to write a new application module ?, 2007. http://wsnet.gforge.inria.fr/tutorials/devapp/index.html. 3.1
[6] Elyes Ben Hamida and Guillaume Chelius. WSNet : How to write and setup an xml configuration file ?, 2007. http://wsnet.gforge.inria.fr/tutorials/configuration/index.html. 3.1
[7] Sachin Katti, Dina Katabi, Wenjun Hu, Hariharan Rahul, and Muriel Medard. The importance of being opportunistic: Practical network coding for wireless environments. In Proceedings of 43rd Allerton Conference on Communication, Control, and Computing, 2005. 2.2
[8] Ari Keränen, Jörg Ott, and Teemu Kärkkäinen. The ONE Simulator for DTN Protocol Evaluation. In SIMUTools '09: Proceedings of the 2nd International Conference on Simulation Tools and Techniques, New York, NY, USA, 2009. ICST. 2.3
[9] Yunfeng Lin, Baochun Li, and Ben Liang. Efficient network coded data transmissions in disruption tolerant networks. In Proceedings of the IEEE 27th Conference on Computer Communications., INFOCOM'08, pages 1508 –1516, April 2008. 2.1
[10] Lídice Romero Amondaray and Joaquín Seoane Pascual. Delay tolerant network simulation with vnuml. In Proceedings of the third ACM workshop on Challenged networks, CHANTS '08, pages 109–112, New York, NY, USA, 2008. ACM. 2.3
[11] Xiaolan Zhang, Giovanni Neglia, Jim Kurose, and Don Towsley. On the benefits of random linear coding for unicast applications in disruption tolerant networks. In Proceedings of IEEE Workshop on Network Coding, Theory, and Applications., NETCOD'06, 2006. 2.1
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|
Request for Applications (RFA): SOCIETIES EMPOWERMENT FUND
QUESTIONS AND ANSWERS - Consolidated List
FINAL as of January 3, 2016
_______________________________________________________________
This document provides information on a variety of topics which potential Societies Empowerment Fund (SEF) grant applicants should be aware of. These Frequently Asked Questions arose during solicitation workshops held across the Kingdom in December 2015. Written requests for clarification were accepted via email until December 30 th 2015 and consolidated questions and answers are being posted on the USAID CIS website (www.cisjordan.org) and Facebook page (www.facebook.com/CISJordan). Phone calls to USAID CIS staff and visits to the USAID CIS office were not permitted and may be regarded as grounds for disqualification.
Answers to frequently asked questions are organized by major topic. Applicants are encouraged to review the USAID CIS Grants Manual as details on similar topics can be found there (http://cisjordan.org/GrantOpportunities.aspx).
- Application-Related Questions
- Project-Related Questions
- Budget-Related Questions
- Cost-Share Related Questions
- Award-Related Questions
- Other
A) Application-Related Questions
A.1. Q: Can an organization apply for an SEF grant if it has been founded for two and a half years and not three.
A. Applicants must be registered non-profit legal entities in Jordan and registered for a minimum of three years by the time they apply for the grant.
A. 2. Q: Can an organization apply for the grant through a partnership, alliance or any form of cooperation with another not for profit NGO that fits the criteria and under what conditions?
A: As this grant focuses on the capacity development of individual organizations, applications should come from individual organizations only. Applicants are encouraged to partner with other organizations under Phase II of the project once defined.
A. 3. Q: The organization currently employs only two full time staff members, and may hire a third person upon approval of a project proposal that will be implemented in 2016. Is the organization eligible to apply for the SEF grant? Does volunteers count as employees in the organizations if volunteering full-time? Can we count part time employees?
A. Applicants must have at least 3 full-time staff and no more than 20 full-time staff by the time of applying for the grant. The number of employees should not include volunteers and/or part time staff.
A.4. Q: Can workers working on income generating projects for the organization be considered as staff (ex. Bakery workers)?
A: Yes they are considered staff.
A.5. Q: We are registered as a cooperative, can we apply for this grant?
A. Cooperatives are for profit organizations, and therefore are not eligible to apply for this grant.
A.6. Q: Can trade unions or specific industry syndicates apply for this grant? Can two trade unions apply together to this grant?
A. Any organization that provides a proof of registration as a non-profit legal entity in Jordan is eligible to apply to this grant. Please see Question 2 above on partnerships.
A.7. Q: The only eligibility criteria that the organization does not comply with is being a 'current or past recipients of US Government (USG) funding (direct or through a grant from a USAID implementing partners and/or other USG donors) since 2005', can we still apply for the grant?
A. Applicants must meet all of the eligibility requirements outlined in A.3. Eligibility – page 5.
A.8. Q: Is an organization that has received an in-kind grant from a United States Government funding, eligible for the grant?
A. No. A prior or current in-kind grant from United States Government funding does not qualify an organization to apply for this grant.
A.9. Q: With reference to Attachment VII: Donor Reference Template, if the USG support was provided through a project that has closed out where can the applicant get the Reference Letter from?
A: If former USG funding was through a project that has since closed out, the applicant should provide evidence that the grant project was completed successfully. USAID CIS will consider a copy of the official grant close out letter issued by that donor and/or a reference letter from the former project employee responsible for managing their grant with up to date contact information. If neither is possible, the applicant must provide a clear justification for not submitting a Reference Letter that will then be assessed by the GEC as part of the eligibility criteria.
A.10. Q: With reference to Attachment VII: Donor Reference Template, if the only United States Government funding was through FHI 360, should the applicant request a reference letter from FHI 360?
A. If the only funding received was through FHI 360, the applicant must state this clearly, referring to the specific grant title, dates, and contact employees following up on the grant. FHI360 will then undertake an internal reference check on the applicant instead of receiving the reference letter.
A.11. Q: How can I apply for a Grant?
A: The first step is to read in detail the Request for Applications (RFA) and the application materials (http://cisjordan.org/GrantOpportunities.aspx). Detailed application instructions are included in the RFA. Potential applicants must also read the USAID Civic Initiatives Support Program (USAID CIS) Grants Manual (http://cisjordan.org/Documents/SEF/english/Attachment%20V.%20USAID%20CIS%20Gr ants%20Manual.pdf) to ensure the applicant has the capacity to manage an award. All documents are available in Arabic and English.
A.12. Q: We didn't attend a solicitation workshop, can we apply? A: Yes.
A.13. Q: Can organizations that already have grants from other USAID programs apply? A: Yes, if the applicant has the capacity to manage multiple awards.
A.14. Q: Our organization is newly registered and doesn't have experience, however its founding members do. Will the individual's experience be considered instead of the organization's experience?
A. Applying organizations must be registered as non-profit legal entities in Jordan for a minimum of three years by the time they apply for the grant
A.15. Q: Will there be a geographic distribution of the grants, i.e. North, Middle, and South? A: No. The grants will be evaluated based on the criteria listed in the APS. Eligible organizations from all governorates are encouraged to apply.
A.16. Q: Can we submit the proposal in Arabic? Can the proposal be submitted via e-mail? A: Yes. Proposals can be submitted in either English or Arabic, although English language is preferable if the applicant has English language capacity. Electronic applications should be submitted via email to firstname.lastname@example.org only to the address specified on page 16 of the RFA.
A.17. Q: What is meant by the 'annual average budget' mentioned in the application form under the section of "organizational details"? Giving the deadline for applying some organizations will have no time to present a full audited budget for 2015, will this affect the evaluation?
A: In this section the applicant should enter their organization's average total institutional budget (operations plus programs) over the last 3 years (2013-2015)(JOD). The organization is not required to submit an audited statement by the time of the application. Only shortlisted organizations that undertake a due diligence process, through which they will be required to provide document supporting information provided in their application.
A.18. Q: Should the average annual operating budget only include USG funded projects? A: No. It can include any sources of funding that the organization has.
B) Project-Related Questions
B.1. Q: We have conducted an institutional capacity assessment, developed a capacity building plan, and developed a strategic plan in the last few years, can we still apply for the grant?
A. With reference to Section A.3. Eligibility – page 5:
Organizations that have previously undertaken an institutional capacity assessment with FHI 360 (utilizing the IDA, ICAT, or other tools), or that already have a strategic plan, are eligible and may be considered for a 'fast-track' model under Phase I (i.e. skipping some parts of the process, if what is available deems adequate and beneficial to the change process).
B.2. Q: Can you provide a link to the material referred to in the grant application form "Section B.1. under Resources and Technical Assistance Provided for more information on resources provided by USAID CIS" ?
A. This statement refers to Section B.1. – 'Resources and Technical Assistance Provided' is available in Page 8 of the RFA in English. The following illustrative table provided on the same page may also demonstrate samples of resources and technical assistance provided.
B.3. Q: Are training of trainers, development of training toolkits, and subject specific training of trainers considered an in-kind grant and as part of the subject-specific technical assistance?
| | Illustrative Capacity Building Topics | | | |
|---|---|---|---|---|
| Institutional Strengthening | | | Technical Strengthening | |
| | Institutional Strengthening | Cross-Cutting Themes | Cross-Cutting Themes | Subject-Specific |
| | | | | Technical Assistance |
| Good governance | | Human Rights Based Approach | | |
| Financial Management | | Gender Integration | | |
| Human Resources Management | | Advocacy | | |
| M&E | | Behavior Change | | |
| Strategic Communication | | Disability Rights | | |
Training of trainers and toolkit development are subject-specific technical assistance and can be provided as part of the standard grant.
B.4. Q: Should board member be available for the project full-time?
A: No. Board members should be able to devote enough time to be part of Phase I activities, but not on a full time basis. More information on the time commitment required for Phase I, and Phase II can be found in Table titled "SEF Roles and Responsibilities" available in the RFA under Section A.3. pages 5 and 6.
B.5. Q: If the grantee produces publications or materials under the grant project, will they have the intellectual rights to it?
A: The grantee may copyright any book, publication or other material developed under a USAID CIS funded grant provided that the grantee prominently acknowledges USAID and FHI 360 with the understanding that FHI 360 and USAID have royalty-free, nonexclusive, and irrevocable rights to reproduce, publish or otherwise use and to authorize others to use the work. In addition, the material must be available to the public free of charge. All materials produced with grant funds must adhere to USAID CIS branding requirements and display the USAID and FHI 360 logos.
B.6. Q: Can the SEF fund support empowering CBO's that the applicant is already working with?
A: No. This could potentially be proposed as part of Phase II programmatic support.
B.7. Q: Reference to Section B.3. in the Application - Question on Impact Assessment, should the applying organizations propose a project or program for the impact assessment?
A: The applying organization should propose a project, projects, or a program to be evaluated during Phase I.
Consolidated list of Q&A's: SEF RFA, FINAL as of January 3, 2016, pg. 4
B.8. Q: Reference to Section B.3. in the Application - Question on Programmatic Achievements, can the applying organization submit their annual report to support their application?
A: Yes. Although it is not a required supporting document, the annual report can potentially support your application. However, the Question on Programmatic Achievement still needs to be filled out as per the guidelines provided in the application.
C) Budget-Related Questions
C.1. Q: Is there a maximum grant size?
A: FHI 360 anticipates awarding up to five grants each estimated in the range of JOD 120K to be awarded in two phases per the specific evaluation criteria and competition process as outlined below. Proposals should include the budget for Phase I only.
C.2. Q: Is there a budget ceiling for Phase I?
A: There is no budget ceiling for phase I.
C.3. Q: Can the budget be submitted in English or Arabic? What format should be used for the budget?
A: Yes, the budget narrative may be in English or Arabic. However figures (numbers) must be in Roman numerals. Applicants must use the budget template provided (Attachment II) to prepare their budget.
C.4. Q: What should be included in the budget narrative?
A: The budget narrative should include a detailed description of each budgeted cost and support the figures in the budget table. For example, under the salary section, if staff member John Smith will charge 50% of his time to the budget, his name and title, gross monthly salary, percentage of salary which will be charged to the project should be included in the budget narrative; for example: "John Smith, Sr. Program Coordinator, has a gross monthly salary of 300 JOD and 50% of his time will be billed to the project: 300 JOD *50% = 150 JOD/month charged to the project." Please refer to the Budget Instructions attachment for more guidance and download our budget checklist for helpful tips. Please visit USAID CIS' website to view a sample budget http://cisjordan.org.
C.5. Q: If the organization has a policy about severance or other staff benefits, would it be an allowable cost? How should it be budgeted?
A: The benefits should be listed on separate line item in the budget template. Allowable benefits include health insurance, severance, allowances and other benefits paid by an employer on behalf of its employees or paid directly to its employees as stated in the organization's bylaws. Applicants should ensure all benefits provided to staff are included in their budget.
C.6. Q: Can we budget a percentage of our staff's salaries?
A: Yes. Claiming reimbursement on time worked should be based on actual time spent on implementing the SEF project, and should be supported by timesheets and other required documentation.
C.7. Q: Can we determine staff after receiving the grant? A: Yes, as long as there is a budget line allocation for those specific positions with clear
tasks, and the staff salary falls within the allocated budget.
C.8. Q: Is ICR (Indirect Cost Rate) allowed?
A: No. All indirect costs should be reflected as direct costs in the budget.
C.9. Q: Can we receive an advance for a grant prior to signing a grant agreement? A: No, applicants will not be reimbursed for any costs incurred to prepare an application or prior to signing a grant agreement.
C.10 Q: Are budget modifications accepted after the start of a project? A: Yes, a budget modification is required to transfer funds among cost categories which exceed 10% of the budget line. Budget modification requirements will be specified in individual grant agreements.
C.11. Q: Can tax charged on equipment or other costs be included in the budget? A: Yes, if the applicant organization is not tax exempt, applicable sales tax and VAT may be included in the budget. VAT reports should be submitted to FHI 360 annually.
C.12. Q: Are all celebration, events, meals and refreshments costs unallowable? A: Celebrations, dinners and iftars are unallowable. Events and refreshments may be funded by the project if they serve an important programmatic purpose as defined in the proposal and action plan. For example, the public launch of a series of short-films created with grant funds would be considered an allowable event expenses. Or, if a grantee is providing a training, the training participants may be offered coffee breaks during the training day. Lunch could be provided if the workshop exceeds 4 hours.
C.13. Q: How can you verify a consultant's rate?
A: Consultant rates will be verified based on rates paid through previous contracts, in addition a biographical data form or market survey for similar positions may be used.
C.14. Q: Is there a rate limit for the consultants? Is it the same for local and international ones?
A: Yes. USAID CIS will not accept consultant daily rates in excess of 182 JOD per day; each proposed position should be commensurate with experience and previous salary history. This ceiling applies to all consultants, local and international. If the established consultant rate is higher then it can be included as cost share
C.15. Q: Can we include an international consultant(s) in the project? Would their travel costs be covered by the grant?
A: Yes, international consultants may be proposed provided the applicant can demonstrate the necessity and justification for such a cost. International travel requires pre-approval and will be considered on a case by case basis.
C.16. Q: In order to set a budget do I have to send out the RFQ's , get three offers, evaluate and choose the best one according to a certain criteria and attached it to the application when apply ? Or shall I work on estimated budget according to my pervious experiences? A: It is not necessary to submit quotes or offers with the application. All budgeted costs should be aligned with fair market prices. Applicants are required to have and follow
their own procurement procedures, therefore; quotations should be obtained at a later stage and before doing the actual procurement.
C.17. Q: Transportation costs: does it include all participants, trainers and consultants? A: Transportation related costs should be budgeted within the transportation budget item and aligned with the action plan. Applicants should explain the number of round trips budgeted to each destination per month, the estimated number of kilometers per trip, the purpose of the trip, and who is traveling, i.e. staff, participants, consultants, etc. The maximum mileage rate that can be budgeted is 0.248 JOD/KM based on the published State Department mileage rate as of January 2014.
C.19. Q: Budgets should be submitted for the 2 phases or for Phase I only (up to 8 months)? A: The Applicant's Cost Proposal shall include a detailed budget and budget narrative for Phase I only.
C.20. Q: Does the grant cover the salaries of government employees? If the organization is paying for a governmental staff from its own resources would it be allowable to consider it as cost share? Is it allowable to pay for a government staff if they are taking vacation time from their governmental job?
A: Any payment to government employees is unallowable. Organizations that make payments to government staff with other funding resources may not include those costs as cost share.
C.21. Q: Can funding under Phase I cover operational costs and salaries of employees? A: Applicants should submit a budget for costs related to Phase I only. Allowable costs include: human resources (staff, consultants, etc.); operational costs (rent, transportation, etc.); and other direct costs (if any) associated with Phase I activities, including reasonable accommodation.
C.25. Q: Can Board Members be compensated for their time involvement in the first Phase of the project, or only employees?
A: No. Specific cases where board members are required to deliver technical interventions outside of their role as board members may be considered on a case by case basis.
C.26. Q: Should Phase I budget include costs for the strategic planning process? A: The facilitator for the strategic planning process will be provided as an in-kind grant by USAID CIS. Other related costs, such as venue rental if needed, refreshments, etc. could be part of the budget, or provided as a cost share.
C.27. Q: Does the in-kind support provided by the USAID CIS cover consultancy on the development of organization structure, staff skill set, evaluation, job description development of communication and branding strategies, and institutionalization of advocacy dynamics. Please provide us with a list of the consultancy the CIS team can provide? Or should we simply look into external consultancy options for all items that require it?
A: In-kind support provided in Phase I through trainings and mentoring on the following topics and as demonstrated in the table provided in Page 8 of the RFA. Organizational
structure, job descriptions, communication strategies, and advocacy can be supported through this in-kind grant. If the organizations is interested in a more specialized branding strategies, it can allocate a reasonable amount for its development in Phase I or Phase II.
| | Illustrative Capacity Building Topics | | | |
|---|---|---|---|---|
| Institutional Strengthening | | | Technical Strengthening | |
| | Institutional Strengthening | Cross-Cutting Themes | Cross-Cutting Themes | Subject-Specific |
| | | | | Technical Assistance |
| Good governance | | Human Rights Based Approach | | |
| Financial Management | | Gender Integration | | |
| Human Resources Management | | Advocacy | | |
| M&E | | Behavior Change | | |
| Strategic Communication | | Disability Rights | | |
C.28. Q: Can full time staff working on other projects work on this project and be paid as over time or as a cost share?
A: No. This project does not cover any over-time payments.
D) Cost-Share Related Questions
D.1. Q: What is cost share?
A: Cost share (also known as matching funds) requires the grant recipient to provide a contribution of a specified amount or percentage to match USAID funds. Cost share can be funds or resources from other donors or the private sector to pay for program related activities, or payments from the grant recipient's own funds or the fair value of contributions in-kind, such as space, equipment, the value of volunteers or staff time, etc. Recipients are encouraged to actively seek ways to engage the private sector in the achievement of the objectives and goals of their grant projects and to obtain cost share from private sector sources. Cost share may not be provided with US Government funds from another grant or contract. Grant recipients are contractually obligated to contribute cost share from sources stated in the Proposal and Budget and described in the Grant Agreement.
D.2. Q: Is cost-share required?
A: Grant recipients are required to include a cost share contribution of at least fifteen (15) percent of the total budget cost from the applicant or other sources. The cost share should be calculated based on the total amount requested from USAID CIS (for example if the budget requested from USAID CIS is 70,000 JOD, a cost share of 10,500 JOD is required bringing the total project budget to 80,500 JOD). Applicants are required to allocate their cost share contribution over the two Phases.
D.3. Q: If my organization expects to receive funding from a donor, can we include it as cost share?
A: Yes, if the organization has a proposal pending with another non-US Government donor, the organization may include it as a potential source of cost share for the proposed project. However, if the funding is not approved, the organization will need to identify other sources of cost share.
D.4. Q: Can the organization distribute the cost share unequally between different parts of the project budget lines?
A: Yes. The RFA requires grantees to contribute a total of 15% cost share regardless of how the cost share is allocated across different budget line items (membership fees, other products and services, in-kind contributions from volunteers, etc.).
D.5. Q: Can organizations equipment be included as a cost share? A: No.
D.6. Q: Can all the cost share contribution be included in the budget for phase II only?
A: Cost share should be distributed on Phase I and II.
E) Award-Related Questions
E.1. Q: What does the due diligence process include?
A: Once Applicants have been short-listed by the Grant Evaluation Committee and before signing grant agreements, the final short-listed applicants will be asked to submit full supporting documentation to illustrate that the organization has the technical capacity to implement the grant, as well as the financial and administrative systems in place to adequately account for the grant funds as detailed in the USAID CIS Grants Manual. Short-listed organizations will be required to complete a financial preaward assessment and site visits may be conducted by USAID CIS staff to evaluate the organization in these areas.
E.2. Q: Do we need approval for any foreign funding the organization receives?
A: USAID CIS does not require grantees to provide evidence of foreign funding approval.
E.3. Q: Does the USAID CIS require specific reports?
A: Yes, grant recipients are expected to submit quarterly and final narrative reports, as well as monitoring and evaluation reports, in addition to financial reports and any other required reporting stated in the grant agreement.
E.5. Q: What happens if the grantee fails to submit the required reports or deliverables? A: No payments will be issued until the required reports or deliverables stated in the grant agreement are submitted and approved by USAID CIS.
E.6. Q: How do we get a DUNS for our organization? Must it be available before applying for a grant?
A: Organizations that are short-listed for a USAID-funded grant equivalent to JOD 17,700 ($25,000) or more are required to obtain a DUNS before the grant award will be issued. FHI 360 will provide instructions and assistance to short-listed organizations to obtain a DUNS, as required. A DUNS can be requested at: http://fedgov.dnb.com/webform
F) Other:
F.1. Q: What is the relationship between USAID and FHI 360?
A: The United States Agency for International Development (USAID) is the donor funding the USAID Civic Initiatives Support Program (USAID CIS) which aims at cultivating a strong and vibrant civil society in Jordan through supporting a broad range of civic initiatives. Working at both national and local levels, it supports civic initiatives and
advocacy responding to common interests, strengthens the organizational capacity of civil society organizations (CSOs) and promotes Government of Jordan-civil society collaboration efforts to address reform and development challenges. USAID CIS is a fiveyear project (2013-18) implemented by FHI 360, a nonprofit human development organization dedicated to improving lives in lasting ways by advancing integrated, locally driven solutions.
The contents of this document are the responsibility of FHI 360 and do not necessarily reflect the views of USAID or the United States Government.
REMINDER: Applications are due by January 27, 2016 12:00 PM Jordan time to email@example.com. No further request for clarification will receive a response.
|
Stock Return Predictability and Model Uncertainty
By
Doron Avramov∗
First draft: April 14, 1999
This revision: January 12, 2000
JEL Classifications: G11, G12, C11
Key Words
: stock return predictability, model uncertainty, parameter uncertainty, Bayesian model averag- ing, portfolio selection, Bayesian weighted predictive distribution
∗
The Robert H. Smith School of Business, University of Maryland, e.mail: email@example.com, phone: (301) 405-0400, fax: (301) 405-0359. The paper is based on my dissertation at the Wharton School,
the University of Pennsylvania. I am grateful to my dissertation committee members, Michael Brandt, Craig
MacKinlay, Andrew Metrick, Frank Schorfheide, and especially to my committee chairman Rob Stambaugh for useful comments and discussions. Also acknowledged are the comments of Gurdip Bakshi, Tarun Chor-
dia, Jeremy Gold, Robert Hauswald, Chris Kirby, Anthony Lynch, Lubos Pastor, Nagpurnanand Prabhala,
Krishna Ramaswamy, Lucie Tepla, Amir Yaron, and seminar participants at Boston College, Cornell Uni- versity, Deutsche Bank Asset Management, Goldman Sachs Asset Management, London Business School,
University of Maryland, University of Pennsylvania, Vanderbilt University, the 2000 meetings of the Wash- ington Area Finance Association, and the 2000 meetings of the Western Finance Association. All remaining
errors are mine.
Stock Return Predictability and Model Uncertainty
Abstract
We use Bayesian model averaging to analyze stock return predictability from a perspective of an investor who faces model uncertainty, or uncertainty about which economic variables should appear in the return forecasting model. Model uncertainty could be more important than the within-model parameter uncertainty, especially when economic variables are at their recently observed levels. The Bayesian approach to model uncertainty is consistent with the existence of out-of-sample predictability in contrast to the classic based analysis, which detects no such predictability. Moreover, the odds in favor of predictability are substantially higher for small-versus-large and high-versus-low book-to-market stocks.
Introduction
Financial economists have identified economic variables that predict aggregate stock returns through time. Such variables include the dividend-price ratio, expected and unexpected inflation, lagged returns, and the differences between yields on long-term and short-term government bonds and between low grade and high grade corporate bonds (e.g., Campbell (2000)). For several reasons, the "correct" specification of the regression of stock returns on predictive variables has remained uncertain. First, asset pricing theories are not explicit about the true predictors, raising doubts about the external validity of the empirical evidence. In particular, several recent studies (e.g., Bossaerts and Hillion (1999)) confirm in-sample predictability but fail to detect out-of-sample predictability. Second, the multiplicity of potential predictors raises difficulties in interpreting the empirical evidence. For example, one may find that an economic variable is significant based on a particular collection of regressors, but becomes insignificant when an alternative specification is examined. Whether such a variable is a robust predictor or not is ambiguous.
The uncertainty about the true set of predictive variables, commonly termed "model uncertainty," is a small sample phenomenon. In sufficiently large samples all potential predictors can be included in an all-inclusive specification. In this regression, irrelevant variables will have slope-coefficient estimates converging to zero, their true value. However, in practice there are many possible predictive variables, but only a limited number of observations. The classical regression paradigm thus offers little help.
The paper undertakes a Bayesian model averaging perspective to analyze the sample evidence about return predictability when the true forecasting model is unknown a priori. The Bayesian procedure computes posterior probabilities for a set of competing returngenerating models and uses the probabilities as weights on the individual models to obtain one overall weighted model. The weighted model summarizes the dynamics of future stock returns in the presence of model uncertainty.
Bayesian model averaging contrasts markedly with the traditional approach of model selection, i.e., using a specific criterion to select a single model and then operating as if the model is correct. By implicitly assuming that all models are equally likely a priori, model selection criteria are biased in favor of return predictability. To illustrate, when M economic variables are suspected relevant in predictability there are 2 M competing linear models, all but one retain predictive variables. Therefore, the implied prior-odds ratio against predictability is 1 2 M −1 , approaching zero as M gets large. In our proposed paradigm, the decision-maker has the discretion to elicit prior odds. Moreover, implementing model selection criteria, the econometrician views the selected model as being the 'true' one and discards the other models as worthless, thereby ignoring model uncertainty. 1
The analysis shows that incorporating model uncertainty into stock return predictability undermines the apparent predictive power of several explanatory variables. Such variables are significant based on the individual forecasting models, but not based on the weighted model, which accounts for model uncertainty. However, the overall in-sample evidence based on posterior-odds ratios and other measures confirms the presence of return predictability. Moreover, in contrast to the evidence based on model selection criteria, which confirms insample but not out-of-sample predictability (e.g., Bossaerts and Hillion (1999)), the evidence based on Bayesian model averaging is consistent with out-of-sample predictability.
Our posterior analysis points to several economic variables as useful predictors of monthly and quarterly returns on equity portfolios sorted on size and book-to-market. Such variables 1 Following this logic, the Bayesian procedure of computing posterior probabilities for all competing models but at the same time conditioning the inference on the single highest-posterior-probability model (e.g., Cremers (2000)) essentially ignores model uncertainty.
include the aggregate measure of earnings yield and the difference between lagged returns on long-term and short-term government bonds. Several other variables possess substantially smaller probabilities of being correlated with future returns. Those variables include the aggregate measures of book-to-market and dividend yield, lagged returns, inflation, and the trend-deviation-in-wealth.
The posterior analysis also detects prominent dispersion in predictability across the size book-to-market portfolios. Holding book-to-market fixed, posterior odds in favor of predictability are substantially higher for small-versus-large capitalization stocks. Controlling for size, the posterior odds are higher for high-versus-low book-to-market stocks. Thus, the most predictable returns are on the smallest size highest book-to-market portfolio. Those results are robust to various prior specifications.
Model uncertainty carries implications for a portfolio-optimizing investor. In particular, the investment environment is represented by a predictive distribution that averages out the uncertainty about the forecasting model and integrates out the uncertainty about the within-model parameters. The predictive analysis shows that the variance of future stock returns attributed to model uncertainty is, on average, more important than its parameter uncertainty counterpart based on monthly observations, but the reverse is true for quarterly observations.
The predictive analysis also shows that the investment opportunity set in the presence of model uncertainty is consistent with the existence of stock return predictability. For example, the asset allocation across a riskfree cash account and six size book-to-market portfolios displays high sensitivity to the values of the predictive variables observed at the time the investment decision is made, even when the investor's prior beliefs are weighted against return predictability.
The remainder of the paper proceeds as follows. Section I derives an analytical result for the posterior probabilities of all the forecasting models. It also derives three measures for investigating the robustness of predictive variables in the presence of model uncertainty. Section II develops an econometric framework to study asset allocation under model uncertainty. Section III describes the sample data, and Section IV contains empirical results. Conclusions and ideas for future research are presented in Section V. All the mathematical derivations are presented in the appendix.
I Predictability in the Presence of Model Uncertainty
When M economic variables belong to the a priori set of stock return predictors there are 2 M competing return-generating specifications. Each of these obeys the form
where rt is an N × 1 vector of continuously compounded returns on N common stocks in excess of the continuously compounded T-bill rate, j is a model-specific indicator, x 0 j,t−1 = (1, z 0 j,t−1 ), z j,t − 1 is a model-unique subset, which contains m variables observed at the end of t − 1, Bj is an (m + 1) × N matrix of the regression coefficients. The parameter m ranges between zero and M. The former corresponds to the iid model, which discards all variables as worthless predictors. The latter corresponds to the all-inclusive specification. We assume that ²j,t, the forecast error, is normally distributed with conditional mean zero and variancecovariance matrix Σj. The conditional homoskedasticity assumption is for tractability of analysis. This assumption is made in several other studies, including Barberis (2000) and Pastor and Stambaugh (2000).
The study adopts Bayesian model averaging to account for the uncertainty about the true forecasting model. The Bayesian procedure computes posterior probabilities for the collection of all models and uses the probabilities as weights on the individual models to obtain one overall weighted forecasting model, which summarizes the dynamics of future stock returns in the presence of model uncertainty. The posterior probability computation necessitates eliciting prior distributions of all the relevant parameters conditional on each possible model (e.g., Kass and Raftery (1995) and Poirier (1995)).
Our informative prior distribution for each of the model-specific parameters (Bj, Σj) is based on an hypothetical prior sample weighted against predictability, as suggested by Kandel and Stambaugh (1996). In that sample, the slope coefficients in the regression of excess stock returns on a set of information variables are equal to zero, and the means and variances of stock returns and predictive variables are equal to the actual sample counterparts, which are given by:
where T is the actual sample size.
Using statistics from the actual sample to elicit some of the parameters of the prior distribution is commonly termed "empirical Bayes" (e.g., Maritz and Lwin (1989)). The empirical Bayes procedure is also undertaken by Pastor (2000) and others who implement Bayesian methods to study various applications in financial economics. Based on the hypothetical prior sample, the prior for the regression coefficient Bj conditional on Σj is given
by the multivariate Normal distribution:
where Bj,0 = [¯ r, 0j] 0 , 0j is an N × m matrix of zeros reflecting the 'no predictability' prior sample, T0 is the size of the hypothetical sample, and vec(•) denotes the vector formed by stacking the successive transformed rows of the matrix. The marginal prior for Σj is inverted Wishart (e.g., Zellner (1971))
Of course, the posterior analysis depends upon T0, which determines the strength of the informative prior. As an extreme, if T0 approaches infinity the investor displays dogmatic beliefs about no predictability. Any finite sample size cannot reverse such tight beliefs. Our task is, therfore, to pick a reasonable value for the prior sample size. Kandel and Stambaugh (1996) motivate such a value. Using Monte Carlo simulations, they show that the implied priors of R-squared in the regression of excess stock returns on lagged predictive variables are invariant to the number of predictors if the number of hypothetical data entries per parameter is held fixed (50 observations per parameter) as the number of parameters changes. Our analysis relies primarily on this. Essentially, the hypothetical prior size increases as the model contains more explanatory variables. Therefore, we will denote the prior sample size with the model-specific indicator.
Proposition 1 establishes an analytical result for the marginal likelihood, an input in computing the posterior probability. The marginal likelihood for model j is denoted by P (D|Mj), where D stands for the sample data, described in Section III. For the marginal likelihood computation, D is restricted to include only stock returns, but not predictive variables. This assumption, which will be relaxed as the work proceeds, is consistent with other studies computing marginal likelihood (e.g., Kass and Raftery (1995)) and the traditional model selection criteria (e.g., Bossaerts and Hillion (1999)).
Proposition 1 The log marginal likelihood of any entertained model, excluding the iid model, is given by:
where
T ∗ j = T + T j, 0 , Γ ( y ) stands for the Gamma function evaluated at y , and | x | is the determinant of x. For the iid model ˜ Siid = T ∗ iid ˆ V r .
Multiplying the marginal likelihood by the prior probability P (Mj), which is at the discretion of the decision-maker, and normalizing the resulting quantity produce the posterior probability in favor of the model
Having posterior probabilities at hands, the study examines three measures to investigate the statistical robustness of explanatory variables in predictive regressions.
The first is cumulative posterior probabilities of the predictive variables. It is computed as A 0 P, where A is a 2 M × M matrix representing all forecasting models by zeros and ones, designating exclusions and inclusions of predictors, respectively, and P is a 2 M × 1 vector containing model posterior probabilities. The resulting quantity indicates the probabilities that each of the predictive variables appears in the weighted forecasting model. To illustrate, in one polar scenario in which the iid model receives a posterior probability equal to unity the cumulative posterior probabilities are represented by an M × 1 vector of zeros. In the opposite extreme in which the all-inclusive model receives the entire posterior mass the posterior probabilities are represented by an M × 1 vector of ones.
The second measure is a posterior t ratio obtained by dividing the posterior mean of each of the slope coefficients in the weighted model by its corresponding posterior standard error. Focusing on a multiple regression run separately for any risky asset, the posterior mean and variance are given by: 2
where
The mean (9) follows by iterated expectations, conditioning first on the model space. The variance (10) follows by using properties of the inverted Wishart distribution and variance decomposition. The posterior mean is merely a weighted average of slope estimates. The posterior variance incorporates both the estimated variances in every entertained model and the model-uncertainty component attributed to the dispersion in the posterior mean of 2It should be noted that ˜ Bj and ˜ S are of equal dimension for any entertained model since slope coefficients of excluded variables and their variances and covariances with other slope coefficients are zero. To illustrate, we rewrite ˜ Biid as [¯ r 0 , 0] 0 , where 0 is a 1 × M vector of zeros.
the slope coefficients across the models. Of course, the larger the dispersion, or the greater the ex post uncertainty about the true predictors, the smaller the posterior t-ratio.
It should be noted that in the traditional regression paradigm, one may find that an economic variable is significant based on a particular collection of regressors, but becomes insignificant when an alternative specification is examined. Whether such a variable is a robust predictor or not is ambiguous. The Bayesian approach to model uncertainty implies that such a dispersion in the slope coefficients is reflected through a higher standard error of the coefficient in the weighted model. The robustness of the predictor can be examined based on both the posterior t-ratio and cumulative posterior probability.
The third measure is a posterior-odds ratio obtained by dividing the sum of posterior probabilities assigned to 2 M − 1 models that retain at least one predictor by the posterior probability of the iid model. Computing posterior odds in financial economics goes back to Shanken (1987) who implements a Bayesian approach to testing portfolio efficiency. Shanken (1987) shows that using posterior odds leads to a particular inference about mean variance efficiency that could differ from the one obtained by the classical p value.
II Model Uncertainty and the Investment Environment
Kandel and Stambaugh (1996), Stambaugh (1999), and Barberis (2000) have shown that predictive regressions are useful in making asset allocation decisions when investment opportunities are time varying. Those studies incorporate estimation risk, but not model risk. This section develops a framework for analyzing investment decisions under model uncertainty. Asset allocations are derived to deliver an economic based metric for gauging the evidence on stock return predictability under model uncertainty. The perceived investment opportunities based on the weighted forecasting model are reflected through the Bayesian
weighted predictive distribution.
A The Bayesian Weighted Predictive Distribution
Let y 0 j,t = ( r 0 t , z 0 j,t ) be the data-generating process corresponding to model j . We assume that the evolution of yj,t is governed by the stochastic process
where Φj is an (m + 1) × (N + m) matrix of regression coefficients and uj,t is an (N + m) × 1 vector of forecast errors. 3 We assume that uj,t ∼ iid N (0, Ψj). Implied in the datagenerating process (11) is a first order VAR for the dynamics of the predictive variables
The matrix A 0 j is known as the companion matrix of the VAR. The assumption that the VAR is first order is not restrictive since higher-order VAR can always be rewritten in first order form, as discussed by Campbell and Shiller (1988a).
The Bayesian weighted predictive distribution of cumulative excess continously compounded returns averages over the model space and integrates over the posterior distribution that summarizes the within-model uncertainty about Φj and Ψj. It is given by
3 Equation (11) provides some reasoning for why the marginal likelihood is computed assuming that the data include stock returns only. The marginal likelihood P (D|Mj) indicates the probability that the data, D, are generated by model j. Obviously, the left-hand-side data in (11) differ across models. Therefore, to compute the marginal likelihood, or any model selection criteria, one would rely on the data generating process in (1) in which the left-hand-side is not model specific.
where K is the investment horizon and RT+K = P K k=1 r T + k . To the best of our knowledge, an analytical solution for the integral in (13) when K > 1 is not feasible. Instead, Monte Carlo integration is used. Specifically, sampling from the Bayesian weighted predictive distribution is obtained by first drawing from the distribution of models. Then, the modelspecific parameters Φj and Ψj are drawn from their joint posterior distribution, solved in the appendix. Last, given Φj and Ψj, an N × 1 random vector of cumulative excess continously compounded returns is drawn from the conditional density of future stock returns described in Proposition 2.
Proposition 2 The distribution of future stock returns conditioned upon the model, its specific parameters Φj and Ψj, and the sample data is given by:
where
bj and Cj are partitions of Bj corresponding to the intercept and slope coefficients in the regression of excess returns on lagged predictive variables, Bj = [bj, Cj] 0 , and Λj and Θj are partitions of the variance-covariance matrix Ψj:
.
Note that when investors do know the model and its specific parameters the only information from the sample relevant to drawing from the distribution of future stock returns would be the most recent observation of the predictive variables. Also note that no predictability corresponds to Ciid = 0, which yields λiid = Kbiid and Υiid = KΣiid. Obviously, without accounting for estimation risk, the conditional mean and variance in an iid world increase linearly with the investment horizon. The classical approach employs the conditional distribution of returns to derive asset allocations, thereby assuming normally distributed future stock returns. Accounting for both estimation and model risks, the perceived distribution of future returns departs from normality and may have higher moment features, such as skewness and fat tails.
Of course, in the presence of model uncertainty investment in stocks appears riskier. In particular, based on the weighted predictive distribution the variance of future returns over the investment horizon can be decomposed with respect to both the model space and parameter space. Conducting such a variance decomposition, we show that the variance is attributed to three sources: i) model uncertainty; ii) a mixture of the within-model parameter uncertainty; and iii) a mixture of the within-model forecast error:
where P 2 M j=1 P ( M j | D ) ³˜ λ − E{λj}´ ³˜ λ − E{λj}´0 is the model uncertainty component, var{λj} is the parameter uncertainty corresponding to model j, and ˜ λ is the predicted mean of cumulative stock returns that takes account of model uncertainty. The predicted mean is given by
B Portfolio Choice in the Presence of Model Uncertainty
What are the implications of model uncertainty for investment decisions? The optimization problem of a buy-and-hold investor with iso-elastic preferences who allocates funds across N risky assets and the risk-free Treasury bill and who does not know the a priori true set of predictors is given by:
where the integral is taken over the Bayesian weighted predictive distribution, γ is the relative risk aversion parameter, ω is an N ×1 vector denoting portfolio weights chosen for N risky assets at time T , ιN is an N ×1 vector of ones, and rf is the continuously compounded risk-free rate of return, assumed constant over the investment horizon. Portfolio weights are restricted to the unit interval, meaning that short selling and buying on margin are precluded; otherwise, the expected utility would be equal to −∞, as explained by Barberis (2000), among others.
The expected utility maximization displayed in (16) is a version of the general Bayesian control problem developed by Zellner and Chetty (1965). Bawa, Brown, and Klein (1979), Jobson and Korkie (1980), Frost and Savarino (1986), Pastor (2000), and Pastor and Stambaugh (2000) compute optimal portfolios in a one-period framework in which returns are assumed iid. Kandel and Stambaugh (1996), Barberis (2000), and Tamayo (2000) analyze a portfolio decision when the investor instead uses a model in which returns can possess predictability. In these studies the conditional distribution of stock returns is integrated over the parameter space to account for estimation risk. Integrating over both the model space and the within-model parameter space is novel in the context of asset allocation.
The integral in equation (16) is approximated by generating independent draws for nR ( g ) T +KoG g=1 from the weighted predictive distribution using the algorithm described above. A constrained optimization code is then used to maximize the quantity
subject to ω being non negative, where G denotes the number of draws.
III Data
The empirical examination uses monthly observations on stock returns and information variables spanning 549 months from April 1953 to December 1998. Also examined is a quarterly sample spanning the same time period. The investment universe consists of the six portfolios formed originally by Fama and French (1993) as the intersections of two size (S,B) and three book-to-market (L,M,H) groups.
We consider the following M = 14 information variables: dividend yield on the value weighted NYSE index (Div); book-to-market (BM) on the Standard & Poor's Industrials; earnings yield on the Standard & Poor's Composite index (EY); the winners-minus-losers (WML) one-year momentum in stock returns; default risk spread, formed as the difference in annualized yields of Moody's Baa and Aaa rated bonds (Def); the monthly rate of a three-month Treasury bill (Tbill); excess return on the CRSP value weighted index with dividends (Ret); default risk premium, formed as the difference between the return on longterm corporate bonds and the return on long-term government bond (DEF); term structure premium, formed as the difference between the monthly return on long-term government bond and the one month Treasury bill rate (TERM); January Dummy (Jan); inflation rate (Inf); size premium (SMB); value premium (HML); and term structure slope, formed as the difference in annualized yield of ten-year and one-year Treasury bills (Term). None of the predictors listed above uses information that would not have been available at the time future excess stock returns were predicted.
Data used to compute Div, Tbill, and Ret are from the Center for Research in Security Prices (CRSP) at the University of Chicago. Inputs for calculating book-to-market are obtained from the Standard & Poor's publication: "Security Price Index Record - Statistical Service." Inputs for computing Def are obtained form Citibase. Data on TERM and PREM are from Ibbotson and associates. 4
In deciding which predictors to include, attention was given to those variables found important in previous studies as well as those popular business cycle variables for which there exist some theoretical "stories." Studies using subsets of the above-listed predictors include Bossaerts and Green (1989), Brandt (1999), Brandt and Ait-Sahalia (2000), Campbell (1987), Campbell and Shiller (1988a, 1988b), Carhart (1997), Chen, Roll, and Ross (1986), Fama and French (1988, 1989, 1993), Fama and Schwert (1977), Ferson and Harvey (1991, 1999), French, Schwert, and Stambaugh (1987), Keim and Stambaugh (1986), Kirby (1997, 1998), Kothari and Shanken (1997), Hodrick (1992), Lo and MacKinlay (1997), Pesaran and Timmermann (1995), Pontiff and Schall (1998), Schwert (1990), and Shanken (1990).
The reasoning for including the variables PREM, TERM, HML, and SMB, mostly notable as economy-wide factors in asset pricing models, follows from Merton (1973) whose 4 I am grateful to Kenneth French for generously providing returns on size book-to-market portfolios, size premium, and value premium. The winners minus losers portfolio is courtesy of Mark Carhart. Earnings and inflation data were downloaded from Robert Shiller's web-site (http://www.econ.yale.edu/ shiller/data.htm). Earnings yield is formed by dividing the most recent twelve-month earnings by the contemporaneous value of the S&P 500 index. Treasury-bill yields for various maturities are available at the Federal Reserve Board's web-site ((http://www.federalreserve.gov/releases/H15/data.htm).
intertemporal CAPM does not distinguish between variables that predict the market returns and variables that explain the cross-section variation in expected return. Moreover, Liew and Vassalou (2000) show that SMB and HML are useful in predicting economic growth even in the presence of the traditional business cycle variables, making the inclusion of these variables of interest while examining predictability in stock returns.
Table 1 presents summary statistics for the predictive variables (excluding January Dummy) and monthly returns on the six size book-to-market portfolios. We show that dividend yield, book-to-market, earnings yield, default spread, Treasury-bill rate, and termstructure slope display persistence, whereas WML, excess return, default risk premium, term-structure premium, inflation, size premium, and value premium possess lower or no autocorrelation. Also reported (Table 2) are slope coefficients and their corresponding tratios obtained by regressing excess returns on each of the size book-to-market portfolios on an intercept and lagged predictive variables described above. A closer look at Table 2 reveals ample evidence for in-sample predictability, as many of the t-ratios exceed two.
IV Results
A The Robustness of Predictive Variables in the Weighted Model
1 The Case of Monthly Observations
Consideration of all linear data-generating processes in the presence of fourteen predictive variables necessitates the comparison of 2 14 = 16, 384 models. Proposition 1 computes the marginal likelihood for every model, and equation (8) weights the marginal likelihood by the model prior probability and normalizes the result to obtain the model posterior probability. It is assumed throughout that the prior odds of predictability versus no predictability is unity. It is further assumed that the prior probabilities of all the models that include predictors are equal, i.e., such a prior probability is equal to 0.5 2 14 −1 .
Table 3 reports results. The top figures denote the highest-posterior-probability compositions represented by combinations of zeros and ones designating exclusions and inclusions of predictive variables, respectively. The bottom figures display cumulative posterior probabilities A 0 P for the fourteen predictors, as noted earlier. Several features of the results merit closer attention. The highest-cumulative-probability predictors are the term-structure premium, January Dummy, Treasury bill rate, earnings yield, and inflation. Interestingly, January Dummy appears in all highest-posterior-probability models corresponding to small stocks. This is consistent with Blume and Stambaugh (1983) and Keim (1983), who trace much of the evidence on the size effect to the month of January. Among the traditional market multipliers, i.e., dividend yield, book-to-market, and earnings yield, the latter appears in all the highest-posterior-probability compositions and receives the highest cumulative probabilities. Interestingly, although SMB and HML are reported robust in predicting contemporaneous stock returns (Fama and French (1993)) and future economic growth (Liew and Vassalou (2000)), both are correlated only marginally with future monthly stock returns.
Table 4 exhibits the posterior means of slope coefficients in the weighted model (top figures), as computed in (9), and two t-ratios. The first (middle figures) is obtained by dividing the posterior mean by the posterior standard error corresponding to the first component in (10), thereby ignoring model uncertainty. The second, the posterior t-ratio, (bottom figures) divides the posterior mean by the two sources of uncertainty, including model uncertainty that summarizes the dispersion in the posterior means of slope coefficients across the models.
The extra variance of the slope coefficients in predictive regressions attributed to model uncertainty calls into question the apparent predictive power of several economic variables. Focusing on t-ratios greater in absolute value than two, it appears that the predictive variables Treasury bill rate and term-structure premium are significant based on t-ratios that ignore model uncertainty, but not based upon the posterior t-ratio. In contrast, January Dummy remains significant under both specifications.
Intuitively, the cumulative posterior probabilities should be related somewhat to the posterior t-ratios, and they are. For example, high cumulative posterior probabilities for Treasury bill, earnings yield, and term-structure premium (Table 3) are followed by higher values of posterior t-ratios (Table 4). However, in some cases the absolute values of these measures seem incongruous. As an extreme example, the t-statistic of the dividend yield for the SL portfolio is 0.12, meaning that based on a traditional hypothesis testing dividend yield does not predict (statistically) future returns at any reasonable significance level. However, the cumulative posterior probability of dividend yield is 45%, suggesting some predictive power. Such an apparent contradiction is also documented by Shanken (1987). He shows that based on p-values one fails to reject portfolio efficiency, whereas the odds analysis provides evidence to the contrary.
The third measure undertaken to assess the sample evidence on predictability is the posterior-odds ratio. Based on a prior sample equivalent to 50 observations (or 4 years and two months of hypothetical data) per parameter, we obtain extremely large posterior odds in favor of predictability for every equity portfolio. To examine how strong the prior beliefs against predictability should be to offset the actual sample evidence, we compute odds under various prior specifications. In particular, the prior sample size ranges between 20 and 1,280 years of hypothetical observations per parameter.
Table 5 exhibits results. The analysis shows that also a prior sample size equivalent to 1,280 years of hypothetical observations per parameter is not sufficient to reverse the evidence in favor of predictability. That is, investors must form prior beliefs based on a particularly large hypothetical sample weighted against predictability to offset the evidence in favor of predictability, as appears in the actual sample.
Cross-sectional dispersion in predictability is apparent for the various prior specifications. In particular, holding book-to-market fixed, posterior odds in favor of predictability are substantially higher for small-versus-large capitalization stocks. Similarly, controlling for size the posterior odds are higher for high-versus-low book-to-market stocks. In turn, the evidence in favor of predictability is the strongest for the smallest size, highest bookto-market portfolio (SH).
2 The Case of Quarterly Observations
In a recent study, Lettau and Ludvigson (2000) (henceforth LL) introduce the trenddeviation-in-wealth (henceforth TDW) as a powerful predictor of equity markets at short and intermediate horizons. Drawing on the forward-looking model of Campbell and Shiller (1988a), LL argue that TDW summarizes expectations about future stock returns. Trenddeviation-in-wealth is computed as ct − wat − (1 − w)yt, where ct, at, and yt denote log consumption, non-human wealth, and labor income, respectively and w equals the average share of non-human wealth in total wealth. Consumption, wealth, and income data are released by the Federal Reserve Board within two months of the end of a quarter, suggesting that the TDW realization at quarter t is made known to capital market participants at the subsequent quarter and hence must be used to predict returns realized at or after quarter
t+ 2.
To examine the predictive power of TDW and the overall evidence about predictability using quarterly observations, an additional set of information variables is constructed with TDW replacing January Dummy. 5 Using quarterly observations and at the same time leaving the prior sample size, T0, unchanged amount to weighting the prior sample against predictability to a stronger degree as the ratio T 0 T increases three times. To maintain the ratio T 0 T fi xed across the monthly and quarterly experiments, posterior probabilities for the new model space are computed with T0 taking values equivalent to 17 prior observations per parameter.
Table 6 exhibits cumulative posterior probabilities for the new set of predictors. We show that TDW indeed dominates dividend yield, lagged excess return, default-risk spread, and term-structure spread, predictive variables used by LL. (Two predictors examined by LL, dividend-payout ratio and relative bill rate, are not presented in Table 6, but were examined along with the other variables and found not particularly robust in a posterior probability analysis.) TDW outperforms book-to-market, WML, HML, and inflation as well. However, several other variables not accounted for by LL, including term-structure premium, default-risk premium, the three-month Treasury-bill rate, size premium, and earnings yield, possess stronger power in forecasting quarterly returns on all equity portfolios for every entertained prior sample size. Interestingly, SMB appears robust in forecasting quarterly returns on large capitalization stocks, whereas HML is not identified with the highest-posterior-probability models for quarterly observations as well.
Table 7 exhibits t-ratios unadjusted (top figures) and adjusted (bottom figures) to ac5 I thank Martin Lettau for providing data on TDW. It should be emphasized that w, the share of nonhuman wealth in total wealth, is computed based on all the sample containing data realized after the time future returns were predicted. LL recompute TDW using out-of-sample estimation, which, in turn, produces a fairly small sample, not sufficient to be included here.
count for model uncertainty. Model uncertainty questions the relevance of several explanatory variables. The variables Treasury bill rate and SMB are, in some cases, significant in forecasting quarterly returns based on t-ratios that ignore model uncertainty, but not when such uncertainty is accounted for. In most cases, the t-ratio corresponding to the TDW is smaller (in absolute value) than those corresponding to the variables earnings yield, term-structure premium, Treasury bill rate, and SMB.
3 Bayesian Model Averaging: External Validation
The analysis provides strong evidence that monthly and quarterly returns on portfolios sorted on size and book-to-market are predictable, even when prior beliefs are weighted against predictability. In a related study, Bossaerts and Hillion (1999) confirm the presence of predictability using several model selection criteria. However, they discover that those criteria perform poorly out of sample. This section compares the out-of-sample performance of the weighted forecasting model with that of six other models. The first is an all-inclusive model. The second is the iid model, which rules out return predictability. The other four models are selected using the criteria AIC, SIC, FIC, and PIC, all of which are discussed by Bossaerts and Hillion (1999). Due to the high dimensionality of the model space, the out-of-sample examination focuses on a single risky asset, the value weighted CRSP index encompassing securities traded in NYSE, AMEX, and NASDAQ.
Out-of-sample forecast errors are computed using the following algorithm. Based upon the initial t = T 3 sample observations, we compute posterior probabilities for all 2 M compositions and select four models based on the aforementioned criteria. Next, we project the time t + 1 excess return for each of the seven specifications and retain the corresponding forecast errors. The excess return and predictive variables realized at time t + 1 are then added to the data set to revise both the model selection and posterior probability computation and to project the time t + 2 excess return. Following these steps, we obtain 2 × T 3 out-of-sample forecast errors for each specification. Table 8 reports the sum of squared forecast errors (SSE), the sum of forecast errors (SFE), and the standard deviation of forecast errors (SDE).
Focusing on the out-of-sample performance of the iid model and the four models selected by AIC, SIC, FIC, and PIC, the evidence shows no out-of-sample predictability. In particular, the SSE's for the iid model are 0.7886 and 0.9492 based on the monthly and quarterly samples, respectively. A similar quantity for the optimally selected models ranges between 0.8010 and 0.8270 based on the monthly sample, and between 0.9966 and 1.1073 based on the quarterly counterpart. Moreover, the absolute value of the sum of forecast errors corresponding to the iid model is 0.3488, whereas the counterpart quantity for the optimally selected models is bounded below by 0.4572. The poor out-of-sample performance of model selection criteria is consistent with Bossaerts and Hillion (1999).
Focusing on all seven specifications, we find that Bayesian model averaging has a superior out-of-sample performance. For example, its SSE and SFE are 0.7793 and -0.0224, respectively, based on the monthly sample. The corresponding quantities based on the quarterly counterpart are 0.9314 and 0.1760. Moreover, the weighted model possesses the smallest dispersion in forecast errors. The overall evidence is thus consistent with out-ofsample predictability.
In a related study, Cremers (2000) conditions his analysis on the highest-posteriorprobability model and reports no in-sample and out-of-sample predictability. Our analysis is not conditioned on a single selected model, but rather on the weighted model, which averages over all models under consideration. Conditioning results on a single selected model amounts to ignoring model uncertainty. In particular, when the model space contains as many as 16,384 compositions of predictive variables, the highest posterior probability composition accounts, at least in our analysis, for less than a single percent from the total posterior probability. Focusing on that particular model, one ignores the other 16, 383 competing models that account altogether for around 99% of the posterior mass.
B Model Uncertainty: Implications for the Investment Opportunity Set
We first perform the variance decomposition of future stock returns into the three components, i.e., model risk, estimation risk, and uncertainty attributed to forecast errors. The decomposition is based on the actual end-of-sample realizations. We find that for a singleperiod investor, the average (across portfolios) contributions of the three components to the overall uncertainty about predicted stock returns are 93%, 3%, and 4%, respectively, based on monthly observations. However, such contributions based on quarterly observations are 79%, 17%, and 4%, respectively. That is, model uncertainty dominates parameter uncertainty based on monthly but not quarterly observations.
Interestingly, focusing on monthly observations Pastor and Stambaugh (1999) show that uncertainty about which pricing model to use is less important, on average, than withinmodel parameter uncertainty. One of the major differences between the studies is that our setting accommodates information variables. In particular, it is apparent from equation (15) that model uncertainty becomes more prominent with a greater dispersion of the forecasted conditional expected returns across the models. Such a dispersion positively depends upon the deviation of the most recent values of the predictive variables from their historical means. As an extreme example, if such recent values are equal to their historical means, the conditional expected returns are identical across models.
At the end-of-sample period the current values of variables that are perceived to have been indicators of fundamental values, such as book-to-market, dividend yield, and earnings yield, deviate substantially from their sample means, giving rise to the greater impact of model uncertainty. Some figures are presented below:
What are the implications of the sample size and investment horizon for model-versusparameter risks?
Higher frequency data provides substantially more information about the variance, but only little additional information about expected returns. Therefore, parameter uncertainty is more prominent based on the quarterly sample. In contrast, with a smaller sample size, model uncertainty, which is merely the dispersion in expected returns across all forecasting models, is affected only marginally.
Parameter uncertainty increases with the investment horizon, as shown by Barberis (2000). However, in longer horizons, predictive variables revert to their long-run means (see autocorrelation coefficients for various lags in Table 1), making conditional expected stock returns look similar across the various forecasting models. We, therefore, expect that the total predictive variance attributed to model uncertainty will converge to a fixed quantity and, consequently, the annualized predictive variance, obtained by dividing the fixed quantity by the horizon length, will diminish with an increasing horizon. The oneperiod investment horizon thus gives a lower bound on the ratio obtained by dividing
parameter uncertainty by model uncertainty.
We next turn to a portfolio selection analysis. Table 9 exhibits asset allocation under model uncertainty across the six size book-to-market portfolios for both monthly (Panel A) and quarterly (Panel B) observations. Asset allocations are derived based on two scenarios, in which the recent values of predictive variables are equal to the actual end-of-sample realizations and to the sample means. The investment horizon ranges between one and ten years. The relative risk-aversion coefficient takes the values three, six, and nine. Also reported are total allocations to equities and a certainty equivalent rate, CE. A certainty equivalent rate is the annual riskless rate that would provide the maximized expected utility E [U (WT+K(ω ∗ ))]. It is given by:
where H is the length of horizon in years, i.e., H = K 12 and H = K 4 for monthly and quarterly observations, respectively. The lower bound on CE is the annual risk free rate of return prevailing over the investment horizon.
The overall pattern of asset allocations, as displayed in Table 9, is consistent with return predictability. The optimal portfolio choices exhibit high sensitivity to the current values of predictive variables. In particular, centering those values around the sample means rather than the actual end-of-sample realizations modifies the compositions of risky assets in the optimal portfolio. For example, focusing on γ = 3 and a one-year investment horizon, the invested wealth in the small size, high book-to-market portfolio increases from 16.84% to 44.48%, whereas the wealth invested in the big size, high book-to-market portfolio decreases from 82.16% to 54.54%. The investment in the other equity portfolios remain zero.
Focusing on the actual end-of-sample realizations to explore the attractiveness of investment opportunities, we show that investors tend to allocate more to equities the longer their horizon. For example, with γ = 6 the total allocation to equities is 52.23% and 54.38% for horizons of one and ten years, respectively. In the same vein, investment opportunities, as summarized by the certainty equivalent measure, are perceived more attractive with longer horizons. For example, annual certainty equivalent rates corresponding to horizons of one and ten years are 7.22% and 7.69%, respectively.
It should be noted that the horizon effect found here is not as robust as the one documented by Barberis (2000). Focusing on the dividend yield as a single predictor, Barberis (2000) shows that investors allocate substantially more to stocks the longer their horizon. In our analysis, which explicitly accounts for model uncertainty, the increase in allocation to equities for longer horizons is fairly modest and completely disappears when the current values of the predictive variables are equal to their sample means. The disappearance of the horizon effect is consistent with Heaton and Lucas (2000) and Ameriks and Zeldes (2000) who show that older people (probably shorter horizon investors) could hold more in stocks than younger cohorts. Interestingly, Ameriks and Zeldes (2000) also show that almost half of their sample members made no active changes to their portfolio allocation, i.e., those are buy-and-hold investors similar to the one examined in our study.
V Conclusion
We use Bayesian model averaging to investigate the sample evidence about return predictability in the presence of model uncertainty. The analysis shows that such uncertainly is more important than the within-model parameter uncertainly for monthly observations, but the reverse is true for quarterly observations. Incorporating model uncertainty undermines the apparent predictive power of several economic variables. However, both in-sample and out-of-sample evidence based on posterior and predictive analysis support predictability.
We also show that the out-of-sample performance of Bayesian model averaging is superior to that of the traditional model selection criteria studied by Bossaerts and Hillion (1999).
Several economic variables are found useful predictors of future returns on portfolios sorted on size and book-to-market. Such variables include the difference between lagged returns on long-term and short-term government bonds, earnings yield, and Treasury-bill rate. Interestingly, the trend-deviation-in-wealth appears strong in forecasting future returns when the set of predictive variables is restricted to that studied by Lettau and Ludvigson (2000). However, its predictive power is somewhat undermined when the information set is expanded to include several other variables. Last, we show that small high book-tomarket stocks are more predictable than big low-book-to-market stocks.
Directions for future research include the implementation of our methodology to examine predictability of returns on fixed income securities, of forward premiums, and of economic growth. Our approach gives interesting directions for examining non-nested models as well. For example, one can compute posterior probabilities for GARCH and stochastic volatility models in order to select the optimal model or, instead, to average across these models. The uncertainty about the true volatility model is especially relevant in pricing derivative securities, but it also can provide powerful insight for short-term asset allocation decisions.
The study derives portfolio choice in a simplified environment, focusing on descriptive implications. The normative implications of model uncertainty for asset allocation decisions merit further research. In particular, can model uncertainty induce hedging demands for risky assets? Finally, in a general equilibrium setting, investors who face model uncertainty will require an extra premium for holding equities. Estimating the equity premium in the presence of model uncertainty is of great interest, especially when the current estimates appear too large to be reconciled with the perceived uncertainty about stock returns.
A Proof of Proposition 1
First note that all the various quantities based on the hypothetical sample, denoted by the subscript 0, must be expressed in terms of quantities observed from the actual sample. In particular (the model-specific-subscript is suppressed for notational clarity):
The joint posterior distribution of B and Σ based on the hypothetical sample is the prior distribution for those parameters based on the actual sample
where
and ιT0 is a T0 × 1 vector of ones. Standard results (e.g., Zellner (1971)) imply that Σ obeys the inverted Wishart distribution with a parameter matrix S0 and T0 − N − 1 degrees of freedom. Conditional on Σ, the vector b = vec(B) is multivariate normally distributed with mean b0 = vec(B0) and variance Σ ⊗ (X 0 X) − 1 . The informative priors for B and Σ can be expresses as
where
The normalization constants must be included while computing the marginal likelihood and are therefore displayed above.
The likelihood function (the one that integrates to unity) of normally distributed data constituting the actual sample obeys the form:
where
Combining the likelihood (A.7) and the prior (A.3) and completing the square on b yield
where
The marginal likelihood is the product of the prior and likelihood divided by the posterior, all of which are evaluated at an arbitrary point in the parameter space B ∗ and Σ ∗
)
Computing the log marginal likelihood is straightforward: take logs from both sides of (A.11) and replace the prior, likelihood, and posterior densities in (A.5), (A.7), and (A.10), respectively, by their corresponding normalization constants.
B The Joint Posterior Distribution of Φ and Ψ
To solve for the posterior distribution of Φ and Ψ, we follow Kandel and Stambaugh (1996) and make the additional assumption that the prior sample produces the same values as the actual counterpart for the statistics corresponding to ρ and ˜ z, where
is the matrix of autocorrelation and cross autocorrelation of m predetermined variables and ˜ z = 1 T PT t=1 z t , results in an informative joint posterior distribution of Φ and Ψ :
where
The approximation becomes equality if the first and last observations of the predictive variables are equal. The off-diagonal matrix V is assumed zero, an innocuous assumption. Combining the joint prior distribution in (B.2) with normally distributed data constituting the primary sample, the posterior distributions for φ = vec(Φ) and Ψ are obtained as
where
C Proof of Proposition 2
Partitioning equation (11) yields where
It follows from equation (C.1) that:
The cumulative excess return over the investment horizon is computed as
where zT +j is obtained by iterating over equation (C.4). In particular,
Substituting equation (C.6) into equation (C.5) for J = 1, . . . , K − 1 yields:
for K ≥ 2. The results follow immediately.
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Table 1 Descriptive Statistics of Predictive Variables and Monthly Stock Returns
The table shows descriptive statistics based on the actual sample spanning 549 months from April 1953 to December 1998 for monthly continously compounded returns on six equity portfolios and 13 predictors. The portfolios are identified by a combination of two letters designating increasing values of size (S,B) and book-to-market (L,M,H). The 13 predictors are: dividend yield on the value weighted NYSE index (Div); book-to-market (BM) on the Standard & Poor's Industrials; earnings yield on the Standard & Poor's Composite index (EY); the one-year momentum portfolio (WML); the difference in annualized yields of Moody's Baa and Aaa rated bonds (Def); the monthly rate of a three-month Treasury bill (Tbill); excess return on the value weighted index (Ret); the difference between the return on long-term corporate bonds and the return on long-term government bond (DEF); the difference between the monthly return on long-term government bond and the one month Treasury bill rate (TERM); the inflation rate (Inf); size premium (SMB); value premium (HML); and the difference in annualized yield of ten-year and one-year Treasury bills (Term). Std.Dev. denotes the standard deviation. The parameter ρt is the sample autocorrelation at lag t months.
Table 2 Multiple Regressions of Monthly Excess Continously Compounded Returns on Predictive Variables
The table displays OLS estimates based on six multiple regressions of excess continously compounded returns on a constant intercept and 14 predictive variables. Reported are slope coefficients (top figures) and ratios obtained by dividing the slopes by their corresponding standard deviations (bottom figures). Excess returns are on six portfolios formed as the intersection of two size (S,B) and three book-to-market (L,M,H) groups. The set of predictors includes: dividend yield (Div); book-to-market (BM); earnings yield (EY); the one-year momentum portfolio (WML); default risk spread (Def); the monthly rate of a three-month Treasury bill (Tbill); excess return on the value weighted index (Ret); default risk premium (DEF); termstructure premium (TERM); the inflation rate (Inf); size premium (SMB); value premium (HML); and the term-structure spread (Term).
Table 3 Posterior Probabilities of Forecasting Models Based on a Prior Sample Weighted
against Predictability
The top figures denote the highest-posterior probability compositions represented by a combination of zeros and ones designating exclusions and inclusions of predictive variables, respectively. The bottom figures display cumulative posterior probabilities computed as A 0 P, where A is a 2 14 × 14 matrix representing all forecasting models by their unique combinations of zeros and ones and P is a 2 14 ×1 vector including posterior probabilities for all models. The stock universe comprises six portfolios identified by two letters designating increasing values of size (S, B) and book-to-market (L, M, H). Following are the predictors spanning the information set: dividend yield (Div); book-to-market (BM); earnings yield (EY); the momentum portfolio (WML); the difference in annualized yields of Moody's Baa and Aaa rated bonds (Def); the monthly rate of a three-month Treasury bill (Tbill); excess return on the value weighted index (Ret); the difference between the return on long-term corporate bonds and the return on long-term government bond (DEF); the difference between the monthly return on long-term government bond and the one month Treasury bill rate (TERM); the inflation rate (Inf); size premium (SMB); value premium (HML); and the difference in annualized yield of ten-year and one-year Treasury bills (Term). Figures displayed below are computed when investors perceive the events of predictability versus no predictability as equally likely prior to encountering a hypothetical sample weighted against predictability.
Table 4 Slope Coefficients in the Weighted Model and their t-Ratios
The top figures denote posterior means of slope coefficients obtained by averaging slope estimates across models:
.
The middle and bottom figures denote t-ratios unadjusted and adjusted to account for model uncertainty, respectively. In particular, the former is obtained by dividing the posterior mean of each of the slope coefficients by its posterior standard error corresponding to the first variance component in the following equation:
The latter divides the posterior mean by the posterior standard error corresponding to the overall variance, including model uncertainty that summarizes the dispersion in slopes across models. The statistics are computed separately for each of six equity portfolios formed as the intersection of two size (S, B) and three book-to-market (L, M, H) groups. Following are the predictors spanning the information set: dividend yield (Div); book-to-market (BM); earnings yield (EY); the momentum portfolio (WML); the difference in annualized yields of Moody's Baa and Aaa rated bonds (Def); the monthly rate of a three-month Treasury bill (Tbill); excess return on the value weighted index (Ret); the difference between the return on long-term corporate bonds and the return on long-term government bond (DEF); the difference between the monthly return on long-term government bond and the one month Treasury bill rate (TERM); the inflation rate (Inf); size premium (SMB); value premium (HML); and the difference in annualized yield of ten-year and one-year Treasury bills (Term). Figures displayed below are computed when investors perceive the events of predictability versus no predictability as equally likely prior to encountering a hypothetical sample weighted against predictability.
Table 5 Posterior Odds in Favor of Predictability Based on Various Hypothetical Prior Samples
The table exhibits posterior odds in favor of predictability, or against the iid model, for various values of the hypothetical sample size, ranging from 20 to 1280 years per parameter. The prior-odds ratio in favor of predictability is set equal to unity. The posterior-odds ratio is computed by dividing the sum of posterior probabilities assigned to models that retain predictors by the posterior probability of the iid model. The stock universe comprises six portfolios identified by two letters designating increasing values of size (S, B) and book-to-market (L, M, H). Following are the predictors constituting the information set: dividend yield (Div); book-to-market (BM); earnings yield (EY); the momentum portfolio (WML); the difference in annualized yields of Moody's Baa and Aaa rated bonds (Def); the monthly rate of a three-month Treasury bill (Tbill); excess return on the value weighted index (Ret); the difference between the return on long-term corporate bonds and the return on long-term government bond (DEF); the difference between the monthly return on long-term government bond and the one month Treasury bill rate (TERM); the inflation rate (Inf); size premium (SMB); value premium (HML); and the difference in annualized yield of ten-year and one-year Treasury bills (Term).
Table 6 Posterior Probabilities of Forecasting Models Using Quarterly Observations
The table exhibits cumulative posterior probabilities for fourteen predictive variables computed as A 0 P, where A is a 2 14 × 14 matrix representing all forecasting models by their unique combinations of zeros and ones designating exclusions and inclusions of predictors, respectively, and P is a 2 14 × 1 vector including posterior probabilities for all models. Figures displayed below are computed when investors perceive the events of predictability versus no predictability as equally likely prior to encountering a hypothetical nopredictability informative sample taking values equivalent to 17 observations per parameter. The asset universe comprises six equity portfolios identified by two letters designating increasing values of size (S, B) and book-to-market (L, M, H). Following are the predictors constituting the information set: dividend yield (Div); book-to-market (BM); earnings yield (EY); momentum (WML); default risk spread (Def); the threemonth rate of a three-month Treasury bill (Tbill); a quarterly excess return on the value weighted index (Ret); default risk premium (DEF); term structure premium (TERM); trend deviation in wealth (TDW); the three-month inflation rate (Inf); size premium (SMB); value premium (HML); and the term spread (Term).
Table 7
Slope Coefficients in the Weighted Model and their t-Ratios: The case of Quarterly Observations
The top and bottom figures denote t-ratios unadjusted and adjusted to account for model uncertainty, respectively. In particular, the former is obtained by dividing the posterior mean of each of the slope coefficients obtained by averaging slope estimates across models by the posterior standard error corresponding to the first variance component in the following equation:
The latter divides the posterior mean by the posterior standard error corresponding to the overall variance, including model uncertainty that summarizes the dispersion in slopes across models. The hypothetical nopredictability informative sample takes values equivalent to 17 observations per parameter. The statistics are computed separately for each of six equity portfolios formed as the intersection of two size (S, B) and three book-to-market (L, M, H) groups. Following are the predictors constituting the information set: dividend yield (Div); book-to-market (BM); earnings yield (EY); momentum (WML); default risk spread (Def); the three-month rate of a three-month Treasury bill (Tbill); a quarterly excess return on the value weighted index (Ret); default risk premium (DEF); term structure premium (TERM); trend deviation in wealth (TDW); the three-month inflation rate (Inf); size premium (SMB); value premium (HML); and the term spread (Term). Figures displayed below are computed when investors perceive the events of predictability versus no predictability as equally likely prior to encountering a hypothetical sample weighted against predictability.
Table 8 Bayesian Model Averaging: Out-of-Sample Performance
The table reports the sum of squared forecast errors (SSE), the sum of forecast errors (SFE), and the standard deviation of forecast errors (SDE) for seven specifications. These are the weighted forecasting model (WFM), the all-inclusive model (ALL), the iid model (IID), and the models selected by the criteria AIC, SIC, FIC, and PIC. Out-of-sample forecast errors are computed using the following algorithm. Based upon the initial t = T 3 sample observations, we compute posterior probabilities for all 2 M compositions and select four models based on the aforementioned criteria. Next, we project the time t + 1 excess return for each of the seven specifications and retain the corresponding forecast errors. The excess return and predictive variables realized at time t + 1 are then added to the data set to revise both the model selection and posterior probability computation and to project the time t + 2 excess return. Following these steps, we obtain 2 × T 3 out-of-sample forecast errors for each speci fi cation.
Table 9 Asset Allocations Based on the Weighted Model
The table exhibits allocations to six size book-to-market portfolios as percentages of the total invested wealth for both monthly (Panel A) and quarterly (Panel B) observations when the recent values of the predictive variables (zT ) are equal to the actual realizations, as documented at the end-of-sample period, and to the sample means. Asset allocations are derived for investment horizons ranging from one to ten years and relative risk-aversion coefficient (γ) equal to three, six, and nine. Also reported are total allocations to equities (Total) and a certainty equivalent measure (CE) defined as the annual riskless rate that would provide expected utility equal to the one obtained based on the optimal allocations displayed below.
Panel A: The Case of Monthly Observations
Table 9 - Continued
Panel B: The Case of Quarterly Observations
|
2013 ANNUAL REPORT
Sector of Operation
2.1 IT Sector
2.1.1 Turkish IT Sector
The usage of computers in Turkey started in the end of the 1980's. Although there was a very rapid development in the sector between the years of 1990 and 1995, usage of computers were limited to mostly fi nancial sector, governmental units, big businesses and universities. In the second half of the 1990's, the increase in the usage of computers made the IT sector one of the most rapidly growing sectors in Turkey. According to the data issued by International Data Corporation ("IDC"), the Turkish Information and Communication Technologies ("IT") sector achieved a compound annual growth rate ("CAGR") of 20% between 1997 and 2000. In 2000, the Turkish IT sector has reached its greatest business volume thus far with 2.3 billion USD, whereas that fi gure reduced to 1.2 billion USD with 49% recession in 2001 because of the economical crisis that was encountered in the end of 2000 and the postponement of the demand of IT investments by public and private sectors. The fi gures achieved in 2000 were again caught only in 2004, with a business volume of 2.4 million USD. In other words, it took 4 years to eliminate the effects of the crises. However, one should also consider that one of the causes of the shrinkage of the business volume was the continuously price reduction of products, which is the structural feature of the IT Industry.
As a consequence of the realization of the postponed IT investments especially in the private sector in parallel with the improvement in the macroeconomic indicators after 2001, the IT sector continued its growth with a compound annual growth rate ("CAGR") of 27.9% between 2001 and 2007, which is higher than the growth rates in the period before the crisis. Particularly the increasing usage of internet in the recent years has made a great contribution to this development. However, in despite of the negative pressure of the global economic shrinkage on the consumption tendency and the appreciation of USD against TRL, contrary to the previous crisis periods, the Turkish IT Sector did not shrink, but has reached 4.9 billion USD in 2009. The contribution of tax stimulus packages of the government during 6 months cannot be underestimated for this growth. According to IDC's research, IT market achieved growth from 2009 to 2010 with 10,4 %, from 2010 to 2011 with 8,1 %, from 2011 to 2012 with 15 % and from 2012 to 2013 with %9 as this was remained in low level because of currency fl uctuations took place in 2013.
Turkish IT Market Business Volume (Mio $)
Source: IDC 2014
According to the 2013 Turkey IT Expenditures Research conducted by IDC, the Turkish IT market is expected to have a 6,8 % compound annual growth rate (CAGR) in the period between 2011 and 2017, reaching 7,5 billion USD in 2017. IT investment demands deferred in the 2001 crisis period have been started to be realized with the appearance of the increasing stable outlook of the economy and these investment expenditures have been one of the most powerful dynamics of the market in the fi rst 5 years following 2001. New investments that increased after merger and acquisition operations in all sectors, beginning in the fi nance and telecommunication sectors and spread to other sectors from 2005 on, technology replacement investments, increased IT investment made by the government as part of e-government projects, increase in the internet usage rates and fi nally, in the number of the users who follow up the rapidly developing technology became the driving forces of the market between 2005 and 2008. Although the fi rst quarter of 2008 started very favourably, the sector started to lose its strength due to the suit brought to close AKP, a slowdown was experienced in the third quarter when not so many negative results were observed. However, with the last quarter, the sector was affected by the global fi nancial crisis that started at the beginning of October, and thus, the quarter was closed with a double-digit shrinkage. 2009 was experienced as a year when the wounds of the crisis were bandaged; the effects of the crisis in the fi rst quarter diminished with the effect of the VAT cut applied for 6 months, including the second and third quarters, and positive growth was recorded in the fourth quarter. In 2010, IT sector achieved quite gradual growth after constitutional referendum particularly static summer season. In 2011, particularly in the second half of the year, IT sector was affected negatively by currency fl uctuations sourced by debt crisis of European Countries.
Turkey has been one of the major developing countries due to the improving general economic conditions, increased per capita income and steps taken for globalization. In addition to highly qualifi ed and cost effective human resources, majority of the young population is contributing to the attractiveness of our country. In 2014, it is expected IT to grow 7 % and reach 6,8 billion USD business volume.
On the other hand, if the share of the end-users in the market is monitored in the period between 1995 and 2009, it would be clearly seen that the market structure has changed considerably. Accordingly, the IT market comprised governmental and public bodies (38%), fi nance sector companies (30%), private sector companies (20%), individual users (7%) and SMEs (5%) in 1995. However, the shares of government and public sector companies, fi nance sector companies and private sector companies in the market decreased while those of individual users and SMEs increased in the period between 1995 and 2012. As a result, as of 2013, the Turkish IT market comprises 46% individual users, 18% government and public sector companies, 12% private sector companies, 9% fi nance sector companies and 14% SMEs.
Changes in the Market Share of End Users
Source: IDC 2014
It is estimated that the rate of the number of PC in operating status to the total population has increased from 8% to 27% in the period between 1995 and end of 2010, and that the rate of the internet users to the total population has increased from 10% to 37% in the same period. This indicates that PC ownership and internet usage rates increased over 3 times in the last 15 years. PC ownership and internet usage rates have increased by 67% and 40%, respectively in the last 5 years. Comparing to the country data published by ITU above, it is clear that Turkey is far below the developed countries with respect to the PC ownership and internet users rate and that there is a long distance to be covered in this fi eld. The PC and internet penetration in Turkey between 2000 and 2015F has developed as shown in the following graphics.
Trends in Internet & PC Penetrations
Source : IDC 2014
According to the results of "Households IT Usage Research" published by the Turkish Statistical Institute (TÜİK) in April 2013, the PC and internet usage rates of individuals are 49,97% and 48,9%, respectively. The survey indicates that computer and internet usage rates of people between 16 and 74 ages are 60,2% and 59,3% for men and 39,8% and 38,7% for women, respectively.
The age group in which the rate of computer and internet usage is highest is 16-24.These rates are higher in men than women in all age groups. By educational level, the population who use the computer and internet most are graduates of fi rst degree and higher education levels.
According to the report results, PC and internet usage rates have increased by 7% and 8%, respectively in the period between 2011 and 2012. Another interesting feature of the report is that although the computer and internet usage rate of the rural population is lower than the urban population, the computer and internet usage rates increased by 3% and 3%, respectively, in the rural areas. Although the increasing rate is pleasing, it is clear that the computer and internet usage rate in the urban areas is 2 times higher than the rural areas.
Comparison of computer and internet usage on area based (rural & urban) (%) (2012-2013)
| | | Computer Usage Rate | | Change | Internet Usage Rate | |
|---|---|---|---|---|---|---|
| | | 2012 | 2013 | % | 2012 | 2013 |
| Computer And Internet Users | Turkey | 48,7 | 49,9 | 3% | 47,4 | 48,9 |
| | Urban | 57,8 | 59,0 | 2% | 56,6 | 58,0 |
| | Rural | 27,6 | 29,5 | 7% | 26,4 | 28,6 |
| In The Last Three Months | Turkey | 43,5 | 44,3 | 2% | 42,7 | 43,2 |
| | Urban | 52,5 | 53,2 | 1 | 51,4 | 51,8 |
| | Rural | 22,8 | 24,6 | 8 | 22,7 | 23,7 |
| Between Three Months And One Year | Turkey | 2,3 | 2,6 | 13 | 2,4 | 3,1 |
| | Urban | 2,5 | 2,8 | 12 | 2,7 | 3,4 |
| | Rural | 1,8 | 2,0 | 14 | 1,7 | 2,4 |
| Over 1 Year | Turkey | 2,9 | 3,0 | 4 | 2,3 | 2,7 |
| | Urban | 2,9 | 3,1 | 7 | 2,5 | 2,7 |
| | Rural | 3,0 | 2,9 | -3 | 1,9 | 2,5 |
| Never Used | Turkey | 51,3 | 50,1 | -2 | 52,6 | 51,1 |
| | Urban | 42,2 | 41,0 | -3 | 43,4 | 42,0 |
| | Rural | 72,4 | 70,5 | -3 | 73,6 | 71,4 |
Source: TUIK 2012, 2013
Computer and internet usage in the separation of urban and rural
Source: TUIK 2014
2.1.2. IT Market Comparison in the World and Turkey
According to IDC's report regarding growth rates between countries, the highest decline rate from 2012 to 2013 was seen in Egypt with 33 % and respectively South Africa with 28%, 27% Russia. Other countries had small percentage of shrinkage. Turkey has %13shrinkage in 2013 unfortunately.
World IT Market – Country Based PC Market Growth Analysis 2012-2013 (Quantity)
Source: IDC 2014
World IT Market – Developing Countries Based IT Sector Analysis 2013 (Quantity)
■ Service|■ Software|■ Hardware
| | China | India | Indonesia | Russia | Brazil | Mexico |
|---|---|---|---|---|---|---|
| Hardware | 147,183 | 29,630 | 12,617 | 22,149 | 36,473 | 13,918 |
| Software | 9,532 | 4,429 | 673 | 5,108 | 10,736 | 3,646 |
Source: IDC 2014
According to the report published by IDC, as understood by above chart, Indonesia has the highest rate of hardware market with % 85. Others are China with 84 %, India with 70 %, Turkey with 66 %, Russia with 65 %, Mexico with 63 %, Brazil with 59. On the other hand, Brazil has the highest rate of service market with % 23. Others are Turkey with 22 %, Mexico with 21 %, Russia with 20 %, India with 19 %, China with 11 % and Indonesia with 7 %. Respectively. When looked at software segment, these are Brazil with 17 %, Mexico with 16 %, Russia with 15 %, Turkey with 12 %, India with 10 %, China and Indonesia with 5 %.
World IT Market – Developed Countries Based IT Sector Analysis 2013 (Quantity)
■ Service|■ Software|■ Hardware
| Japan | Canada | USA | UK | France | Germany | Korea |
|---|---|---|---|---|---|---|
| 83,051 | 19,548 | 246,849 | 40,884 | 25,916 | 35,490 | |
| 31,858 | 11,368 | 175,889 | 21,364 | 13,755 | 23,920 | |
| 62,763 | 21,456 | 236,213 | 52,674 | 30,600 | 36,642 | |
Looking at the same report on developed countries based, Korea 71 %, Japan with 47 %, Canada, USA, France, Germany with 37 % and the UK with 36 % on hardware based. On service based, the UK with 46 %, France with 44 %, Canada with 41 %, Germany with 38 %, USA with 36 %, Japan with 35 % and Korea with 20 % . On software based, USA with 27 %, Germany with 25 %, Canada with 22 %, France with 20 %, the UK with 19 %, Japan with 18 % and Korea 9 %. Distribution in segments on developed countries is more homogeny comparing to developing countries.
2.2 Sub-segments of the ICT Sector
Turkish IT sector is essentially separated into three main groups, namely hardware, software and IT services. According to the Turkey results published by IDC in 2014, the business volume of the Turkish Information and Communication Technologies (IT) market reached 5,1 billion USD in 2011, 5.8 billion USD in 2012, 6.4 billion USD in 2013. The same report shows that the share of the "Hardware", "Software" and "IT Services" sub-segments in the total market are 66,1 %, 12,2 % and 21,7 %, respectively. This indicates that the Turkish IT sector has got a structure where "hardware" is predominant with respect to income created.
IT Sector Expenditures, 2011-2017F (mio US$)
Source: IDC 2014
Turkish IT Market 2011-2017F (Mio US$)
| IT Sector Contents (x m $) | 2011 | 2012 | 2013 | 2014 F | 2015 F | 2016 F | 2017 F |
|---|---|---|---|---|---|---|---|
| Hardware | 3.338 $ | 3.862 $ | 4.201 $ | 4.464 $ | 4.464 $ | 4.456 $ | 4.370 $ |
| Software | 656 $ | 719 $ | 779 $ | 844 $ | 919 $ | 1.005 $ | 1.098 $ |
| Service | 1.098 $ | 1.261 $ | 1.379 $ | 1.525 $ | 1.686 $ | 1.875 $ | 2.072 $ |
| Total BT | 5.093 $ | 5.842 $ | 6.359 $ | 6.833 $ | 7.086 $ | 7.335 $ | 7.539 $ |
| Growth % | | 14,7% | 8,8% | 7,5% | 3,7% | 3,5% | 2,8% |
Source: IDC 2014
| Growth on Segments | 2011 | 2012 | 2013 | 2014 F | 2015 F | 2016 F |
|---|---|---|---|---|---|---|
| Hardware | | 15,7% | 8,8% | 6,3% | 0,4% | -0,6% |
| Software | | 9,6% | 8,3% | 8,4% | 8,9% | 9,3% |
| Service | | 14,8% | 9,4% | 10,6% | 10,5% | 11,2% |
| Distribution on Segments | 2011 | 2012 | 2013 | 2014 F | 2015 F | 2016 F |
|---|---|---|---|---|---|---|
| Hardware | 65,5% | 66,1% | 66,1% | 65,3% | 63,2% | 60,7% |
| Software | 12,9% | 12,3% | 12,2% | 12,4% | 13,0% | 13,7% |
| Service | 21,6% | 21,6% | 21,7% | 22,3% | 23,8% | 25,6% |
| Smartphone Market of Turkey Smartphone | 2011 | 2012 | 2013 | 2014 F | 2015 F | 2016 F | 2017 F |
|---|---|---|---|---|---|---|---|
| Smartphone | 1.315$ | 2.298$ | 3.298$ | 3.709$ | 3.722$ | 3.773$ | 3.788$ |
According to the 2013 Turkey IT Expenditures Survey conducted by IDC, the Turkish IT market is expected to have a 6,8 % compound annual growth rate (CAGR) in the period between 2011 and 2017F, reaching7,5 billion USD in 2017. These estimates are based on the anticipated growth rates, investments anticipated to be made by companies rapidly as they were deferred due to the crises of 2001 and 2008, effects of IT expenditures incurred by the public sector for e-transformation projects on IT consumption, increased use of IT in education, anticipated increased rate of the use of internet and mobile technologies and replacement investments to be caused by new technologies. Tablet Products' and Smartphones' contribution will be much higher to sector growth in 2014.
2.2.1 Hardware Market
Hardware market in Turkish IT sector is the sub-segment having the biggest share regarding the sales amounts of 1995 – 2009, with the ratios changing between 50% and 75%. With tax stimulus packages of the government for only 6 months in 2009 and constitutional referendum at the end of third quarter were both supported the growth in the sector.
Growth Rates & Targets of Hardware Expenditures in IT Sector, 2011-2017F (Mio USD,%)
IDC expects Hardware sector capacity will be reaching 4,370 billion USD in 2017.
188.8.131.52 PC Market:
The hardware sub-group consisting of Desktop PCs, portable PCs ("Laptop PCs", "Notebooks"), Servers and Peripherals is monitored via the sales data in PC market which represent a very significant portion of the total sales. Accordingly, total sales of the PC market were realized as 3.586.151 in 2011, whereas such total number (both notebook and desktop) decreased to 3.542.611 units with an shrinkage of -1,2 % in 2012.
However, when the sales in the PC market are considered by quantity excluding the server market, it is noticed that portable PCs have gained majority in this market for the fi rst time in 2009. Beginning from the year 2004, supplying portable PCs with high performance, increased mobility possibility with their lighter structure and affordable prices to the consumers has enabled signifi cant increases in their sales, and fi nally, sales of portable PCs have surpassed those of desktop PCs in 2009.
When the market share of mobile PC was 35,7 % in 2005, it reached 63 % in 2011, 67 % in 2012 and 68 % in 2013. In this paralel, when the market share of desktop PC was 64,3 % in 2005, it decreased to 37 % in 2011, 33 % in 2012 and 32 % in 2013.
The developments at PC market are closely related with the ongoing projects in public and educational sectors. The stable growth in demand of the consumers is also considered as another signifi cant factor on this issue. The growing retail chains and fi nancial opportunities offered to the consumers by these chains have been the most important driving forces for the PC sales. Besides, noticing the benefi ts of mobile computing systems by the corporate companies is seen as another important reason for the growth. At this point, one may clearly see from then market sales fi gures that the demand by the small and large enterprises seeking productivity for portable PCs as an important part of mobile data systems has increased.
Source: IDC 2014 (Exc. Tablets)
Besides the producers which have international brands, a considerable part of hardware production both inside and outside the country is performed with the main components that are obtained from the global computer parts suppliers by big and small-sized companies. Over time, these factors have transformed the hardware product market and the especially PC market into a low added value structure in which the competition is highly sensitive to the price.
Source: IDC 2014
According to IDC's Turkish PC Market Report, Retail Shops achieved 19 % shrinkage and reached 47 %. Second biggest shrinkage was in the Telecom Channel with 94 % and reached 1 %. The share of classic dealersa are 41 %.
Turkish PC Market on Buyers Based, 2013
According to IDC's Turkish PC Market Report, end user has the biggest market share in 2013.
2.2.2 Software Market
The size of the software sub-group increased from USD 276 million in 1999 to USD 377.3 million in 2000. However, in the 2001 crisis, just like in hardware sector, software sector decreased to USD 172.3 million with shrinkage of about 54% and volume became 215 million USD in 2002. In 2009 it reached 635 million USD. Although, the pressure of the crises that has deepened in the last quarter of 2008 on the consumption tendencies, the sales of the Turkish Software Market reached 635 million USD with growth of 19 % in 2009, contrary to the dramatic shrinkage of the 2001 crisis. IT sector software market achieved growth of 5,3 % from 2007 to 2008. The volume of IT Sector software market reached 696 million USD in 2010, 656 million USD in 2011, 719 million USD in 2012 and 779 million USD in 2013. According to IDC's, it is expected IT Sector software market to achieve Compound Annual Growth Rate of 9 % between 2011 and 2017F and reach 1,098 billion USD.
As of the end of 2010, the share of the software sub-group in the entire IT market in terms of the total turnover is at very low levels in comparison with Europe and America with 13,3 % share, mainly because of pirated usages. Microsoft Offi ce, being a commonly used program, is the most
pirated program. The laws which were enacted by the Turkish Parliament in 1995 for purpose of ensuring the protection of the registration rights decreased the pirated usage rate. According to the estimations of our company, while 70% of the software is illegally used in Turkey, this rate is around 35% in the USA.
Because the operating system software is purchased as incorporated into the computer, its pirated usage is less than other software. The registration right laws had infl uence on the custom suppliers using pirated products most frequently. Most of the custom suppliers use the licensed operating system software at present.
IT Sector Software Expenditures Growth Figures and Growth Targets, 2011-2017F (Mio USD,%)
2.2.3 IT Services Market
Contrary to the hardware and software sub-sectors, IT Services sub-sector s the constant and necessary services relating to the existing IT investments periodically and leasing services. In the 2001 crisis, the Turkish IT Services Market decreased to 288.2 million USD with a decrease of 39% comparing to the previous year. The volume of the Turkish IT Services Market grew faster than the total market in 2002, reaching 403.5 million USD, and the share of the IT Services in the total market increased to a record level of 28.1% in the same year. However, in spite of the pressure of the crisis that deepened in the last quarter of 2008 on the consumption tendencies, the market was realized at 881 million USD in 2009 and achieved 18,6 % growth rate when compared to 2008.
The share of the IT Services in the total market was 17,8 % in 2009, which increased to 18,6 in 2010. In 2011, this rate became 19 %. However, it is expected that this share will increase due to the needs that may arise during the integration of newer technology systems on the existing systems and outsourcing of IT operations by big companies –banks in particular. IT Sector Service Market reached 1,014 billion USD in 2010, 1,098 billion USD in 2011, 1,261 million USD in 2012 and 1,379 million USD in 2013. The Compound Annual Growth Rate between 2011 and 2017F is expected to reach 2,072 billion USD.
IT Sector IT Services Growth Figures and Growth Targets, 2011-2017F (Mio USD,%)
İndeks Computer in the ICT Sector:
In Turkey, Top 500 ICT Companies Ranking performed every year by Interpro Medya A.Ș., our company ranked seventh in the general ranking based on turnover achieved in 2012 among the companies including telephone operators and mobile phone sellers. On the other hand, it ranked fi rst, like the previous years, in the category of companies selling only computers. Further, it ranked fi rst in seven IT categories.
| 2012 Top ICT Companies Revenue Range (Sales Revenue) | | |
|---|---|---|
| 2012 | Company | USD (mio) |
| 1 | Turkish Telecom | 12.706 |
| 2 | Türkcell | 10.507 |
| 3 | Vodafone | 5.530 |
| 4 | Avea | 3.475 |
| 5 | TTnet | 3.129 |
| 6 | Gen-pa | 2.739 |
| 7 | Teknosa | 2.144 |
| 8 | KVK | 2.112 |
| 9 | Indeks Computer | 1.412 |
| 10 | Hewlett Packard | 1.150 |
Important events that occurred in the Turkish IT Sector in 2013 are listed below:
1- Penetration rates of Tablets and Smart Phones were higher in 2012. In particular, widespread of Tablets and Smart Phones affected the sales of mobile and desktop PCs.
2- Mobile Speakers
3- Second secreen needs used with tablets and smartphones
4- Robotic period will occur soon
5- Cloud implementation (Google Drive, Mega, Dropbox)
6- 3D Printing systems
7- Smart white goods
8- Wearable technology products
9- Social media in communication.
2.3 Growth of the Turkish IT Sector:
Factors Inciting the Growth of the Turkish IT Sector:
* Invetsment to Natioanl Education: Government started making huge investment to education in the context of "Fatih Project". The implementation of this project started in 2011 in selected 52 schools. This project is considered not only 2011, it will also cover next few years and will contribute to growth of IT Sector. In 2013, auction and and implementations of this projects continued.
* Rapidly Increasing Usage of Technology: All business and public companies recognise the value of the increasing control over sources, development of productivity, expanding the business volume and analysing the customer requirements by using the technological devices.
* Economic Performance: The development of the IT market was struck down by the economic crises of 2001 and 2008. After the economic crisis, Turkey entered a recovery period with strict economic policies. Economic stability makes a direct positive effect on IT investments.
* Changing Economic Structure: The importance of service sector increased, with a decrease of agriculture in the economy in Turkey in the last ten years. The increasing operations in the service sector instigate the IT investments especially in retail, wholesale, logistics, fi nancial services, professional and personal services markets.
* Import and Export: According to the statistics published by TUIK, the import volume reached 252 billion USD, export volume reached 152 billion USD and total foreign trade volume reached 403 billion USD in 2012.
* Telecommunication Sector: Turkey made major progress in the telecommunication sector with respect to the compliance with the EU and catching up with the global changes in the recent years. As part of the process of the accession of Turkey to the European Union, the chapter "Information Society and Media" was opened and the negotiations have started on 19 December 2008 because Turkey has met the criteria for the chapter to be opened. On the other hand, the chapter "Information Society and Media" in the Third National Program, which was adopted on 31 December 2008 to schedule the commitments of Turkey for harmonisation with the EU acquisition, commits to complete necessary arrangements in 2009 and 2010. This commitment aims at the liberalization of the electronic communication sector, creation of good working competition atmosphere, catching up with the development in information and communication fi elds and establishment of infrastructure and legal foundations for the related fi elds. Accordingly, it is estimated that a resource of about 8 million Euros will be needed for the institutional structuring for purpose of the harmonization with and implementation of the EU acquits.
The enforcement of the Electronic Communication Law, which had been on the agenda of the telecommunication sector for fi ve years from 2003, on 10 November 2008 and the enforcement of the Authorisation Regulation on Electronic Communication on 28 May 2009 are some
of the favourable events that occurred in the recent years. In addition to the foregoing, the ¬enforcement of the Number Porting Regulation at the beginning of July may be considered one of the most important steps taken for introduction of the third generation electronic communication service.
Rapid progress of technological developments makes impact on every part of our lives and creates some concepts such as information economy and internet economy. Extraordinary developments in the IT sector go beyond the country borders of the goods and fi nance markets and take the world into an economic globalization. Besides such progress in the IT technology, telecommunication sector also experiences many developments. As a consequence, it is inevitable that the countries that cannot keep up with such developments will remain behind the technologically advanced countries.
* Retail Sector: Competition in the Turkish retail sector is intensifying. Investments made by international actors in the Turkish market increasingly continue. Media Markt, Dixons, Darty, Electro World and Best Buy have also been included in the chain stores in Turkey in the recent years. Entrance of the international actors into the Turkish market has made a favourable effect on the growth rate of the sector. It is the fi rst time Best Buy and Media Markt has met in the Turkish market in 2009. However, Best Buy announced that they decided to leave Turkish Market in 2011. One of the biggest local retailers, Bimeks was offered to public in 2011.
* Growing Individual Consumer Market: It is obvious that consumers use the IT more than before. Opportunity of payment by instalment with credit cards and growth of retail markets rapidly support the growth of the individual consumer market. PC usage of end users and their demand for peripherals have increased from 7% to 38% of the market between 1995 and 2009. Accordingly, the structure of the market has changed, and individual consumers have represented the biggest share in the end user market since 2007. In 2010, individual user portion became 40 %, 42 % in 2011, 44 % in 2012 and 46 % in 2013. Individual users became dominant player in BT Sector.
* Internet Technology and Portals: Corporate usage of internet technology is still improving. Data portals become common via internet banking. The public sector is the main factor instigating the portal turnovers due to the e-government projects. Telecommunication, production, insurance and distribution sectors use portals for developing business with partners and suppliers, enhance communication and cooperation with customers and develop the management of the internal business processes. Internet usage will increase with the new Turkish Trade Code coming into power.
* Privatization: Income obtained from privatization has increased considerably in the last 5-6 years. According to the data obtained from the Turkish Privatization Administration, the income obtained from privatization was 187 million USD in 2003, 1.3 billion USD in 2004, 8.2 billion USD in 2005, 4.3 bn USD in 2007, 6.3 billion USD in 2008 and 2.3 billion USD in 2009. 1.225 million USD, 600 million USD and 440 million USD out of 2.3 bn USD obtained in 2009 was resulted from the privatization of Bașkent Elektrik, Sakarya Elektrik and Meram Elektrik, respectively. In 2010, 3,1 billion USD privatisation was made. This number became 1,4 billion USD in 2011, 3 billion USD in 2012 and 12,5 billion USD in 2013.
Investments made following the privatizations by the new owners of the privatized companies in new infrastructure and technological optimization efforts supported the growth in the IT sector.
Privatization:
Direct Foreign Investment Infl ow: Direct foreign capital investments in developing countries such as Turkey, make important contribution to the development of the country economy. It makes direct contribution to the improvement of IT investments.
The economic reforms implemented by Turkey just after the 2001 crisis and the macroeconomic stability, together with the political stability, contributed to the improvement of the business and investment environment and broadened the horizon of the companies in their investment decisions. With the economic and political stability environment, Turkey utilized foreign resources in considerable amounts. The amount of the direct foreign investment fl owed into Turkey was 1,2 bn USD between 1994 and 2003, 1.8 bn USD in 2003, 2.8 bn USD in 2004, 10 bn USD in 2005, 20.2 bn USD in 2006, 22 bn USD in 2007 and 19,5 bn in 2008. With the effect of the global crisis towards the end of 2008, the foreign capital investments decreased with 56 % in 2009 and went down to 8,4 bn USD. In 2010, it remained as 9 bn USD level with 7 % increase. In 2011, this number increased 77 % and reached 16 bn USD, it was realized as 13,2 bn USD in 2012 and 12i7 bn USD in 2013. Foreign Direct Investment Flow can be seen below according to the research of YASED- International Investors Association sourced by Turkish Republic Central Bank.
International Direct Forign Investment Flow to Turkey
Source: YASED-International Investors Association:TRCB Sources Research
International Index's of Turkey:
Source: YASED-International Investors Association
| | Range Of Turkey On Yearly Basıs | | | | | | Direction Of Movement |
|---|---|---|---|---|---|---|---|
| INDEX | 2008 | 2009 | 2010 | 2011 | 2012 | 2012 | |
| World Bank Business Convenience Index | 60 | 63 | 60 | 68 | 71 | 69 | |
| UNCTAD World Investment Report IDI Flow Range | 20 | 30 | 29 | 26 | 24 | | |
| AT Kearney UDY Safety Index | - | - | 23 | - | 13 | 25< | |
| WEF Global Competitiveness Index | 63 | 61 | 61 | 59 | 43 | 44 | |
| IMD Global Competitiveness Index | 48 | 47 | 48 | 39 | 38 | 37 | |
| Transparency International Corruption Perception Index | 68 | 61 | 56 | 61 | 54 | 53 | |
According to the research done by YASED-International Investors Association, improvements are seen in the international index's of Turkey.
|
River Dee Estuary recovery cruise report April 2007
Document History.
Draft started 30/05/2007. Version 1.0 released 30/5/2007.
Contents.
Introduction.
Cruise Diary.
Instrument Recovery - Mini-STABLE.
Instrument Recovery - STABLE3.
Author : Dr R.Cooke
Document : pd04_07.doc
Introduction.
This report covers the recovery of equipment deployed during the Dee Estuary 2007 experiment with other relevant details noted e.g. problems encountered which may affect data analysis. It is assumed the reader will also have access to the counter-part report, covering the deployment itself. Note that all datasets have now been archived to POLC's DiskX tape robot system for safety and were possible, distributed to interested parties for analysis.
Cruise Diary.
Sun, 15/4/2007.
* Vehicles loaded with equipment etc.
* POL team meet up at Vittoria Docks, 7:00am-7:30am.
* Travelled directly to Menai, to load ship with gear.
* Bottom frames built up on deck. ADV G321+A840 noted to have possible 55deg compass misalignment during predeployment final checks. ADV was set to XYZ coordinate system with x-axis transducer aligned with beam 3 on the ADCP. ADV was set with sync disabled, 20minute bursts every hour, 16Hz recording rate, velocity range 4 (=2.5m/s), XYZ coordinate system, Compass Offset of 0deg, and to start at 12:00pm (GMT) 16/4/2007.
Mon, 16/4/2007.
* Recovered ADCP frames and deployed the others.
* Sailed from Menai, 8:00am BST.
* One of ADCP frame 10MHz OceanProbe ADV unit probe heads, was damaged on recovery. Initially believed to be due to impact against side of ship. Later found to have been due to recovery line rope wrapping around the probe head itself. Probe was damaged beyond repair.
* Waited outside Hilbre from 3:30pm due to low tidal conditions making water to shallow to get into Hilbre channel.
* On station in Hilbre Channel at 7:15pm.
* First of 25hr CTD station measurements started at 8:00pm BST.
Tue, 17/4/2007.
* Up-anchored at 4:35pm (BST) and left station at 4:50pm.
* Last CTD station measurement taken at 4:00pm.
* Recovered Triaxis buoy at 5:00pm (BST).
* Recovered STABLE3 at 5:48pm (BST).
* Arrived at STABLE3 site, 5:30pm (BST).
* Waited at STABLE3 site until water high enough to leave the Hilbre channel.
* Madog sailed up and down river Mersey outside Birkenhead Docks for long time until allowed to go in. Wait was due to another ship also using the Birkenhead Docks.
* Left Hilbre and sailed to Vittoria Docks, Birkenhead at 8:00pm.
* Finally moored up for the night at Vittoria Dock, 12:30am (BST).
Wed, 18/4/2007.
* Unloaded Madog of STABLE3 etc. Loaded up with more frames to deploy on COBS section of cruise. 6:30am (BST) to 8:00am (BST).
* Left quayside at 8:30am (BST).
* Left Birkenhead dock gates at 9:30am (BST).
* On-site at Merseybar and recovered ADCP frame at 12:40pm (BST).
Author : Dr R.Cooke
Version : 1.0
Date : 19/08/2008
Document : pd04_07.doc
Page 3
* Sailed to Welsh channel CTD station, arriving at 1:45pm (BST).
* Started first CTD station measurements at 2:00pm (BST).
Thur, 19/4/2007.
* Recovered mini-STABLE.
* Last CTD station measurement taken, 8:00pm (BST).
* ADCP frame recovered.
* CTD grid stations started at site 22, 10:00pm (BST).
* One Smartbuoy deployed and another recovered.
* Between stations, mini-STABLE, ADCP and Smartbuoy frames were dismantled on deck after shutting the instruments down.
* From mini-STABLE :-
* ADV G412 had recorded 376023661 bytes to file DEE07002, created 2007/03/12 18:24:44.
* ADV G250 had recorded 376023661 bytes to file DEE07001, created 2007/03/12 18:22:48.
* Took fluorimeter off Smartbuoy and gave to Chris Balfour to clean-up and pack away.
* ADV G258 had recorded 376023661 bytes to file DEE07001, created 2007/03/12 18:21:08.
* Took ADCP and Seabird CTD off ADCP and gave to Chris Balfour for data recovery.
Fri, 20/4/2007.
* Packed gear away between station measurements.
* Last CTD grid station measurement taken 10:30am (BST) at station 34.
* Sailed back to Menai.
* Left Menai and returned to Vittoria Dock to unload some equipment.
* Offloaded gear from Madog into POL vehicles.
* Rest of equipment returned to KSA Annex in POL van and unloaded there ready for Monday.
Date : 19/08/2008
Document : pd04_07.doc
Joseph Proudman Building
6 Brownlow Street, Liverpool, L3 5DA,
Instrument Recovery - Mini-STABLE
These instruments were recovered on-board the Madog during the cruise. No data was recovered then, only checks were performed to see what if anything had been recorded. Data was recovered post-cruise at KSA for all instruments except for ABS3 which was returned to POL for this task. Note that ADV probe B331 was top of the central pole, B252 was in the middle with B233 at the bottom.
ADV G412.
* Data recovered by Richard Cooke.
* Following details noted during post-deployment checks :-
* Battery packs measured 16.38v and 16.39v
* 890 bursts, 376023661 bytes recorded.
* Compass and pressure recorded.
* System loaded with cal file B331H. Transform Matrix loaded was
* Data looked OK visually when viewed using ViewHydraPro.
* Set for side orientation.
* System recorded using ENU coordinates.
*
BINARY output format was selected.
* Primary o-ring seal at the electronics end of yellow canister was noted to have been damaged slightly, possibly from presence of grit. The o-ring was replaced with new seal.
* Secondary o-ring was visually OK.
| 2.636 | -1.262 |
|---|---|
| -0.044 | 2.31 |
| 0.344 | 0.345 |
ADV G250.
* Following details noted during post-deployment checks :-
* Data recovered by Richard Cooke.
* 890 bursts, 376023661 bytes recorded.
* Battery packs both measured 16.29v.
* Data looked OK visually when viewed using ViewHydraPro.
* Compass and pressure recorded.
* System loaded with cal file B252H. Transform Matrix loaded was
* Set for side orientation.
* System recorded using ENU coordinates.
* Primary o-ring seal was visually OK. This system does not have secondary o-ring seals.
* BINARY output format was selected.
| 2.626 | -1.191 |
|---|---|
| -0.065 | 2.317 |
| 0.345 | 0.345 |
Author : Dr R.Cooke
Document : pd04_07.doc
Date : 19/08/2008
ADV G258.
* Data recovered by Richard Cooke.
* Following details noted during post-deployment checks :-
* Battery packs measured 16.28v and 16.29v.
* 890 bursts, 376023661 bytes recorded.
* Compass and pressure recorded.
* System loaded with cal file B233H. Transform Matrix loaded was
* Data looked visually OK when viewed using ViewHydraPro.
* Set for side operation.
* BINARY output format was selected.
* System recorded using ENU coordinates.
* Primary o-ring seal was visually OK. This system does not have secondary o-ring seals.
| 0.031 | 2.285 | -2.313 |
|---|---|---|
| 0.344 | 0.344 | 0.344 |
ABS3.
* Shutdown system OK. Last day recorded was 26/4/2007 indicating still recording OK when shutdown. Note that last few days of recording are while it was out of water and are not of use.
* Data recovered by Richard Cooke.
* Battery pack measured 13.11v.
* 44 days of data recorded on HDD and recovered, first 38 days represent actual deployment, the rest are post-recovery due to delays in shutting the system down. Burst data recorded while system in water has been extracted and distributed to Peter Thorne/Ben Moate.
* ABS timestamps show it was deployed 13/3/2007 at 6:00am GMT.
* Visually the data looks OK from initial checks using MatLab.
LISST-ST.
* Unable to communicate with system over RS232 using the system's remaining battery power.
* Data recovered by Richard Cooke.
* Needed to use mains power supply to operate the system as battery pack found to be exhausted.
* Noted that system's laser was still operating even though the battery power was too low for RS232 comms. System was halted using mains power – laser stopped after this.
* Noted presence of iron filings build-up around mechanical on/off switch on system. Not sure of source as pressure casing was not damaged.
* Recovered 2102080 bytes of data from system. Start date was 03/15/2007 06:00:00, assumed to be GMT. Couldn't verify clock drift due to clock losing settings from the low battery power. Op mode, start condition and stop condition were all listed as code 02.
ADCP-6489.
* This is being handled by Chris Balfour.
UEA Sediments trap.
* This was recovered and is at present in the POL Sediments Lab awaiting analysis.
Author : Dr R.Cooke
Version : 1.0
Date : 19/08/2008
Document : pd04_07.doc
Page 6
Marine Electronics line scan ripple profiler.
* This is being handled by Paul Bell.
Instrument Recovery - STABLE3.
The STABLE3 instruments were recovered, at Vittoria Docks, post-cruise. Data was downloaded at KSA. Note that ADV probe B285, with OBS T8193 and CT sensor 7216 were top-most on the central pole, ADV probe B281 with CT sensor 7217 were in the middle and Adv probe B292 with OBS T8195 plus CT sensor 7218 were at the bottom.
ADV G358.
* Noted the following during post-deployment checks :-
* Data recovered by Richard Cooke.
* 944 bursts, 417280813 bytes recorded.
* The velocity data looked visually OK when viewed using ViewHydraPro.
* System loaded with cal file B292H, downwards orientation.
* Battery packs both measured 13.42v.
* System had been connected to probe head B285 instead of B292 so wrong cal file was loaded and needs to accounted for.
* Transform Matrix loaded was
* System set to record from external sensor with OBS3+ sensor s/n:T8195 physically attached.
* System set to record from external PAROSFREQ type pressure sensor with the external Digiquartz pressure sensor from G350 (now retired), physically attached. Note that no cal file for the pressure sensor was loaded before deployment. This file is needed to analyse data recorded.
* System was set to record using XYZ coordinates, with binary output format.
* Primary o-ring seal at the electronics end of the yellow canister was visually checked as OK.
* Secondary o-ring seal also checked out visually as OK.
| 2.580 | -1.360 | -1.219 |
|---|---|---|
| 0.045 | 2.224 | -2.271 |
ADV G365.
* Data recovered by Richard Cooke.
* Noted the following during post-deployment checks :-
* The velocity data did not look right when viewed using ViewHydraPro. No tidal cycle information could be viewed and the data looked like only background noise had been recorded. Note that can be compared to a dataset from Dee06 deployments which was later identified as having been corrupted during recording to CF card.
* 945 bursts, 290397051 bytes recorded.
* Battery packs both measured 16.21v.
* System was loaded with cal file B281H, side orientation.
* System had been connected to probe head B292 not B281 so wrong cal file was loaded and needs to be accounted for.
* The Transform Matrix loaded was,
Author : Dr R.Cooke
Version : 1.0
Document : pd04_07.doc
Page 7
6 Brownlow Street, Liverpool, L3 5DA,
Date : 19/08/2008
| -0.006 | 2.242 | -2.234 |
|---|---|---|
| 0.345 | 0.345 | 0.345 |
* System set to record from internal compass and pressure sensor even though these did not exist. This is a problem encountered during pre-deployment preparations, as the system would not allow the settings to be changed and complained that the compass was present. It is believed that a DIP switch setting on the electronics logger needed to be changed but there was no time for prior to deployment. The software did warn that values of 0.0 would be recorded for the compass value.
* System was set to record using XYZ coordinates, with binary output format.
* The system did not have an OBS3+ sensor attached as there was no connector for it.
* System was not set to record from external sensors, external pressure sensors nor compass.
* Primary o-ring seal at the electronics end of the yellow canister visually checked out as OK.
* Secondary o-ring seal also checked out as OK.
ADV G355.
* Data recovered by Richard Cooke.
* Noted the following during recovery :-
* Velocity data looked visually OK when viewed using ViewHydraPro.
* 945 bursts, 362973051 bytes recorded.
* Both battery packs measured 12.24v.
* System was loaded with cal file A285H, downward orientation. Note that A285H is the correct file for probehead B285. The difference in prefix letters is down to a typo at manufacture.
* System was connected to probehead B281, so the wrong cal file was loaded and needs to be accounted for.
* The Transform Matrix loaded was,
* System was set to record from an external sensor, with OBS3+ s/n:T8193 physically attached.
* System was not set to record from an external pressure sensor, although for some reason the system was set for a PAROSFREQ type sensor as installed, data is indicated as being recorded and the ViewHydraPro software complains of no pressure cal file being loaded. No external pressure sensor was physically attached. This is something to investigate before the next STABLE3 deployment.
* System was set to record in XYZ coordinates using binary output format.
* Primary o-ring seal at the electronics end of the yellow casing visually checked out as OK. Noted large amount of dirt gathered by primary o-ring seal, preventing it from getting past to the secondary o-ring.
* Secondary o-ring seal also checked out as OK.
| 2.604 | -1.331 |
|---|---|
| 0.0062 | 2.207 |
| 0.345 | 0.345 |
Author : Dr R.Cooke
Document : pd04_07.doc
Joseph Proudman Building
6 Brownlow Street, Liverpool, L3 5DA,
LISST100.
* Data downloaded by Richard Cooke.
* Battery pack was exhausted. Needed mains power just to interrogate the system as per the LISST-ST on mini-STABLE.
* Clock drift could not be verified as low battery power meant the clock lost it's settings.
* System recorded 2102080 bytes of data – now downloaded.
* Op mode, start condition and stop condition all set to mode 02.
* Noted the same laser running issue as for the LISST-ST, despite the battery power being too low even for RS232 comms.
* Recording started 03/15/2007 06:00:00 – assumed to be GMT.
MC7 CT logger.
* System appears to have recorded OK. Note that USB interface on this newer generation unit is actually only equivalent to an RS232 serial link and still took four days to download data running at 115KBaud.
* Data downloaded by Richard Cooke.
ABS1.
* System battery pack was found to be completely flat when system examined. Battery pack measured at 9.22v c.f. 15v (nom) or 16v measured prior to deployment. No excessive current drain was noted from the bench power supply used to power system up during interrogation. It is being assumed at the moment that the battery pack itself developed a fault during the deployment.
* Data downloaded by Richard Cooke.
* Last date recorded was found to be 31/3/2007 c.f. deployment date of 15/3/2007.
* Recovered 16 days of data from the system, which provisionally looks OK from a preliminary analysis using MatLab. More will be known once Kt values for the system are calculated by Peter Thorne and Ben Moate.
Anderaa ADCP.
* This is being handled by John Kenny.
Marine Electronics 3-D ripple profiler.
* This is being handled by Paul Bell.
RDI ADCP on gimbal mount.
* This is being handled by Chris Balfour.
Author : Dr R.Cooke
Document : pd04_07.doc
Version : 1.0
Page 9
Date : 19/08/2008
|
COMMON THEMES FROM SIDGWICK TO EWING
Thomas Hurka
University of Toronto
The philosophers discussed in this volume – Henry Sidgwick, Hastings Rashdall, J.M.E. McTaggart, G.E. Moore, H.A. Prichard, E.F. Carritt, W.D. Ross, C.D. Broad, and A.C. Ewing – form a unified and distinctive school in the history of ethics. They all taught at Oxford or Cambridge in the late 19 or early 20 century, and their principal writings run from the 1 th th st edition of Sidgwick's Methods of Ethics in 1874 through Ewing's Second Thoughts in Moral Philosophy of 1959. But their period of greatest influence was in the first four decades of the 20 th century. Before 1900 (and perhaps for some time after) British moral philosophy was dominated by the Idealism of T.H. Green, F.H. Bradley, and Bernard Bosanquet; after the Second World War, logical positivism and ordinary language philosophy spawned new approaches to the subject that rejected the earlier school's ideas. But in the first third of the century theirs were the dominant voices in the field.
The school's members differed on many important topics. Sidgwick, Rashdall, McTaggart, and Moore were consequentialists, while Prichard, Carritt, Ross, and Broad defended versions of deontology. Sidgwick thought there is only one intrinsic good, pleasure; the others endorsed a plurality of goods, including perfectionist goods such as knowledge and virtue. Sidgwick and Moore thought the most reliable moral judgements are about abstract principles, Carritt and Ewing that they concern particular cases. But underneath these disagreements was a set of shared assumptions about what morality is and how moral theory should be pursued. These allowed their disputes to arise on a common platform, so they were always substantive rather than tied up in methodology. They also distinguished the school both from earlier figures in the history of ethics such as Aristotle and Kant and from much present-day ethics. This paper will try to identify these common assumptions, show how they were shared, and comment on their merits.
1. Conceptual Minimalism
The first common assumption is what I will call 'conceptual minimalism,' the view that all normative judgements can be expressed using just a few basic concepts. Some members of the school recognized only one irreducible normative concept: for Sidgwick what one 'ought' or has 'reason' to do, for Rashdall and the Moore of Principia Ethica what is 'intrinsically good,' and for Broad and Ewing in certain writings what is 'fitting.' Others such as Prichard, the later Moore, and Ross thought there were two basic concepts, often 'ought' and 'good.' But the number of underivative normative concepts they employed was always very small.
This marks a contrast with much present-day ethics, which employs a larger number of distinct normative concepts and spends considerable time debating their relations. The Sidgwickto-Ewing school were certainly aware of these concepts, but took either of two lines about them. One was to argue that they can be reductively analyzed using the basic normative concepts and some more or less determinate description; the other was to deny that they are normative. Either way they denied, of many familiar concepts, that they are both irreducible and normative.
Thus their basic normative concepts were all 'thin' concepts such as 'ought' and 'good' rather than 'thick' ones such as the virtue-concepts 'courageous,' 'generous,' and 'malicious.'(A thin concept says nothing about what non-normative properties an item must have to fall under it, but a thick concept does. A courageous act, for example, must somehow involve facing danger or accepting the risk of harm.) Some present-day philosophers hold that thick concepts are irreducible to thin ones, but our school held that they can all be reductively analyzed. To the 1 view that the virtue-concepts do 'not admit of being stated in definite formulae,' Sidgwick replied, 'our notions of special virtues do not really become more independent by becoming more indefinite: they still contain, though perhaps more latently, the same reference to "Good" or "Well-being" as an ultimate standard.' And only if they do can we explain the difference between the virtues and their cognate vices, for example, between courage and foolhardiness or between generosity and profusion. Others gave reductive analyses of the concept of virtue in general, 2 which Ross, for example, took to involve a desire either for acts that are independently right or for states of affairs that are independently good. And the general point that the school treated 3 only the thin concepts as basic is surely uncontentious: the title of Ross's great book is not The Courageous, Generous, Kindly, Dumpy, and Dainty; it is The Right and the Good.
In addition, the school did not draw irreducible distinctions between uses of their thin concepts. They often distinguished between moral and non-moral goodness, for example, but moral goodness was just the same property of intrinsic goodness when had by a particular kind of object, say, an attitude to something independently right or good. (For Ross, therefore, moral goodness is just intrinsic goodness when had by virtue. ) Nor did they use the present-day 4 concept of 'welfare,' 'well-being,' or what is 'good for' a person as distinct from what is simply 'good.' Rashdall and Moore defined 'my good' as that part of what is intrinsically good that is located in me, as did Sidgwick. For him 'my good' is what I ought to desire – his general
definition of goodness – 'assuming my own existence alone to be considered,' that is, considering only states of myself. Sidgwick did accept a 'good for' concept that Moore did not, 5 and used it to argue, as Moore would later deny, that egoism is internally consistent. But this was the concept of agent-relative goodness, or of what is good from a particular person's point of view, so he and perhaps only he ought to desire it. This is again not the present-day concept of 'welfare'; it is another that is reductively analyzed using Sidgwick's one basic concept 'ought.' 6
If these are reductive analyses of normative concepts, Prichard took the alternative line with the concept of what is a 'good to' a person, which he said is not a normative or even evaluative concept, but makes just the descriptive claim that something will satisfy a person's desires or, more accurately, give her pleasure. Ross had a similar view about attributive uses of 'good,' as in 'good knife' and 'good liar'; these too make only the descriptive claim that something will be an effective means to some purpose, so there is againno genuine value-concept independent of intrinsic goodness. 7
The school likewise made no irreducible distinctions between uses of 'ought,' for example, between moral 'oughts' on the one side and prudential or rational ones on the other. Since for them all genuine 'oughts' were categorical and, following Kant, all categorical 'oughts' were moral, the only genuine 'oughts' were moral. This view was reflected in Sidgwick's classing egoism as a 'method of ethics.' The conflict between it and utilitarianism is not, as many present-day philosophers would say, between morality and prudence or rationality; it is between two ethical theories making competing claims using the same concept of 'ought.' Or consider Prichard's and Ross's claim that there is no moral duty to pursue one's own pleasure. They did 8 not add that of course there is a prudential or rational duty to pursue one's pleasure, assuming
instead that where there is no moral duty there is no duty at all.
The non-moral 'ought' is often represented by Kant's hypothetical imperative, about which the school again took either of two lines. Sidgwick at one point suggested the 'widescope' reading of this imperative, on which it is not a hypothetical with an imperative consequent but a command to make a hypothetical true, namely 'make it the case that: if you have some end, you take (what you believe are) effective means to it.' On this view the hypothetical imperative is really a categorical imperative with a distinctive content, enjoining a kind of coherence between one's ends, beliefs, and acts. But Prichard and Ross again took the alternative line, holding that 9 the hypothetical imperative is not normative and therefore not an imperative at all, making only the descriptive claim a certain act is necessary for achieving some end. 10
The view that there are no 'oughts' other than moral ones helped ground the school's 11 belief that it is a mistake to ask 'Why be moral?' or 'Why ought I to do what I morally ought?': if the only 'oughts' are moral ones, these questions cannot arise. Though most associated with Prichard, this belief was in fact widely shared. Moore said the question 'Why should I do my duty?' is 'puzzling,' since it reduces to '"Why is duty duty?" or "Why is good good?",' while Carritt wrote, 'If anyone ask us, "Why ought I to do these acts you call my duty?" the only answer is, "Because they are your duty."' Sidgwick may seem to fall outside this consensus, 12 since he said we ask 'Why should I do what I see to be right?' whereas we do not ask 'Why should I believe what I see to be true?' But his explanation was that in the first case we are torn between different substantive views about what is right and express our uncertainty by asking the question; this implies that if we had no doubts about what is right, there would be nothing to ask. And there can be nothing if the only 'oughts' are moral. 13
Of course this view about 'ought' does not show that any particular moral claims, such as Sidgwick's consequentialist or Prichard's deontological ones, are true. But it does help defend these claims against skeptical attacks. Consider the instrumentalist view that what we ought rationally to do is always whatever will best satisfy our current desires, which skeptics say fulfilling narrowly 'moral' duties does not always do. Given the school's conceptual minimalism, the instrumental principle must be restated as a moral one, using the same 'ought' as consequentialism and deontology and saying that what we ought morally to do is satisfy our desires. But then the principle just seems false. If someone desires above all to get rich and knows the most effective way of doing so is to kill a relative and inherit her wealth, is it true that he ought simply to kill his relative or that he ought simply not to? Surely it is the latter. 14
The school's shared minimalism did not mean they had no disagreements about the normative concepts; on the contrary, there were lively disputes about, for example, the concept 'good.' Moore and Ross thought 'good' a simple, unanalyzable concept, whereas Sidgwick, 15 Broad, and Ewing analyzed it reductively as what one 'ought' to desire or what it is 'fitting' to desire. The ensuing debate was vigorous, but it took place against the backdrop of the shared 16 view that, whatever exactly they are, the basic normative concepts are few in number.
This shared minimalism has several merits. First, it allows illuminating moral explanations that non-minimalist views cannot give. For example, if we analyze courage as involving, roughly, accepting the risk of harm to oneself for the sake of sufficiently great intrinsic goods, such as preserving one's nation, we can explain why the sacrifice of the Spartans at Thermopylae was courageous but refusing a robber's demand for 'A penny or your life' is foolhardy – something we could not do if courage and foolhardiness were irreducibly thick
concepts applied only by quasi-perceptual intuition.
Second, minimalism makes all normative questions substantive rather than conceptual. Imagine that we ask which life would be better for a child we are raising: a life with more virtue but less pleasure or one with more pleasure and less virtue. If this question can even arise, the pleasure and virtue must at some level have the same kind of value, and we are asking which in this case has more of that value. If we like, we can call the value of the virtue 'moral' and connect that of the pleasure to 'welfare,' but this does not change the core issue, which is the substantive one of which of two states has more of a common value. And the labeling only invites confusion, by suggesting that the issue turns somehow on conceptual questions about what 'moral goodness' and 'well-being' in the abstract consist in.
Or consider the conflict Sidgwick wrestled with, between a principle saying we ought to promote the pleasure of everyone and one saying we ought to promote only our own pleasure. This conflict again presupposes that the two principles use the same concept, now the same 'ought,' so the issue is which of two claims using that concept has greater weight. We could call the first principle 'moral,' given its content, and the second 'prudential,' but this would again suggest, misleadingly, that the issue turns on conceptual questions about 'morality' and 'prudence.' Minimalism again has the merit of treating a substantive issue as just substantive.
So the Sidgwick-to-Ewing school built their moral theories using a small roster of basic concepts, but what resulted often had a rich and varied content. Moore combined his one concept of intrinsic goodness with a principle of organic unities and recursive principles about, for example, the goodness of loving what is good to construct a highly elaborate account of the things that are intrinsically valuable; Ross had a similarly complex theory of what is right. Their work illustrates what can be called the 'vinaigrette' approach to moral theory. It is well known that the key to a good vinaigrette is to be a spendthrift with the oil and a miser with the vinegar; in moral theory, it is to be a miser with moral concepts and a spendthrift with moral claims.
2. Non-Naturalism
The Sidgwick-to-Ewing school are best known for their non-naturalist metaethics, which combines the realist thesis that some moral judgements are objectively true with the autonomyof-ethics thesis that they are neither reducible to nor derivable from non-moral judgements, such as those of empirical science, metaphysics, or religion. On the one hand there is moral truth; on the other hand it is a distinctive or sui generis truth. Let us consider these theses in turn.
Early in the school's history the realist side of non-naturalism seems to have been simply assumed. In the Preface to the first edition of The Methods of Ethics Sidgwick remarked casually that he would assume we can know ethical truths. The first sentence of Moore's Principia Ethica said, without feeling any need for supporting argument, that philosophical ethics is concerned with which ethical judgements are true, while Ross affirmed 'a system of moral truth, as objective as all truth must be.' 17
The school were doubtless influenced here by the grammar of moral judgements, which parallels that of uncontroversially truth-apt judgements such as those of science. But they also seem not to have been aware of serious alternatives to realism, in particular non-cognitivist ones. One might think they had a non-cognitivist theory to hand in Hume, but they all read him as a subjective naturalist, for whom the claim that an act is right merely reports the psychological fact that the speaker or some group approves of the act. Having refuted that naturalist view, often at
considerable length, they took themselves to have refuted subjectivism more generally. 18
When non-cognitivist theories began to appear in the 1930s, the school's members were initially hostile, accusing writers like A.J. Ayer of applying a general thesis about language to ethics without seriously considering whether it fit that case and raising particular objections that 19 were sometimes weak but sometimes, as in Ross's anticipation of the Frege-Geach objection, more telling. But as writers like C.L. Stevenson and R.M. Hare began to ground their non- 20 cognitivism in specifically ethical claims about the motivating power of moral judgements, some in the school became more sympathetic. Moore famously flirted with non-cognitivism in his 1942 'Reply to My Critics,' Broad eventually found himself inclining toward it, and Ewing 21 22 incorporated non-cognitivist elements in the compromise metaethics of Second Thoughts. 23
It is probably true that none of the school fully and permanently abandoned realism, but the fact that some considered doing so suggests that their realism, however much associated with them by later critics, was not vital to their overall ethical view. Much more crucial, I would argue, especially for their normative theorizing, was their belief in the autonomy of ethics, which the non-cognitivists shared.
If the school recognized no 'oughts' other than moral ones, their autonomy-of-ethics thesis was equivalent to a broader thesis about the autonomy of the normative from the nonnormative: values in general are distinct from non-evaluative facts, and no 'ought' can be derived from an 'is.' Their principal argument for the claim was the 'open-question' argument, commonly attributed to Moore but, as many have noted, used earlier by Sidgwick, Rashdall, and others. Moore's version of the argument was lengthier than the earlier writers', which helped 24 give it more influence on later philosophy. It was also more combative in tone. Sidgwick had said that since Bentham's equating of 'good' with 'pleasant' would turn the hedonist 'pleasure is good' into a tautology, Bentham ought to be read in some more charitable way; Moore pounded away at the error relentlessly. Sidgwick's attitude was 'That would be stupid, therefore 25 Bentham didn't really mean it,' Moore's was "Bentham meant it, therefore he was really stupid.'
The non-cognitivists grounded the open-question argument in the claim that normative judgements are intrinsically motivating whereas descriptive judgements are not – that is why the former cannot be derived from the latter. But this was not a major issue for the earlier school. Moore remarked casually that when we believe something is good we are usually motivated to pursue it, but he did not think it important to specify that claim further not did he connect it to his open-question argument. More generally, the issue of moral motivation, or of internalism vs. 26 externalism about moral judgement, was not one that much concerned the school or on which their views are easy to discern. (Though many of them seem to have been externalists, they often expressed themselves in what could be internalist language. ) For them the sui generis character 27 of normative judgements was something one just sees or is led by argument to see, independently of claims about action-guidingness.
A common present-day response to the open-question argument is that it ignores the 2 possibility of non-analytic property-identities. Just as water is identical to H 0 even though 2 'water' does not mean the same as 'H 0,' critics say, so goodness could be non-analytically identical to a natural property such as pleasantness even though 'good' does not mean 'pleasant.' But Sidgwick, Moore, and the others could respond that the identity of water and 28 2 H 0 depends on specific features of natural-kind properties that are not present in normative properties like goodness. The property of being water is the property of having that underlying structure, whatever it is, that explains the behaviour of the stuff we find in lakes, rivers, and so on, but the property of goodness has no such inner complexity. It could be identical to a natural property only if it were analytically identical to that property, and the open-question argument shows it is not. 29
Whatever its basis, the autonomy-of-ethics thesis was vitally important to the Sidgwickto-Ewing school, and they spent a surprising number of pages combating naturalistic programs grounding ethics in evolutionary biology, empirical psychology – from associationism in the 19 th century to Freudianism in the 20 – Idealist metaphysics, and religion. For them it was crucial th 30 that ethical truths are a category apart, knowable only by distinctively ethical means.
These means were, of course, intuitive, involving the direct apprehension of moral truth, often as self-evident. The school's members regularly said, when some normative issue reached its crux, that the decision must be made by each person examining his own moral consciousness, or giving his own intuitive verdict on the question. They did not say this with pleasure; they 31 would have been delighted if there were some more reliable route to moral knowledge, or one less prone to unresolvable disagreements. But they thought there was no such route; all proposals for one failed. At the end moral judgement had to involve an immediate apprehension of sui generis truth.
That said, there were differences among them about which intuitive judgements are most trustworthy. Sidgwick placed most credence in judgements about highly abstract moral principles, such as the axioms of prudence and benevolence discussed in the 'Philosophical Intutionism' chapter of his Methods of Ethics. This was also Moore's official view, as stated in the Preface to Principia Ethica and reflected in his bald claim, in Ethics, that it is self-evident
that right acts always maximize the good. But it is hard to confine oneself to that approach, and another part of Moore's official doctrine did not. This was his claim that, to decide whether some generic state of affairs X is good, we must imagine a possible world containing only X and judge whether that world is good. Here a judgement about the value of X in the abstract is reached via a judgement about a particular possible world. 32
The opposite view was taken by Carritt and Ewing, who thought the most reliable intuitive judgements concern particular cases, with general principles mere abstractions from them. But Prichard, Ross, and Broad took a middle line. Unlike Sidgwick and Moore, they did 33 not think we can know abstract principles by reflecting on them just as abstract principles; intuitions are elicited only in particular situations. But what we intuit in a particular situation is that an act's having some non-moral property tends to make it right or wrong, for example, that its being the keeping of a promise tends to make it right. Though prompted by a particular 34 situation, the intuition is implicitly general, since it implies that any act of keeping a promise is other things equal right. And this implication, though not equivalent to the principle that we ought other things equal to keep our promises, is sufficiently close to it that our grasp of the principle follows by a small step.
A common charge against the school is that their reliance on intuitive judgements made them dogmatic, announcing personal prejudices as universal moral truths. A more subtle charge 35 is that while Sidgwick recognized the fallibility of moral intuition, later writers such as Moore, Prichard, and Ross tended to dogmatism. The latter charge may be fair against Moore in some 36 of his moods, as when he simply announced that consequentialism is self-evident, but applied more broadly it is not.
Sidgwick laid down four conditions for genuine intuitions of self-evidence: aside from two requiring that the propositions intuited be clear and mutually consistent, the principal ones required us to test by introspection that what we have really is an apprehension of a proposition as apparently self-evident rather than, say, a reflex echoing of common opinion, and to check that other people share our intuition, so there is consensus about it. 37
But these conditions were absolutely shared by the later writers. Moore too emphasized the fallibility of moral intuition, saying 'in every way in which it is possible to cognise a true proposition, it is also possible to cognise a false one,' and noting that others' dissent from a proposition we believe should lessen our confidence in it. Rashdall, Ewing, and others insisted 38 just as much as Sidgwick on distinguishing genuine apprehensions of apparent self-evidence from superficially similar psychological states, while Prichard said 'I don't think the apprehension of the self-evident easy to reach.' Moreover, the reliance of many in the school on 39 everyday moral judgements – on what Ross called the 'existing body of moral convictions of the best people,' which is 'the cumulative product of the moral reflection of many generations' – 40 reflects their acceptance of something like Sidgwck's consensus test. For them moral judgement was not so much a matter of what 'I' think as of what 'we' think.
In fact, this reliance on common-sense moral opinions generates another objection to the school that is harder to answer but that is in some tension with the charge of dogmatism: that the school were morally conservative, offering philosophical defences of the everyday moral views of their time but rarely proposing significant reforms to them. This charge is not entirely fair. A theorist who works within common-sense morality can note inconsistencies in its current application and propose reforms to remove those, as Sidgwick did when he urged extending our concern with human pleasure to include that of animals; Ross allowed similar innovations. But 41 it remains true that none of Sidgwick, Rashdall, Moore, or Ross was a moral revolutionary, and their work might well have been more profound if they had considered more radical revisions to everyday moral beliefs. That they did not stemmed largely from their fallibilism, however, or their anti-dogmatic view that one's own intuitions need to be tested against other people's, since one's own may so easily be wrong.
3. Moderate Moral Theory
Though the school often started their theorizing with common-sense morality, they did not stop there, or think common-sense views are already in the best condition possible. On the contrary, they thought the task of moral philosophy is to theorize common sense, or reduce its many and conflicting judgements to a consistent and systematic whole, with a small number of fundamental principles explaining the rest.
There were differences about how far this systematization should go. Early in the school's history Sidgwick made very strong demands on theory. His requirements of clarity and consistency, at least as he interpreted them, amounted in effect to a demand for completeness, so an acceptable moral theory must yield a determinate verdict about what is right and wrong in every conceivable circumstance. Since he thought completeness impossible if there are competing principles or values, he concluded that the only acceptable theory is monistic both about the right, accepting just the one principle to maximize the good, and about value, with just one intrinsic good, pleasure.
Sidgwick's immediate successors, the ideal consequentialists Rashdall, McTaggart, and
Moore, retained his monism about the right but rejected his monism about value, accepting a number of other goods in addition to pleasure, including perfectionist ones such as knowledge and virtue. It is not the proper business of philosophy, Moore wrote, to 'search for "unity" and "system", at the expense of truth,' and the truth is that there is more than one good. Even later, 42 Prichard, Carritt, Ross, and Broad applied the same argument to the consequentialist principle: it is false to moral experience to restrict the basic duties to a single one. As Ross said, 'it is more important that our theory fit the facts than that it be simple,' and the facts now included a 43 plurality of grounds of duty, so an acceptable theory must pluralistic not only about the good but also about the right.
Even these later writers, though, were not radical pluralists. They did not recognize 327 fundamental goods or 84 underivative duties. Ross, for example, thought there were only four intrinsic goods and, though more tentatively, only six basic duties – even fewer if some are subsumed under a more general duty to promote the good. Though a pluralist he was a moderate one, committed like Sidgwick to making our moral judgements more systematic by connecting them to a few more general ones. Thus aesthetic appreciation and personal love were for him not distinct goods but reducible to the more fundamental ones of pleasure, knowledge, and virtue, while the duty not to lie was just an instance of the duty to keep promises. And his central 44 concept of prima facie duty served to show, as common sense itself cannot, how recognizing plural duties need not lead, as Sidgwick thought, to logical inconsistency. Though Ross did not follow the systematizing path as far as Sidgwick did, he was still very much on it.
What the later writers represent, therefore, is a moderate pluralism, one in between a strong demand for systematicity and precision like Sidgwick's, which allows only fully monistic theories, and the anti-theory view of writers like F.H. Bradley and his fellow Idealists in the 19 th century and some neo-Wittgensteinians today, according to which our moral judgements cannot be systematized at all, because they involve particularized perceptions of right and wrong just in particular cases. And it avoids these extremes because it rejects an assumption common to them 45 both: that morality can be theorized successfully only if it can be theorized completely, so its principles always yield determinate verdicts. (Sidgwick thought this goal can be achieved, the anti-theorists that it cannot.) Rejecting this assumption as unwarranted, Moore, Ross, and the others proceeded to partly theorize a moral reality they thought was partly (though not wholly) theorizable, or only partly capable of being made determinate. Ross, for example, thought we can have certain knowledge of the principles of prima facie duty, such as that we ought other things equal to keep promises, but can never be certain what our duty all things considered in a particular situation is, because we can never be certain how those principles weigh against each other. 46
There is a question about where these philosophers thought the unavoidable indeterminacies lie. Are they in the moral truth itself or only in our ability to know it, i.e., are the indeterminacies metaphysical or merely epistemic? Ross seems to have thought that there is always a determinate truth about how good something is and about how its goodness compares with that of other things. If he extended this view to right – and it is hard to see how he could 47 not – he would hold that there is always a determinate truth about what our duty proper in a given situation is. It is just that neither we nor our best moral theory can say definitively what it is.
This moderation about moral theory is illustrated in the group's approach to the measurement of values. The Idealists were skeptical about such measurement, citing (surprisingly for present-day readers) pleasure as the paradigm of a good that cannot be quantified. The writers after Sidgwick agreed that we cannot assign precise cardinal measures to pleasure and other goods, but insisted that we can nonetheless assign rough cardinal ones. McTaggart thought we can never say that two pleasures are exactly equally intense, but was certain that he got more than twice as much pleasure from a plate of turtle soup as from a plate of pea soup. Ross too thought we can say that one pleasure is at least twice as intense as another, while Rashdall and Moore made similarly rough cardinal claims, for example that aesthetic contemplation and personal love are 'by far' the greatest goods. The fact that we cannot measure precisely is no bar to our 48 measuring as far as we can.
4. Moral Explanation
A scientific or ethical theory can serve two functions. One is to discover new truths, which in ethics means using the theory's principles to arrive at moral judgements about particular cases that we could not otherwise make. The other is to explain truths we do know; here the principles tell us why particular moral judgements we already confidently make are true.
Sidgwick seems to have been most interested in the first function, about correct particular judgements. This is reflected in his emphasis on methods of ethics rather than principles, where a single method of determining right and wrong can be combined with different explanatory principles. It also shows in his attitude to his 'dualism of the practical reason,' the conflict he 49 saw between the egoist claim that we should pursue just our own pleasure and the utilitarian claim that we should pursue the pleasure of all. Sidgwick thought this dualism would be resolved if there were a God who rewarded right conduct in an afterlife, but Moore and Broad disagreed. 50
Egoism, they claimed, says the one right-making characteristic is maximizing the agent's pleasure, utilitarianism that it is maximizing the general pleasure, and no merely extensional equivalence between the two can resolve this conflict about explanation. But then Sidgwick's 51 belief that the conflict can be resolved suggests that he did not see it as about explanation. He read the two claims extensionally, as saying that an act is right if and only if it maximizes our own or the general pleasure, and a conflict between extensional principles is resolved if their verdicts coincide.
Other philosophers of the period emphasized the second, explanatory function. The Idealists often accepted the consequentialist structure of hedonistic utilitarianism and allowed that utilitarianism yields broadly correct verdicts about particular cases. But they thought the vital philosophical question is what explains those verdicts, and the explanation, they insisted, is perfectionist. As Bradley put it, 'What we hold to against every possible modification of Hedonism is that the standard and test is in higher and lower function, not in more or less pleasure.' Many members of our school had a similar view. Moore thought that most of the 52 time we should follow a set of rules obeying which will preserve society and so promote overall good, and that these rules will be the same given any plausible theory about what is good. But 53 he nonetheless thought the central philosophical question is 'What is intrinsically good?', because the answer to that question explains why the rules are correct. And his critique of 54 hedonism argued that even if that view can capture our convictions about which pleasures are best, by considering their effects on future pleasures, it does not capture our convictions about why they are best, which concerns what they are pleasure in now. 55
A similar emphasis appears in Prichard, Carritt, and Ross. They sometimes criticized
consequentialism for yielding the wrong results about particular cases, as when Ross said it tells us to break a promise if that will promote 1001 units of good rather than the 1000 that would follow from keeping it. But their more common objection was that consequentialism gives the 56 wrong explanations for its results even when those are right. Thus they asked whether the reason we ought to keep a promise is that this will help maintain an institution that will benefit people in the future or simply that we made a promise. Their insistence that the second is the right explanation was their main objection to consequentialism, and Prichard in particular gave it a striking form. He said that by deriving the duty to keep promises from a more general one to promote the good, consequentialism turns the duty to keep promises into a quite different duty to promote the good – if that is what explains the first duty, that is what it at bottom is. But this distorts the moral phenomena, turning what we recognize as one duty into something it is not; in trying to explain the duty to keep promises, consequentialism destroys it. 57
This emphasis on the explanatory function of moral theory fits several other aspects of Prichard's and Ross's view. One was their faith in common-sense morality. If most people already usually know what is right, they do not need moral theory to tell them what is right; philosophy's task is instead to explain why it is right. Another was their moral epistemology. If the primary moral intuition is that an act's having a certain property, such as that of keeping a promise, tends to make it right, then the primary intuition is iself explanatory, and in testing moral theories against beliefs about explanation we are testing them against the most secure moral knowledge we have.
5. Inherent Explanations
Though the school pursued moral explanations, they also had a distinctive view about how those should proceed, proposing mostly what I will call conceptually 'inherent' rather than 'external' explanations. 58
Inherent explanations explain common-sense moral judgements by connecting them to principles that are more abstract but use similar concepts, so they are continuous with the common-sense judgements and concern the same general subject. Because they are more abstract, the principles have independent appeal and can therefore both explain the judgements and increase our warrant for believing them. But they operate within the same circle of concepts rather than concerning some other, allegedly more fundamental topic. 59
Thus Sidgwick grounded utilitarianism in the principles that one should not prefer a lesser good at one time to a greater good at another, or a lesser good for one person to a greater good for another. These are principles of impartiality and unify many particular moral claims, 60 but they are only more abstract versions of ideas about caring for the future and for others that are already present in everyday moral thought. While stating those ideas more explicitly and precisely, they do not replace them with something different.
The same holds for the account of virtue given first by Rashdall and then by Moore, Ross, and others. It treats virtue as a higher-level intrinsic good involving morally appropriate 61 attitudes to items with other, previously given moral properties. Thus one form of virtue is having a positive attitude, such as desiring, pursuing, or taking pleasure in, something else that is good, such as another person's pleasure. Another is having the negative attitude of trying to prevent or being pained by something evil, such as another's pain. Just as the positive attitude fits a positive value and therefore is virtuous, so a negative attitude fits a negative one. This account of virtue is more abstract than anything in common-sense moral thought, but it also resonates with that thought, which can recognize in its less formal conceptions of benevolence and compassion the ideas of positive-to-positive and negative-to-negative concern or, as the children's book Madeline puts it, of 'smil[ing] at the good and frown[ing] at the bad.'
Or consider Moore's formulation of retributivism using his principle of organic unities. It says that while vice is intrinsically evil, as is pain, the combination of vice and pain in the same person's life is good as a combination, and sufficiently good that adding the pain to the vice makes the overall situation better. This analysis illuminates the structure of retributivist claims 62 and has important implications, for example, that while deserved pain is good as deserved it is also evil as pain, so the morally appropriate response to it mixes satisfaction that justice is being done with pain at the infliction of pain. But it does not ground everyday retributivism in some other, less contentious claim; it merely reformulates it more abstractly.
Likewise for Broad's treatment of what he called 'self-referential altruism.' It holds, 63 against utilitarianism, that our duty concerning others is not to treat them impartially but to care more for those who are in various ways closer to us, such as our family and friends. Broad's analysis unifies a variety of common-sense claims about loyalty or partiality and invites further inquiry about exactly which relations make for closeness of the relevant kind. But it does not justify partiality in other terms. On the contrary, it assumes partiality, saying each person should care more about his family and friends because he should care more about those who stand in special relations to him.
The contrasting external approach arises from dissatisfaction with merely inherent explanations, whose principles, it complains, are too close to the judgements they are meant to yield to explain rather than just restate them. A genuine moral explanation, externalists say, must connect an everyday moral claim to one that uses different concepts and concerns some other, more fundamental topic.
The last half-century has been dominated by external (in this sense) projects in ethics. Some have tried to ground moral judgements, either as a whole or individually, in something outside morality itself, such as the language of morals (Hare), self-interest non-morally construed (Gauthier), the metaphysics of the person (Rawls, Scheffler, Parfit, Brink), or the demands of practical consistency (Gewirth, Korsgaard). Others have tried to ground particular moral claims in ones that, while still moral, concern some different topic. Examples include the justification of retributive punishment in terms of distributive fairness (Morris) or of our duty to benefit others in terms of our own good or flourishing morally conceived, as in neo-Aristotelian virtue ethics (Anscombe, Foot, Hursthouse). But in every case the explanatory principles use different concepts from the judgements being explained and concern some other, allegedly more fundamental topic.
The grand exemplar of the external approach is Rawls. Denying that our everyday judgements about equality and rights are properly justified if taken on their own, he set out to show that they would be chosen by rational contractors in a specified 'original position,' using what he argued are the correct principles of rational choice. Since the specification of Rawls's original position depends on moral judgements, his justification is not extra-moral, like ones citing the language of morals or non-moral self-interest. But it is external in my sense, since ideas about rational contracting are far removed from everyday talk of equality and rights – they are nothing like what people have in mind when engaged in that talk – and in Rawls's view can
explain it precisely because they are far away.
The distinction between inherent and external explanation is one of degree rather than kind, and there can be in-between cases. Moreover the Sidgwick-to-Ewing school did sometimes give non-inherent explanations, as when Sidgwick rested the rationality of egoism on the claim that individuals are metaphysically distinct or Ross subsumed the duty not to lie under the duty to keep promises. But their general tendency was to prefer inherent explanations, and this 64 tendency had several grounds.
One was their faith in common-sense moral judgements. Externalism is often motivated by distrust of everyday intuition: if that is unreliable, then a persuasive justification for a moral claim can only be found elsewhere. But if one thinks common sense contains mostly true judgements, it is natural to think it also contains, even if implicitly, the materials for sound explanations of them. Those materials may need to be extracted and made more precise, but they are there.
Another was their belief that the more ambitious external approach does not succeed, for two familiar reasons. Its moral explanations do not in fact yield the results they are intended to, or do not unless they tacitly assume what they are meant to prove. And even if they did yield those results, they would give the wrong explanation for them.
Prichard took both these lines about instrumental justifications of morality that say we should promote others' happiness and keep promises because doing so will maximize our own happiness. He argued, first, that it is not always true that fulfilling these duties will maximize our happiness, and second, that even when it is true, this is not the reason why we ought to fulfil 65 them. Instrumental views turn the duties to benefit others and keep promises into duties to
promote our happiness, which is not what they intuitively are. Given his particular conceptual views, Prichard gave this last argument a radical form. Holding that the instrumental or hypothetical imperative is only descriptive, he said instrumental justifications of morality resolve the moral 'ought' into something that is not an 'ought' at all and so deny normativity altogether. 66 But even if the instrumental 'ought' is a real 'ought,' he could say that instrumentalism turns other-regarding duties into self-regarding ones and so distorts the moral phenomena.
Many in the school had a similar view about Aristotle's more high-minded egoism, which says we ought to promote others' happiness or keep promises because, if done with the right motives, this will manifest virtue on our part, which is an essential part of the eudaimonia or flourishing that is our one ultimate goal. Sidgwick attacked the conceptual underpinnings of this view, saying it fails to distinguish the questions 'What ought I all things considered to do?' and 'What will make my life go best?,' or assumes without argument that the answers to these two questions must always be the same. Ewing thought the egoistic framework forced Aristotle into 67 implausible claims, for example, that if it is all things considered right for a person to sacrifice his life, the excellence this courageous act will add to his life must be greater than the excellence of the thousands of other virtuous acts he could perform if he continued to live, so his act involves no real sacrifice. But even apart from these difficulties, Aristotle's view gave the 68 wrong explanation of our other-regarding duties, making them at bottom self-regarding. Prichard tied this charge to an implausible hedonistic reading of Aristotle, on which by 'good' Aristotle always meant 'conducive to the agent's pleasure.' But his criticism can be separated from this 69 interpretation, since whatever it is, my eudaimonia must be a state of me, and any view that grounds all 'oughts' in a state of me makes all 'oughts' ultimately self-regarding. And the school found more specific egoistic elements in Aristotle's ethics. Sidgwick said Aristotle lacked the modern concept of benevolence, since the virtue closest to it on his list, liberality, is shown just as much in tasteful expenditure on a fine house for oneself as in spending on other people. 70 Others were repelled by Aristotle's description of the megalopsychos or 'proud' man, who takes pleasure in being more virtuous than other people and finds it beneath his dignity to give others small benefits; only when great things are at stake will he deign to act. Rashdall commented on 'Aristotle's revolting picture of the high-souled man (megalopsychos),' while Ross said the 71 description of the megalopsychos 'betrays somewhat nakedly the self-absorption which is the bad side of Aristotle's ethics.' 72
The school had a similar view of Kant's attempt to ground the moral duties in the first formulation of his categorical imperative. This attempt is again largely external, since the question whether the universalization of a given maxim can be coherently thought or willed is remote from everyday thought about promoting others' happiness or keeping promises. But it again is open to two objections. One is that it yields the wrong results: it is not true, for example, that a world in which everyone makes lying promises cannot be conceived. And even it did 73 yield the right results, it would give the wrong explanation for them. Prichard wrote: 'No one could suppose that the reason why an act ought to be done consists in the fact that everyone could do it. Even Kant could not have supposed this. The difficulty escaped him because it didn't occur to him that his criterion of moral rules must express what, on his view, is their reason.' 74
External moral explanations cannot be dismissed en bloc; each must be examined on its own merits. But the experience of the last half-century is hardly encouraging, as time and again external projects have been found to fail. This leaves the conceptually inherent approach of the
Sidgwick-to-Ewing school, which, while not as exciting as externalism would be if successful, can nonetheless be deeply illuminating. Sidgwick on impartiality, Moore on organic unities, Rashdall, Ross, and the others on virtue – these and analyses like them unify particular moral judgements under an independently plausible head while illuminating their internal structure. Everyday morality is subtle and complex, with more internal coherence than may initially appear. By working within that morality, inherent explanations can uncover that subtlety and coherence as externalists, in their eagerness for more grandiose justifications, too rarely do. While less ambitious than the alternative, inherent explanation is more likely to yield substantial results and in my view has a better record of doing so.
It is not that the Sidgwick-to-Ewing school gave every inherent explanation possible; there were aspects of common-sense morality they seem to have been blind to. Thus, most of them did not see how common sense permits us to care somewhat more about our own happiness than about other people's, and distinguished on that basis between acts of benefitting others that are strictly required and ones that are supererogatory. (Ross thought that when doing so will not violate any deontological constraint, our duty is always to maximize the good impartially. ) So 75 they did not theorize that permission or the many fascinating issues it gives rise to. Nor did they always take inherent explanation as far as they could. Prichard and Ross thought the duty to keep promises cannot be analyzed further, but it can be if we see the act of promising as transferring a moral right, understood as a package of permissions for oneself and duties for others, to another person, by the exercise of a higher-level moral power. 76
So the school's importance does not rest on their having given every possible inherent moral explanation. It is rather that by largely restricting themselves to that style of moral
theorizing they demonstrated its considerable merits.
6. Underivative Duty
If we ask for a single central belief of the Sidgwick-to-Ewing school, it is that some moral duties, the fundamental ones are underivative. If we ask why these duties hold, there is no other answer than that they do. They cannot have a moral justification, because they are morally basic, nor can they have an extra-moral one, because none of those succeed. But the claim that duty is underivative can be made at three different levels.
The first concerns the normative realm as a whole. Here the idea is that normative judgements are sui generis, neither reducible to nor derivable from non-normative judgements such as those of science; the 'ought' is in general distinct from the 'is.' The school usually combined this claim with normative realism, yielding their metaethical non-naturalism. But I have argued that what mattered most to their theorizing was the sui generis claim on its own.
The second level concerns moral judgements more narrowly. Here the school held that judgements about how one ought morally to act are likewise underivative, not only from nonnormative judgements but also from any other normative judgements; there are no non-moral 'oughts' from which moral 'oughts' derive. They based this claim partly on the minimalist view that there are no other 'oughts' than the moral one, but also on the substantive view that no ought-statements other than those commonly called 'moral' are true.
Finally, later writers of the school such as Prichard, Ross, and Broad applied the idea of underivativeness to deontological duties such as to keep promises or make reparation. These duties, they held, do not derive from a more general one to promote good consequences; the main reason we ought to keep promises or compensate those we have harmed is just that we ought to.
This last application was not shared by consequentialists such as Sidgwick, Rashdall, and Moore, but they did share the first two. If asked why we ought to promote other people's happiness or knowledge, they would have said there is no answer other than that we ought to. (The claim that happiness or knowledge is good either needs to be supplemented by the further claim that we ought to promote whatever is good – which claim is then underivative – or already includes an 'ought' in its content.) No less than the deontological duties of Prichard, Ross, and Broad, the supreme consequentialist duty holds just because it does.
Though in one sense modest, this view contrasts with vast stretches of Western moral philosophy, which have aimed precisely at explaining why we ought to fulfil basic moral duties. The Sidgwick-to-Ewing school rejected these attempts, holding that they fail to yield their intended conclusions and, even if they did, would give the wrong explanations for them. The only approach that avoids these pitfalls – that generates the right verdicts for the right reasons – treats some moral duties as underivative. This may not be an entirely distinctive view in the history of ethics, but no other group expressed it so clearly or used it as the springboard for such searching analyses of the moral judgements we actually make.
Notes
1. See e.g. John McDowell, 'Non-Cognitivism and Rule-Following,' in Wittgenstein: To Follow a Rule, ed. S.H. Holtzman and C.M. Leich (London: Routledge & Kegan Paul, 1981), 141-62, p. 144. For a reply to this argument, see Daniel Y. Elstein and Thomas Hurka, 'From Thick to Thin: Two Moral Reduction Plans,' Canadian Journal of Philosophy, in press.
2. Henry Sidgwick, The Methods of Ethics, 7 ed. (London: Macmillan, 1907), p. 392. th Unless otherwise specified, all references will be to the 7 edition of this work. th
3. W.D. Ross, The Right and the Good (Oxford: Clarendon Press, 1930), p. 134.
4. Ross, Right and the Good, p. 155. See also Sidgwick, Methods of Ethics, 1 ed. (London: st Macmillan, 1874), p. 93n; Hastings Rashdall, The Theory of Good and Evil (London: Oxford University Press, 1907), vol. 1, pp. 138, 174-75; and A.C. Ewing, 'A Suggested Non-Naturalistic Definition of Good,' Mind 48 (1939): 1-22, p. 5. Note that much of Rashdall's book incorporates material from articles published as early as 1885; though I will cite this material from the book, it will often have been written earlier.
5. Rashdall, Theory of Good and Evil, vol. 2, p. 98n.; G.E. Moore, Principia Ethica (Cambridge: Cambridge University Press, 1903), pp. 98-99; Sidgwick, Methods of Ethics, p. 112.
6. Sidgwick, Methods of Ethics, pp. 420, 497-98. For a fuller defence of this reading of Sidgwick on 'good for,' see my 'Moore in the Middle,' Ethics 113 (2003): 599-628, pp. 611-12.
7. H.A. Prichard, Moral Writings, ed. Jim MacAdam (Oxford: Clarendon Press, 2002), pp. 172-76; Ross, Right and the Good, pp. 65-67, and Foundations of Ethics (Oxford: Clarendon Press, 1939), pp., 255-57.
8. Prichard, Moral Writings, pp. 10n., 135, 171, 204; Ross, Right and the Good, pp. 21, 24-
26, 151, and Foundations of Ethics, pp. 72-75, 129-30, 272-74, 284.
9. Sidgwick, Methods of Ethics, p. 37. For more recent defences of the wide-scope reading, see Patricia S. Greenspan, 'Conditional Oughts and Hypothetical Imperatives,' Journal of Philosophy 72 (1975): 259-76; and John Broome, 'Normative Requirements,' in Normativity, ed. Jonathan Dancy (Oxford: Blackwell, 2000), pp. 78-99.
10. Prichard, Moral Writings, pp. 54-55, 126-28, 135, 143-44, 166; Ross, Foundations of Ethics, p. 48.
11. What about epistemic or logical 'oughts' that say we ought to believe a conclusion given certain evidence or premises? The school did not discuss these but could have taken them to involve hypothetical imperatives, of the form 'If you want to believe the truth, believe this conclusion.' For Prichard and Ross this would mean the epistemic 'ought' is not really normative but says only that believing a given conclusion is an effective means to believing what is true.
12. G.E. Moore, The Elements of Ethics, ed. Tom Regan (Philadelphia: Temple University Press, 1991), pp. 17-18; E.F. Carritt, The Theory of Morals (London: Oxford University Press, 1928), p. 29.
13. Sidgwick, Methods of Ethics, pp. 5-6. For the same reason, the school would have rejected as empty a question some present-day philosophers discuss: whether an act's being morally right gives us reason to perform it. For them talk of 'reasons' was just another way of talking about what we ought to do, and if the only 'oughts' are moral, the question reduces to whether an act's being one we morally ought to do makes it one we morally ought to do. The answer is no, but on entirely trivial grounds.
14. Prichard, Moral Writings, pp. 7-9, 18-20, 23-30.
15. Moore, Principia Ethica, pp. 6-7, 9-10, 17, 21, 37, and 'A Reply to My Critics,' in The
Philosophy of G.E. Moore, 2 ed., ed. Paul Arthur Schilpp. (New York: Tudor, 1952), 535-677, nd pp. 554-81; Ross, Right and the Good, pp. 75-78, 91-94, 131-32, and Foundations of Ethics, pp. 278-83.
16. Sidgwick, Methods of Ethics, pp. 92n., 112, 381, 388; C.D. Broad, Five Types of Ethical Theory (London: Routledge & Kegan Paul, 1930), pp. 277-78; Ewing, 'A Suggested Non-Naturalistic Definition,' and The Definition of Good (New York: Macmillan, 1947), ch. 5. 17. Sidgwick, Methods of Ethics, p. vii; Moore, Principia Ethica, p. 1; Ross, Right and the Good, p. 15 (see also pp. 29-30).
18. See e.g. Sidgwick, Methods of Ethics, pp. 25-28, 31; Moore, Ethics (London: Oxford University Press, 1912), chs. 3-4; Ross, Right and the Good, pp. 11, 80-104, and Foundations of Ethics, pp. 22-26; and Broad, Five Types, pp. 84-86, 259-64.
19. Carritt, 'Moral Positivism and Moral Aestheticism,' Philosophy 13 (1938): 131-47, pp. 132-33, 140; Broad, 'Some Reflections on Moral Sense Theories in Ethics,' in Broad's Critical Essays in Moral Philosophy, ed. David Cheney (London: George Allen & Unwin, 1971), 188222, p. 190, and 'Critical Notice of H.A. Prichard, Moral Obligation,' Mind 59 (1950): 555-66, p. 566.
20. Carritt, 'Moral Positivism and Moral Aestheticism,' pp. 133-34; Ross, Foundations of Ethics, pp. 33-34.
21. Moore, 'Reply to My Critics,' pp. 544-45. The flirtation was, to be sure, temporary. After Moore's death Ewing wrote, 'I think I ought to mention that Moore completely retracted this statement [that he was 'strongly inclined' to accept a non-cognitivist view] in the later years of his life (and here Blanshard would confirm what I say). Moore told me orally that he still held
to his old view, and further that he could not imagine whatever in the world had induced him to say that he was almost equally inclined to hold the other view' (Ewing, 'G.E. Moore,' Mind 70 (1962), p. 251).
22. Broad, 'A Reply to My Critics,' in The Philosophy of C.D. Broad, ed. Paul Arthur Schilpp (New York: Tudor, 1959), 709-830, p. 817.
23. Ewing, Second Thoughts in Moral Philosophy (London: Routledge & Kegan Paul, 1959), ch. 2.
24. Moore, Principia Ethica, pp. 10-17; Sidgwick, Methods of Ethics, pp. 26n., 109, and Lectures on the Ethics of T.H. Green, Mr. Herbert Spencer, and J. Martineau (London: Macmillan, 1902), p. 145; Rashdall, Theory of Good and Evil, vol. 1, pp. 47-48.
25. Sidgwick, Methods of Ethics, p. 26n.; Moore, Principia Ethica, pp. 17-20.
26. Moore, Principia Ethica, p. 131.
27. For a careful analysis of Sidgwick on this issue, see Robert Shaver, 'Sidgwick on Moral Motivation,' Philosopher's Imprint 6 (2006): 1-14.
28. See e.g. David O. Brink, Moral Realism and the Foundations of Ethics (Cambridge: Cambridge University Press, 1989), ch. 6.
29. I am indebted here to unpublished writing by Derek Parfit.
30. See e.g. Sidgwick, Methods of Ethics, pp. 31, 505, and Lectures on Green, Spencer, and Martineau, pp. 1-14, 60-79, 143-53; Rashdall, Theory of Good and Evil, vol. 2, pp. 189-413; Moore, Principia Ethica, chs. 2-4; Ross, Right and the Good, pp. 12-15, and Foundations of Ethics, pp.12-17; Broad, 'Critical Notice of Julian Huxley's Evolutionary Ethics,' in Broad's Critical Essays in Moral Philosophy, 156-87, and 'Symposium on the Relations Between Science and Ethics,' Proceedings of the Aristotelian Society 42 (1941-42): 100A-100H; Ewing,
Definition of Good, pp. 23-25, 73-74, 106-10, 134, and 'Symposium on the Relations Between Science and Ethics,' Proceedings of the Aristotelian Society 42 (1941-42): 68-86.
31. See e.g. Sidgwick, Methods of Ethics, pp. 400-401; Rashdall, Theory of Good and Evil, vol. 1, pp. 59, 69, 70-71, 75, 78; Moore, Principia Ethica, pp. viii, 59, 75-77, 92, 143-44, 197, and Ethics, p. 102; Prichard, Moral Writings, p. 2; Carritt, Theory of Morals, pp. 28, 72; Ross, Right and the Good, pp. 39-40; Broad, Five Types, pp. 131, 233; Ewing, The Morality of Punishment (London: Kegan Paul, Trench, Tubner & Co., 1929), pp. 6-7, 14, 17-18, 185-87, and Definition of Good, pp, 15-18.
32. Sidgwick, Methods of Ethics, pp. 379-86; Moore, Principia Ethica, p. viii, and Ethics, pp. 76-77; Moore, Principia Ethica, pp. 83-84, 91, 93-95, 187-88.
33. Carritt, Theory of Morals, pp. 30-31, 70-71, 84-85, 114-15, 138-39; Ewing Morality of Punishment, pp. 2, 119n., 160-61, 174-75, 179, 187-88, 202.
34. Prichard, Moral Writings, pp, 4-5, 13, 77; Ross, Right and the Good, pp. 32-33 and Foundations of Ethics, pp. 84, 168-71, 184; Broad, Five Types, pp. 145-46, 177-78, 271-72.
35. See e.g. Alasdair MacIntyre, After Virtue (London: Duckworth, 1981), pp. 14-19.
36. See e.g. Bart Schultz, 'Introduction: Henry Sidgwick Today,' in Essays on Henry Sidgwick, ed. Bart Schultz (Cambridge: Cambridge University Press, 1992), 1-61, pp. 28-29, 59n84; and Robert Shaver, 'Sidgwick's Minimal Metaethics,'Utilitas 12 (2000): 261-77, pp. 263-66.
37. Sidgwick, Methods of Ethics, pp. 338-42.
38. Moore, Principia Ethica, pp. x, 75-76, 143-44, and Elements of Ethics, pp. 163, 16768.
39. Moore, Elements of Ethics, pp. 162-63; Rashdall, Theory of Good and Evil, vol. 1, pp.
211-13; Ewing, Morality of Punishment, pp. 185-87, 191; Prichard, "Letter to John Laird of July 30, 1938," Bodleian Library, University of Oxford, Ms. Eng. Lett. C. 131 fols. 18-29, fol. 27. 40. Ross, Right and the Good, p. 41.
41. Sidgwick, Methods of Ethics, p. 414; Ross, Right and the Good, p. 39, and Foundations of Ethics, pp. 189-90.
42. Moore, Principia Ethica, p. 222.
43. Ross, Right and the Good, p. 19 (see also p. 23); Broad, Five Types, pp. 283-84.
44. Ross, Right and the Good, pp. 21, 23, 24-26, 140-41.
45. See e.g. F.H. Bradley, Ethical Studies, 2 ed. (Oxford: Clarendon Press, 1927), pp. nd 157, 193-99, and Principles of Logic, 2 ed. (London: Oxford University Press, 1922), pp. 269- nd 70; also John McDowell, 'Virtue and Reason,' The Monist 62 (1979): 331-50.
46. Ross, Right and the Good, pp. 23, 29-32, 41-42.
47. Ross, Right and the Good, p. 143.
48. J.M.E. McTaggart, Studies in Hegelian Cosmology (Cambridge: Cambridge University Press, 1901), p. 117; Ross, Right and the Good, p. 143, and Foundations of Ethics, p. 183; Rashdall, Theory of Good and Evil, vol. 2, pp. 49-50; Moore, Principia Ethica, p. 188.
49. Sidgwick, Methods of Ethics, pp. 8-9, 83.
50. Sidgwick, Methods of Ethics, pp. 503-509.
51. Moore, Principia Ethica, pp. 102-04; Broad, Five Types, pp. 255-56.
52. Bradley, 'Mr. Sidgwick's Hedonism,' in Collected Essays, Vol. 1 (Oxford: Clarendon Press, 1935), p. 97. On the frequent (though not exceptionless) extensional equivalence of Idealist ethics and utilitarianism see Bradley, Ethical Studies, pp. 138-41, and T.H. Green, Prolegomena to Ethics, ed. A.C. Bradley (Oxford: Clarendon Press, 1883), secs. 332, 356.
53. Moore, Principia Ethica, pp. 155-64.
54. Moore, Principia Ethica, pp. 27, 77, 90-91, 138, 140, 158, 184, 189, 222.
55. Moore, Principia Ethica, pp. 94-95.
56. Ross, Right and the Good, p. 34. See also Prichard, Moral Writings, p. 2, and Carritt, Theory of Morals, pp. 39-40, 108-109.
57. Prichard, Moral Writings, pp. 10, 29-30; Carritt, Theory of Morals, pp. 69-70; Ross, Right and the Good, pp. 17, 19, 24, 36-39, and Foundations of Ethics, pp. 65-69, 113, 187.
58. In earlier writings I have contrasted these as 'structural' vs. 'foundational' explanations, but the second of these terms in particular may be misleading. See my 'Moore in the Middle,' pp. 627-28, and 'Normative Ethics: Back to the Future,' in The Future for Philosophy, ed. Brian Leiter (Oxford: Clarendon Press, 2004): 246-64, pp. 253-61.
59. It is not part of inherent explanation that the explanatory principles can be known only by reflecting on common sense. They can be self-evident in themselves, as Sidgwick and Moore held.
60. Sidgwick, Methods of Ethics, pp. 381-82.
61. Rashdall, Theory of Good and Evil, vol. 1, pp. 59, 63-65, 76, 137, 174-75, 214, vol. 2, pp. 41-42; Moore, Principia Ethica, pp. 203-204, 214-22; Ross, The Right and the Good, pp. 134-35, 163.
62. Moore, Principia Ethica, pp. 215-16.
63. Broad, 'Self and Others,' in Broad's Critical Essays, 262-82, pp. 279-82.
64. Sidgwick, Methods of Ethics, pp. 404, 498; Ross, Right and the Good, p. 21.
65. Prichard, Moral Writings, pp. 26, 32, 180.
66. Prichard, Moral Writings, pp. 9, 29-30, 43, 116, 122-23, 143, 144-45, 150, 169, 183,
188-93, 236-30, 241.
67. Sidgwick, Methods of Ethics, pp. 404-405.
68. Ewing, Ethics (London: English Universities Press, 1953), pp. 28-29.
69. Prichard, 'The Meaning of agathon in the Ethics of Aristotle,' in Moral Writings, 10213.
70. Sidgwick, Outlines of the History of Ethics, 5 ed. (London: Macmillan, 1902), pp. 62, th 122.
71. Rashdall, Theory of Good and Evil, vol. 1, p. 205. See also Carritt's remark about 'the egoistic self-righteousness of Aristotle's philautos,' in 'An Ambiguity of the Word "Good",' Proceedings of the British Academy 23 (1937): 51-80, p. 69.
72. Ross, Aristotle (London: Methuen, 1923), p. 208.
73. Prichard, Moral Writings, p. 60; Carritt, Theory of Morals, pp. 79-82; Broad, Five Types of Ethical Theory, pp. 130-31; Ross, Kant's Ethical Theory (Oxford: Clarendon Press, 1954), pp. 29-33, 45-47.
74. Prichard, Moral Writings, p. 59. Thomas E. Hill, Jr. has recently made the same criticism, saying that if we ask why slavery is wrong, the claim that a world in which everyone acts on the maxim of a slave-owner and none on that of a slave is logically impossible is not the right answer; see his 'Kantian Normative Ethics,' in The Oxford Handbook of Ethical Theory, ed. David Copp (New York: Oxford University Press, 2006), 480-514, p. 488.
75. Ross, Right and the Good, p. 39.
76. See H.L.A. Hart, 'Are There Any Natural Rights?', Philosophical Review 64 (1955): 175-91.
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FISCAL DEPARTMENT Financial Assistance Policy
POLICY NUMBER IN-25
I POLICY:
Financial Assistance Policy (referred to as "FAP")
II DEFINITION:
The purpose of this policy is to establish guidelines to properly define the financial assistance policy of the hospital, uncompensated care as MVH Care, bad debt or contractual allowance.
III RESPONSIBILITY:
Senior Vice President/Treasurer, Vice President/Controller, Director of Revenue Cycle, Manager of Revenue Integrity
IV PROCEDURES:
Monongahela Valley Hospital, Inc. has an open admissions policy. Appropriate goods or services will be provided to all who seek them without regard to race, creed, color, handicap, religion, national origin, or their ability to pay.
How to apply for assistance
Financial assistance applications are available in the emergency room and admissions areas and by request or on our website www.monvalleyhospital.com . Paper copies of the FAP, FAP application form, and plain language summary of the FAP are available upon request and copies are in the emergency room and admissions areas. Any patient or any person involved in the care of a patient may apply for financial assistance during the application period.
Incomplete FAP Application
For individuals who submit an incomplete FAP application during the application period (240 days), the hospital will attempt to notify the individual about how to complete the FAP application and give reasonable opportunity to so within 30 calendar days.
Presumptive FAP-eligibility
Presumptive FAP-eligibility occurs when determinations are based on third-party information or prior FAP eligibility determinations. If the hospital determines that the individual is FAPeligible based on information other than that provided by the individual or based on a prior FAP-eligibility determination.
If the individual is presumptively determined to be eligible for less than the most generous assistance available under the FAP, the hospital will:
1) Notify the individual regarding the basis for presumptive FAP-eligibility determination and the way to apply for more generous assistance under the FAP;
2) Give the individual a reasonable period of time to apply for more generous assistance before initiating ECA's to obtain the discounted amount owed; and
3) If the individual submits a complete FAP application seeking more generous assistance during the application period, the hospital will determine whether the individual is eligible for a more generous discount. A hospital will have made reasonable efforts if it determines whether the individual is FAP-eligible for the care based on a complete FAP application regardless of whether the hospital has notified the individual. A hospital will not fail to have made reasonable efforts if upon receiving a complete FAP application the hospital facility believes the individual may qualify for Medicaid and the hospital postpones determining whether the individual is FAP-eligible for the care until after the individuals' Medicaid eligibility has been made.
Collection Activity
Monongahela Valley Hospital will not engage in extraordinary collection actions before it makes a reasonable effort to determine whether a patient or person with fiduciary duty of the patient is eligible for financial assistance under this Policy.
The following is a list of other providers that are not covered by the MVH Financial Assistance Policy:
* Emergency Resource Management, Inc.
* Mon Valley Anesthesia
* Imaging Associates of Greater Pittsburgh
* Mon Valley Medical Associates
* Southwestern PA Cardiovascular Associates
* Mon Valley Pathology Associates
* UPMC Heart and Vascular Institute Monongahela
* Mon Vale Clinical Professionals, Inc.
* Mon Vale Radiation Oncology, Inc.
Listed below, by definition, are the guidelines that distinguish a bad debt account from MVH Care and contractual allowances.
1) Uncompensated Care - when medical services have been provided to a patient, and a determination made that payment for these services will not be received. Uncompensated Care includes both Bad Debt and MVH Care.
2) Bad Debt - Bad debt is defined as payment not received for services rendered for which payment is anticipated and credit is extended. Bad debt patients do not meet the criteria for MVH Care; that is, they are considered able to pay, but unwilling to satisfy their outstanding obligations.
3) MVH Care – MVH care is defined to include all the under-reimbursed costs of caring for low-income patients who either are enrolled in a government program, such as Medicaid, or are uninsured. These patient's circumstances must meet the Hospital's established MVH Care Policy, and the patients are judged to be financially unable to satisfy their debt.
4) Contractual Allowance - the difference between gross charge and the amount a provider contractually agrees to accept from payors, as payment in full.
5) Bad Debt vs. MVH Care Guidelines - establishing guidelines or criteria to distinguish the patient's unwillingness to pay (Bad Debts) and a patient's inability to pay (MVH Care) should be verified as soon as possible, whether prior, during, or subsequent to the admission process. The timing criteria for determination of a patient's ability or lack of ability to pay for services may affect the way in which an account is ultimately classified, since all patients are considered as being able to pay until information is produced that indicates otherwise. In some cases, medical indigence is readily
7)
apparent, and the determination can be made prior to or soon after the patient's admission/visit.
6) Uninsured Patient Discount – Monongahela Valley Hospital, Inc. will give uninsured patients a 69.9% discount on gross charges for medically necessary or emergency care, reducing the amounts they owe to that of which a patient's insurance typically pays.
Monongahela Valley Hospital, Inc. re-calculates this discount percentage each year.
To calculate this amount, Monongahela Valley Hospital, Inc. uses the "look-back" method described in the IRS and Treasury's proposed rules on the Patient Protection and Affordable Care Act (PPACA).
In following this method, Monongahela Valley Hospital, Inc. used medical claims data from the past year to determine what portion of gross charges are typically paid (by the payer and the covered individual) for claims for emergency and medically necessary care where the primary payer was Medicare fee-for-service or a private commercial insurer.
Under-insured patients are defined as those patients having a deductible amount in excess of $7,500.00.
8) The following guidelines will be considered for patients to qualify for Bad Debt and MVH Care.
A) Full MVH Care:
1) Gross income should fall within established or recognized standards for determination of poverty level following Hill-Burton Poverty Income Guidelines (Department of Health and Human Services Published Poverty Guidelines), considering family size, geographic area, and other pertinent factors. In all cases, individuals with incomes that are less than those established under the Hill-Burton Poverty Income Guidelines qualify as MVH Care. (Some persons may exceed poverty income levels but still qualify for partial MVH Care services when additional criteria are considered). Poverty income levels are defined in schedule A when patient liability is greater than $300.
2) In cases where patients have not cooperated with the hospital's efforts to obtain financial information to make a determination for either a medical assistance application or charity care, the hospital will use the financial assistance program through the Recondo system to determine if the patient would have been eligible for either full or partial charity care and will make the appropriate adjustment prior to writing the account off to bad debt.
3) MVH Care eligibility is based on factors such as indigence, medical hardship, financial hardship, absence of an estate and homelessness.
4) Unpaid Medicaid and Medicaid HMO claims for co-payments.
5) Patients who are denied Medicaid eligibility for reasons other than excessive income.
6) Any patient who qualifies for Medical Assistance will automatically qualify for MVH Care.
B) Partial MVH Care:
1) Net worth can be considered including all liquid assets owned, less liabilities and claims against assets.
2) Employment status should be considered along with future earning capability. The likelihood of future earnings sufficient to meet the obligation within a reasonable period of time (i.e., two years) should be considered.
3) Family size will be considered.
4) Other financial obligations including living expenses and other items that are reasonable and necessary will be considered.
5) The amount(s) and frequency of the hospital bill(s) will be considered.
6) All other resources should first be applied, including Medicaid and other third party sources.
7) In cases where patients have not cooperated with the hospital's efforts to obtain financial information to make a determination for either a medical assistance application or charity care, the hospital will use the financial assistance program through the Recondo system to determine if the patient would have been eligible for either full or partial charity care and will make the appropriate adjustment prior to writing the account off to bad debt.
8) MVH Care eligibility is based on factors such as indigence, medical hardship, financial hardship, absence of an estate and homelessness.
9) Unpaid Medicaid and Medicaid HMO claims for co-payments.
10) Patients who are denied Medicaid eligibility for reasons other than excessive income.
11) Write-off of a portion of an account as MVH Care will be considered in instances where the patient is able to pay part of the account. When the burden of healthcare bills decrease the patient's resources to the point of established poverty levels, partial MVH Care allowances will be provided. See Schedules B and C.
12) Any patient who qualifies for Medical Assistance will automatically qualify for MVH Care.
C) Uninsured and under-insured patients desiring elective services
1) Patients who desire elective services but are uninsured or have a large insurance deductible, first must meet with the Manager of Revenue Integrity and/or the Patient Financial Counselors, to discuss financial arrangements.
2) Patients will be advised to apply for Medical Assistance and/or MVH Care prior to services being provided.
3) If it is determined the patient does not qualify for any MVH Care or if the patient chooses not to meet with the Manager of Revenue Integrity, the Hospital will accept a reasonable down payment prior to provision of services, or can refuse to provide these elective services if the patient fails to make an acceptable down payment.
D) Final determining that the hospital has made reasonable efforts to determine whether an individual is FAP-eligible and, therefore, engage in extraordinary collection efforts must be done in compliance with the following authorization limits by authorized individual:
E) Write-off Limits
1) Write-offs shall be done in compliance with the hospitals write-off Authorization limits by authorized individuals as listed in IN-21, as follows:
2) Monongahela Valley Hospital, Inc. will issue an annual news release informing the public of the existence of the hospital's MVH Care policy. Those who believe they may qualify will be encouraged to contact the hospital for an application. You can request a free copy of this policy at our facility at 1163 Country Club Road, Monongahela, PA, 15063, request a free copy by mail by calling us at 724-258-1179 or mailing a request to 1163 Country Club Road, Monongahela, PA, 15063, or access it free of charge online here at www.monvalleyhospital.com. Applications will be valid for up to six months unless the patient's financial situation changes significantly or they are able to obtain health insurance.
SCHEDULE A
2018 POVERTY GUIDELINES
POVERTY GUIDELINE
For family units with more than 8 members, add $4,320 for each additional member. (2018 guidelines)
SCHEDULE B
FOR PARTIAL MVH CARE ALLOWANCES
SCHEDULE C INCOME EXCEEDING VERIFIED MANDATORY LIVING EXPENSES
AMOUNT OVER EXPENSES
AMOUNT OF ALLOWANCE
<100.00/MONTH
At Management’s discretion- Based on the Patient’s needs
100.00 TO 149.00/MONTH
90% ALLOWANCE
150.00 TO 199.00/MONTH
70% ALLOWANCE
200.00 TO 250.00/MONTH
50% ALLOWANCE
MVH CARE NOTICE
Monongahela Valley Hospital offers free financial counseling to patients who are in need of assistance to resolve their debt. There are several programs available to the public through various third party agencies including, but not limited to, the Medical Assistance Program.
This hospital provides free care to persons who qualify. If you cannot afford the cost of care, you are encouraged to apply for free care. You may obtain information and an application in the Credit Department of Monongahela Valley Hospital or by calling 724-258-1188 or you may download an application at www.monvalleyhospital.com. Monongahela Valley Hospital's Manager of Financial Counseling and Collections can answer questions and provide additional information and appropriate applications. For further information, please call Monongahela Valley Hospital's Office of Financial Counseling and Collection at 724-258-1188.
ANNUAL NEWS RELEASE
PUBLIC NOTICE MONONGAHELA VALLEY HOSPITAL, INC. MVH CARE POLICY
MONONGAHELA VALLEY HOSPITAL, A NOT FOR PROFIT ORGANIZATION, PROVIDES UNCOMPENSATED SERVICES TO PATIENTS WHO DO NOT QUALIFY FOR ASSISTANCE FROM VARIOUS THIRD PARTY AGENCIES. THESE CHARITABLE FUNDS ARE ALLOCATED TO INPATIENT AND OUTPATIENT SERVICES FOR FULL OR PARTIAL BENEFITS.
THE MVH CARE PROGRAM OF MONONGAHELA VALLEY HOSPITAL AUGMENTS ITS COMMITMENT TO ENHANCE THE HEALTH OF THE RESIDENTS OF THE MID MON VALLEY AREA. IF YOU ARE UNABLE TO RESOLVE YOUR DEBT OR THINK YOU MAY HAVE A NEED FOR THIS PROGRAM, AND BELIEVE YOU MAY QUALIFY FOR MVH CARE, PLEASE TELEPHONE MONONGAHELA VALLEY'S OFFICE OF FINANCIAL COUNSELING AND COLLECTIONS AT 724-258-1188.
AN APPLICATION WITH ALL APPROPRIATE ATTACHMENTS MAY BE FILED WITH MONONGAHELA VALLEY HOSPITAL, AND IF APPROVED, WILL BE VALID FOR UP TO ONE YEAR FROM THE APPROVAL DATE.
|
MID SUSSEX DISTRICT COUNCIL
LIST OF PLANNING APPLICATIONS REGISTERED BETWEEN 15 MAR 2018 AND 21 MAR 2018 FOR PUBLICATION IN THE LOCAL PRESS WEEK ENDING 30 MAR 2018
These applications can be viewed on the Online Planning Register, and from computers available at the Council's Planning Services Reception, Oaklands, Oaklands Road, Haywards Heath, during normal office hours. To access the Online Planning Register, please use the following link:
http://pa.midsussex.gov.uk/online-applications/. Representations in respect of the following applications must be submitted to me in writing by 13 APR 2018
Sally Blomfield
Divisional Leader for Planning and Economy
Parish: Ansty And Staplefield
DM/18/1122
Location:
St Marks Church Of England Primary School Brantridge Lane Staplefield West Sussex RH17 6EN
Description:
T1 - Beech stem: Reduce further down to a 4m stump. T2 - Leaning Birch: Fell. T3 - Cypress Tree: remove the bent curved limb over the west side, back to stem. T4 - Portuguese Laurel: remove the lowest limb growing over the main footpath to the school.
Applicant:
Mr Jim Mellor
West Sussex County Council WSCC Highways Southern Area Office Clapham Common Worthing West Sussex BN13 3UR
Case Officer: Ms Irene Fletcher
Ward:
Cuckfield
App. Type: Tree Surgery
DM/18/1138
Location:
St Marks Church Of England Primary School Brantridge Lane Staplefield West Sussex RH17 6EN
Description: Renewal of pitched roof and internal waterproofing works.
Agent:
Mr Roger Mahoney
BPG Studios 1 And 2 Old Kings Head Court 11 High Street Dorking RH4 1AR
Applicant:
Executive Director Economy Planning And Place
Case Officer: Emily Wade
Ward:
Cuckfield
App. Type: Listed Building Consent
Parish: Ardingly
DM/18/0715
Location:
Bluebell View Ardingly Road Lindfield Haywards Heath West Sussex RH16 2QX
Description:
Extension and conversion of existing detached garage, with a new raised roof, for ancillary residential use to main dwelling. (Re-submission to application DM/17/5095).
Agent:
Mr Alan Sharp
Alan Sharp Associates 53 Thursley House Station Road Shalford Guildford GU4 8HA
Applicant:
Mr D Smith
Case Officer: Mr Joseph Swift
Ward:
Ardingly And Balcombe
Sports Pavilion Recreation Ground High Street Ardingly West Sussex
Description: Change of use from D2 (Leisure) to mixed D1/D2 (leisure and day nursery).
Applicant:
Mrs Sarah Mamoany
Sports Pavilion Recreation Ground High Street Ardingly West Sussex
Case Officer: Miss Deborah Lynn
Ward:
Ardingly And Balcombe
App. Type: Change of Use Application
Parish: Balcombe
DM/18/1111
Location:
Forest View Haywards Heath Road Balcombe Haywards Heath West Sussex RH17 6NZ
Description: Conifer Tree - Fell and remove stump.
Applicant:
Mr John Dunford
Forest View Haywards Heath Road Balcombe Haywards Heath West Sussex RH17 6NZ
Case Officer: Mr William Argent
Ward:
Ardingly And Balcombe
App. Type: Trees in a Conservation Area
DM/18/1133
Location:
Brantridge Forest High Street Balcombe Haywards Heath West Sussex RH17 6JY
Description: Erection of detached garage building. Amendments to previously approved application
DM/17/4419.
Agent:
Mr Mark Folkes
Folkes Architects The Old Forge 6 Church Street Storrington Sussex RH20 4LA
Applicant:
Mr And Mrs Firth
Case Officer: Miss Deborah Lynn
Ward:
Ardingly And Balcombe
App. Type: Householder Application
Parish: Bolney
DM/18/0953
Location:
Land North Of Bolney London Road Bolney West Sussex
Description:
Outline application for the erection of a new class C2 care/assisted living older persons facilities (up to 15,500sqm gross internal floor area) with associated access, amenity space, landscaping, pond, refuse storage and car and cycle parking. All matters to be reserved except for access.
Agent:
Mr Bhoseok Nam
GL Hearn 280 High Holborn London WC1V 7EE
Applicant:
Anstone Developments Ltd & Spurpoint Ltd
Case Officer: Mr Steven King
Ward:
Bolney
App. Type: Outline Application
Land North Of Bolney London Road Bolney West Sussex
Description:
Erection of new use class C2 care/assisted living older persons facilities (up to 7,000sqm gross internal floor area) and erection of 40 no. age-restricted (over 55) Use Class C3 dwellings with associated access, amenity space, landscaping, pond, refuse storage and car and cycle parking.
Agent:
Mr Bhoseok Nam
GL Hearn 280 High Holborn London WC1V 7EE
Applicant:
Anstone Developments Ltd & Spurpoint Ltd
Case Officer: Mr Steven King
Ward:
Bolney
App. Type: Outline Application
DM/18/1086
Location:
Plot Adjacent To Thompsetts Cottage Stairbridge Lane Bolney West Sussex RH17 5PA
Description:
New two storey dwelling with associated parking, cycle storage, external landscaping and new vehicular access onto Stairbridge Lane.
Agent:
Mr Simon Fitzpatrick
Mid Sussex Design 17 Gatesmead Haywards Heath RH16 1SN
Applicant:
Mr And Mrs John Seward
Case Officer: Kate Brocklebank
Ward:
Bolney
App. Type: Full Application
Parish: Burgess Hill
DM/18/0952
Location:
191 - 193 London Road Burgess Hill West Sussex RH15 9RN
Description:
Proposed change of use from A1 to A2. This is an application to establish whether the development is lawful. This will be a legal decision where the planning merits of the proposed use cannot be taken into account.
Agent:
Miss Julia Mitchell
SHW First Floor 1 Jubilee Street Brighton BN1 1GE
Applicant:
Mr D Dimelow
Case Officer: Mr Joseph Swift
Ward:
Burgess Hill - Victoria
App. Type: Lawful Development Certificate -Proposed
DM/18/1104
Location:
28 Sparrow Way Burgess Hill West Sussex RH15 9UL
Description:
Adding roof dormer to rear bedroom to form shower room. This is an application to establish whether the development is lawful. This will be a legal decision where the planning merits of the proposed use cannot be taken into account.
Agent:
Mrs Claire Haigh
Claire Haigh Associates Ltd 9 Kenton Road Hove East Sussex BN3 4PG
Applicant:
Mr Phil Adams
Case Officer: Kate Brocklebank
Ward:
Burgess Hill - Dunstall
App. Type: Lawful Development Certificate -Proposed
23 Janes Lane Burgess Hill West Sussex RH15 0QJ
Description:
Proposed front porch extension, replacement of attached garage with single storey side extension, replacement of rear conservatory with single storey rear extension, and roof extension / reconfiguration.
Agent:
Mr Stuart Beckett
Beckett Architectural & Consultancy Services Ltd 53 Bramble Gardens Burgess Hill West Sussex RH15 8UQ
Applicant:
K Willis
Case Officer: Ms Katherine Williams
Ward:
Burgess Hill - St Andrews
App. Type: Householder Application
DM/18/1113
Location:
32 Larkspur Drive Burgess Hill West Sussex RH15 0UL
Description:
Single storey rear elevation and removal of existing garage and replacing with addition of new garage.
Agent:
Mr Frazer Maxwell
Apropos Conservatories Ltd Greenside House Richmond Street Ashton-Under Lyne OL6 7ES
Applicant:
Mr And Mrs Clapham
Case Officer: Mr Andrew Horrell
Ward:
Burgess Hill - St Andrews
App. Type: Householder Application
DM/18/1119
Location:
8 Starling Close Burgess Hill West Sussex RH15 9XR
Description:
Proposed Loft conversion with dormer to the rear and replace existing conservatory with single storey rear extension.
Applicant:
Mr James Dickens
8 Starling Close Burgess Hill West Sussex RH15 9XR
Case Officer: Ms Anna Tidey
Ward:
Burgess Hill - Dunstall
App. Type: Householder Application
DM/18/1123
Location:
28 Sparrow Way Burgess Hill West Sussex RH15 9UL
Description:
Proposed removal of existing rear conservatory and replacement with full width single storey rear extension.
Agent:
Mrs Claire Haigh
Claire Haigh Associates Ltd 9 Kenton Road Hove BN3 4PG
Applicant:
Mr Phil Adams
Case Officer: Miss Deborah Lynn
Ward:
Burgess Hill - Dunstall
Parish: Cuckfield
DM/18/1069
Location:
1 Mantell Drive Cuckfield Haywards Heath West Sussex RH17 5AX
Description: Erection of conservatory.
Applicant:
Miss India Holland
1 Mantell Drive Cuckfield Haywards Heath West Sussex RH17 5AX
Case Officer: Mrs Joanne Fisher
Ward:
Cuckfield
App. Type: Householder Application
Parish: East Grinstead
DM/18/0910
Location:
Leysters Highfield Road East Grinstead West Sussex RH19 2DX
Description: Conversion of two flats back into one house.
Applicant:
Alison Hersey
Leysters Highfield Road East Grinstead West Sussex RH19 2DX
Case Officer: Mr Andrew Morrison
Ward:
East Grinstead - Baldwins
App. Type: Householder Application
DM/18/1038
Location:
Sussex House London Road East Grinstead West Sussex RH19 1HH
Description:
The application seeks confirmation of the lawfulness of the completion of the development permitted in a Decision Notice dated 27th January 2014 under reference 13/04040/FUL for a vertical extension to the existing building to form 8 residential units and formation of a new commercial A1, A3, B1 and A2 at the above address. This is an application to establish whether the development is lawful. This will be a legal decision where the planning merits of the proposed use cannot be taken into account.
Agent:
Mr Derek Horne
Derek Horne And Associates Ltd Dorset House Regent Park 297-299 Kingston Road Leatherhead Surrey KT22 7PL
Applicant:
Vici Estates Ltd
Case Officer: Mrs Joanne Fisher
Ward:
East Grinstead - Town
App. Type: Lawful Development Certificate -Proposed
DM/18/1044
Location:
23 Hillary Close East Grinstead West Sussex RH19 3XQ
Description:
Demolish existing garden room and construct a 2 Storey side extension with conservatory. (Revision to approved application DM/17/4454).
Agent:
Mr Peter Cook
Passfield Framfield Road Buxted East Sussex TN22 4PG
Applicant:
Ms Gill Harris
Case Officer: Ms Anna Tidey
Ward:
East Grinstead - Ashplats
12 Paddock Gardens East Grinstead West Sussex RH19 4AE
Description: Roof conversion with dormers to form new bedroom and ensuite.
Agent:
Mr Darren Hedley
18 West Hill Place Brighton East Sussex BN1 3RU
Applicant:
Mr John Margetts
Case Officer: Ms Anna Tidey
Ward:
East Grinstead - Herontye
App. Type: Householder Application
DM/18/1099
Location:
14 Meadowcroft Close East Grinstead West Sussex RH19 1NA
Description:
Construction of rear single storey extension with first floor extension over existing single storey. Part garage conversion into habitable space.
Agent:
Mr Mark Jackson
MAJ Architects Andreas Mill Lane Felbridge East Grinstead RH19 2PE
Applicant:
Mr And Mrs Tim Heffer
Case Officer: Ms Anna Tidey
Ward:
East Grinstead - Imberhorne
App. Type: Householder Application
Parish:
Hassocks
DM/18/1039
Location:
28 Stonepound Road Hassocks West Sussex BN6 8PR
Description:
Hip-to-gable and dormer loft conversion to create two bedrooms and a shower room. Mr Roger Stanley-Smith
Agent:
Falcon Home Improvements Ltd 58 Parklands Road Hassocks West Sussex BN6 8JZ
Applicant:
Mrs Sian Tarratt
Case Officer: Mr Andrew Watt
Ward:
Hassocks
App. Type: Householder Application
DM/18/1075
Location:
2 Willowbrook Way Hassocks West Sussex BN6 8QD
Description: Single storey rear extension and garage conversion with new window to front elevation.
Agent:
Mr Mark Chadd
Mark A Chadd Ltd Architectural Services 24 Kingston Avenue Seaford BN25 4NE
Applicant:
Mr And Mrs Deacon
Case Officer: Mr Andrew Horrell
Ward:
Hassocks
29 Lodge Lane Hassocks West Sussex BN6 8LU
Description:
Demolition of existing garage, side extension to the ground & first floors. New porch & enlargement of existing dormer window.
Agent:
Mr Daryl Gowlett
Clive Voller Associates 2 Woolven Close Burgess Hill West Sussex RH15 9RR
Applicant:
Mr Lakhani
Case Officer: Mr Andrew Morrison
Ward:
Hassocks
App. Type: Householder Application
DM/18/1145
Location:
8 Lagwood Close Hassocks West Sussex BN6 8HZ
Description: Proposed single storey side extension.
Agent:
Mr Tim Evans
T J Evans Ltd Holly's Choice Spithurst Road Barcombe BN8 5EF
Applicant:
Mr And Mrs Tanner
Case Officer: Mr Andrew Horrell
Ward:
Hassocks
App. Type: Householder Application
Parish:
Haywards Heath
DM/18/1077
Location:
17 Cheney Crescent Haywards Heath West Sussex RH16 4UE
Description: Loft conversion and provision of new stairs to loft space
Agent:
Emma Buchan
Buchan-Studio Ltd 9 Savill Road Lindfield Haywards Heath RH16 2NY
Applicant:
Mr And Mrs Brown
Case Officer: Mr Joseph Swift
Ward:
Haywards Heath - Franklands
App. Type: Householder Application
DM/18/1107
Location:
Land Parcel Along Birchen Lane Haywards Heath West Sussex
Description: T6 Lime Reduce by 3-4 metres, T10 Lime Reduce by 5-6 metres.
Agent:
Mrs Julia Blackburn
KPS Contractors KPS House Ham Lane Scaynes Hill Haywards Heath RH17 7PR
Applicant:
Blackburn
Case Officer: Ms Irene Fletcher
Ward:
Haywards Heath - Heath
App. Type: Tree Surgery
DM/18/1115
Location:
5 Drummond Close Haywards Heath West Sussex RH16 4DB
Description: Proposed tree works as per attached schedule.
Applicant:
Mr Paterson
5 Drummond Close Haywards Heath West Sussex RH16 4DB
Case Officer: Ms Irene Fletcher
Ward:
Haywards Heath - Ashenground
App. Type: Tree Surgery
Parish: Horsted Keynes
DM/18/0750
Location:
Little Keynes Birchgrove Road Horsted Keynes Haywards Heath West Sussex RH17 7BS
Description: Replace the existing summer house and timber shed plant room with a pool room with
WC/Changing area and plant room.
Agent:
Mr John Whitlock
Douglas Moat Practice LLP Bank Chambers 79 High Street Tunbridge Wells TN1 1XZ Mr Mcerlean And Mrs Martin Betts
Applicant:
Case Officer: Mrs Joanne Fisher
Ward:
High Weald
App. Type: Householder Application
Parish: Hurstpierpoint And Sayers Common
DM/18/0800
Location:
Description:
Agent:
Applicant:
Case Officer:
Ward:
App. Type:
DM/18/1114
Location:
Description:
Agent:
Applicant:
Case Officer:
Ward:
App. Type:
Parish: Lindfield
DM/18/1117
Location:
Description:
Agent:
Applicant:
Case Officer:
Ward:
App. Type:
Oakdene Pookbourne Lane Sayers Common Hassocks West Sussex BN6 9HD
Extension and partial enclosure of equestrian arena.
Mr James Smith
Just Plans Ltd 46A Keymer Road Hassocks West Sussex BN6 8AR
Mr And Mrs Phillip Dykes
Kate Brocklebank
Hurstpierpoint And Downs
Full Application
2 Well Cottages Albourne Road Hurstpierpoint Hassocks West Sussex BN6 9ET
T1 Yew - Fell.
Mr Justin Lee
J Lee Trees 37A Cuckfield Road Hurstpierpoint West Sussex BN6 9RW
Mrs Glenda Jordan
Mr William Argent
Hurstpierpoint And Downs
Trees in a Conservation Area
39 High Street Lindfield Haywards Heath West Sussex RH16 2HJ
Removal of Condition 4 relating to planning permission DM/17/3135 in regards to providing cycle parking spaces.
Mr Alex Barker
Creed Design Associates The Old Bank 2 Cross Street Enderby Leicester LE19 4NJ
Mr Paul Montalto
Mr Andrew Morrison
Lindfield
Removal/Variation of Condition
9 Dukes Road Lindfield Haywards Heath West Sussex RH16 2JH
Description:
Proposed single storey rear extension together with provision of log burner flue Mr Adrian Walsh
Agent:
A D Walsh Developments Alescroft Scaynes Hill Haywards Heath West Sussex RH17 7PG
Applicant:
Dr And Mrs R Jones
Case Officer: Miss Deborah Lynn
Ward:
Lindfield
App. Type: Householder Application
Parish: Lindfield Rural
DM/18/1068
Location:
Kloya 3 Roseleigh Gardens Scaynes Hill Haywards Heath West Sussex RH17 7PU
Description:
Proposed demolition of conservatory with internal alterations and domestic extensions at ground and first floor levels to form family lounge, kitchen and improved bedroom accommodation.
Applicant:
Mr David Leen
Kloya 3 Roseleigh Gardens Scaynes Hill Haywards Heath West Sussex RH17 7PU
Case Officer: Mr Joseph Swift
Ward:
High Weald
App. Type: Householder Application
DM/18/1072
Location:
Kloya 3 Roseleigh Gardens Scaynes Hill Haywards Heath West Sussex RH17 7PU
Description:
Proposed alteration to form dormer roof space at existing rear elevation. This is an application to establish whether the development is lawful. This will be a legal decision where the planning merits of the proposed use cannot be taken into account.
Applicant:
Mr David Leen
Kloya 3 Roseleigh Gardens Scaynes Hill Haywards Heath West Sussex RH17 7PU
Case Officer: Mr Joseph Swift
Ward:
High Weald
App. Type: Lawful Development Certificate -Proposed
Parish: Slaugham
DM/18/0945
Location:
Handcross Park School London Road Handcross West Sussex RH17 6HF
Description:
Replacement and extension of current kitchen and canteen dining area for staff and school children and new access ramps and steps to externals.
Agent:
Mr David Mott
DMA Building Designs Unit 4B Rudgwick Brickworks Lynwick Street Rudgwick RH12 3DH
Applicant:
Mr John Mickel
Case Officer: Kate Brocklebank
Ward:
Ardingly And Balcombe
App. Type: Full Application
15 The Hemsleys Pease Pottage Crawley West Sussex RH11 9BX
Description: Single storey side extension
Agent:
Mr Wayne Gander
98 Durrington Lane Worthing BN13 2RQ
Applicant:
Mr Francis Jarman
Case Officer: Ms Anna Tidey
Ward:
Ardingly And Balcombe
App. Type: Householder Application
Parish: Twineham
DM/18/0213
Location:
Michaelmas Cottage Bolney Chapel Road Twineham West Sussex RH17 5NN
Description: Conversion and extensions to rear annexe into an independent two bedroom dwelling.
Agent:
Mr Gordon Dixon
19 Derwent Drive Goring By Sea Worthing West Sussex BH12 6LA
Applicant:
Mr And Mrs A Evans
Case Officer: Mr Andrew Morrison
Ward:
Bolney
App. Type: Full Application
Parish: Worth
DM/18/0836
Location:
Greenacre Copthorne Common Road Copthorne Crawley West Sussex RH10 3LA
Description: Erection of detached chalet bungalow within grounds.
Agent:
Mr D Brown
51 London Road Ramsgate CT11 0DD
Applicant:
Mrs Maria De Sousa
Case Officer: Miss Deborah Lynn
Ward:
Copthorne And Worth
App. Type: Full Application
DM/18/0838
Location:
3 Fairway Close Copthorne Crawley West Sussex RH10 3PX
Description: Proposed single storey rear extension.
Agent:
Mr Chris Randall
4 Rokewood Drive Crawley RH11 7GF
Applicant:
Mr Leon Bolt
Case Officer: Miss Deborah Lynn
Ward:
Copthorne And Worth
46 Burleigh Way Crawley Down Crawley West Sussex RH10 4UQ
Description: Proposed two storey side extension and demolition of existing garage.
Agent:
Mr Scott Ellisdon
Ellisdon Architectural Services 1 Crabbet Road Three Bridges Crawley RH10 1NF
Applicant:
Mr And Mrs Peter Welsh
Case Officer: Mr Stuart Malcolm
Ward:
Crawley Down And Turners Hill
App. Type: Householder Application
DM/18/1094
Location:
8A Copthorne Bank Copthorne Crawley West Sussex RH10 3QX
Description: Relocation of flat entrance to first floor and new external stair.
Agent:
Julian Bluck
Julian Bluck Designs Ltd Briar House Nash Street Golden Cross Hailsham BN27 4AB
Applicant:
Mr Richard Hewitt
Case Officer: Mr Joseph Swift
Ward:
Copthorne And Worth
App. Type: Householder Application
DM/18/1098
Location:
Land West Of Copthorne Copthorne Way Copthorne West Sussex
Description:
Reserved matters application for earthworks to create a development platform as part of Phases C1 and C2 detailing layout and landform - pursuant to condition 1 (reserved matters) of outline planning permission 13/04127/OUTES dated 25 May 2016 as amended by non-material amendments DM/17/1979 dated 25 May 2017.
Agent:
Mr Steve Molnar
Terence O'Rourke Limited Everdene House Deansleigh Road Bournemouth BH7 7DU
Applicant:
Mr Colin Darby
Case Officer: Mr Stephen Ashdown
Ward:
Copthorne And Worth
App. Type: Reserved Matters Application
DM/18/1121
Location:
Meadow View Lake View Road Furnace Wood East Grinstead West Sussex RH19 2QE
Description: Side and rear extension with raised roof ridge to accommodate new dormer windows to
front and rear, internal alterations.
Agent:
Mr Paul Carter
Bentleys And Carter 4 Rectory Lane Woodmansterne Banstead SM7 3PP
Applicant:
Mr Bruce McAlister
Case Officer: Kate Brocklebank
Ward:
Crawley Down And Turners Hill
Little Sunnyhill Station Road Crawley Down Crawley West Sussex RH10 4JE
Description: Two storey side and front extension and car port.
Agent:
Mr P A Gosling
78 Potters Lane Burgess Hill RH15 9JS
Applicant:
Mr A Winsor
Case Officer: Miss Deborah Lynn
Ward:
Crawley Down And Turners Hill
|
Youth Mental Health: New Economic Evidence
Martin Knapp, Vittoria Ardino, Nicola Brimblecombe, Sara Evans-Lacko, Valentina Iemmi, Derek King, Tom Snell, Silvia Murguia, Henrietta Mbeah-Bankas, Steve Crane, Abi Harris, David Fowler, Joanne Hodgekins, Jon Wilson
January 2016
PSSRU Personal Social Services Research Unit
The Personal Social Services Research Unit (PSSRU) at the London School of Economics and Political Science is a leading social care research group. Since its establishment in 1974 at the University of Kent, PSSRU has had considerable impact on national social care and mental health policy and practice in the UK and in a number of other countries.
PSSRU contact information
Personal Social Services Research Unit London School of Economics and Political Science Houghton Street London WC2A 2AE
Email: email@example.com
Tel: +44 (0)20 7955 6238
Website: www.pssru.ac.uk/index-kent-lse.php
Available for download at
www.pssru.ac.uk/publication-details.php?id=5160
This report presents independent research carried out following a request by the NHS Confederation's Mental Health Network on behalf of SHA Mental Health Leads Group (when in existence) to review the evidence around the potential impact of youth mental health services on economic outcomes, and to conduct an economic evaluation of various models of youth mental health service provision. The views expressed in this publication are those of the authors.
© Personal Social Services Research Unit, London School of Economics and Political Science 2016
CoNTENTS
ABouT THE AuTHoRS
Martin Knapp 1
www.pssru.ac.uk/people-profile.php?id=36
Vittoria Ardino 1
www.pssru.ac.uk/people-profile.php?id=3811
Nicola Brimblecombe 1
www.pssru.ac.uk/people-profile.php?id=3685
Sara Evans-Lacko 1,2
www.pssru.ac.uk/people-profile.php?id=3925
Valentina Iemmi 1
www.pssru.ac.uk/people-profile.php?id=3668
Derek King 1
www.pssru.ac.uk/people-profile.php?id=35
Tom Snell 1
www.pssru.ac.uk/people-profile.php?id=47
Silvia Murguia 3
Henrietta Mbeah-Bankas 3
Steve Crane 3
Abi Harris 3
David Fowler 4
www.uea.ac.uk/medicine/people/profile/d-fowler#overviewTab
Joanne Hodgekins 4
www.uea.ac.uk/medicine/people/profile/j-hodgekins
1. Personal Social Services Research unit, London School of Economics and Political Science
2. Health Service and Population Research Department, Institute of Psychiatry, King's College London
3. Tower Hamlets Early Detection Service (THEDS), London
4. Norfolk and Suffolk Specialist Youth Mental Health Service and university of East Anglia
Executive Summary
youth Mental Health:
New Economic Evidence
This report examines the economic challenges of youth mental health problems in England. The main focus is on adolescents and young adults. We summarise findings from a review of the international evidence on the economic impact of youth mental health services, an analysis of the economic implications of youth mental health problems – including the failure to recognise or treat them – and an evaluation of two models of youth mental health service provision in England. We make a number of recommendations.
This is the first study of the economic impact of youth mental health services in the uK.
Mental health issues account for a significant proportion of the burden of ill-health experienced by young people in the uK:
n Approximately 1 in 10 children and young people have a diagnosed mental health problem.
n However, mental health issues are more likely to be missed in young people than in any other age-group.
The period of adolescence and early adulthood is one in which individuals are highly susceptible to the development of mental health issues:
n 75% of mental illness in adult life (excluding dementia) starts during adolescence
n Existing mental health issues often become more complex during adolescence
Adolescence is the period when reluctance to use mental health services is at its peak and when there are complex transitions to manage from child and adolescent to adult services. The result is that many young people in need do not receive any clinical intervention.
unidentified and untreated mental health issues at this stage in life can have devastating and costly consequences:
n worse physical health in both the short-term and long-term
n poorer health behaviours: in particular misuse of alcohol, smoking, and substance use
n poor social, educational and employment outcomes.
Recent uK government reports and policy documents recognise deficiencies in the way that services respond to the mental health needs of young people, particularly those who are most vulnerable.
The Children and Young People's Mental Health and Wellbeing Task Force was set up in September 2014 by the Government in response to growing awareness and concerns about what was perceived as a growing crisis in the delivery of care to young people.
one possible solution to improving access, engagement and acceptability is age-appropriate, youth-specific mental health services.
There are few data on youth mental health services, particularly economic data, with the exception of psychosis services, a few of which are youthspecific. our report focuses mainly on non-psychosis mental illness and services for the 12 to 25 age group.
ExECuTIVE SuMMAry ExECuTIVE SuMMAry
3 3
ExECuTIVE SuMMAry
KEY fINDINGS
Economic evidence
n A review of uK and international evidence on youth mental health issues and their treatment found very little previous research on economic aspects of mental health issues or on services for young people in the uK or elsewhere.
Costs of mental health services for teenagers
n We analysed data from a nationally representative epidemiological survey, the British Child and Adolescent Mental Health Survey (BCAMHS). We found that for young people aged 12–15 at baseline assessment (aged 15–18 by the end of the follow-up period), mental health-related average costs over the three-year follow-up period totalled £1,778 a year; 90% of this cost was incurred by the education sector. The total cost comprised: £24 for primary care, £30 for paediatrics, £60 for mental health services, £100 for social care, and £908 for frontline education and £656 for special education resources.
n Total costs were highest for 12–15 year olds with hyperkinetic disorders (i.e. inattention, hyperactivity, impulsivity) with a mean annual cost of £2,780. Average annual costs were £1,789 for 12–15 year olds with conduct disorders and £1,353 for those with emotional disorders.
n There were marked inter-individual variations in service utilisation and in costs. Variations in service use and costs were associated with child and family characteristics and circumstances, such as age, reading ability, severity of emotional and behavioural difficulties, single-parent family, and maternal mental wellbeing.
primary care
paediatrics
mental health services
social care
frontline education
special education resources
£1,778
Economic consequences of not treating mental health issues
n We also looked at data from the 2000 Adult Psychiatric Morbidity Survey (APMS), another big nationally representative survey. We found that young people aged 16 to 25 with mental health issues at baseline were significantly more likely not to be in employment, education or training (NEET) than those without such issues (27% vs 16%). This has economic consequences for those young people and for society.
n Young people with mental health issues at baseline were also significantly more likely to be on welfare benefits than those without mental health issues (27% vs 14%).
n Among the group with mental health issues, those in contact with services were much more likely to be receiving benefits. Given that there was no difference in NEET status between those who did or did not receive treatment, this result appears to show that mental health services are helping young people to secure their benefit entitlements.
n We also found that young people with a mental health issue at baseline (compared to not) were 8 times more likely to have contact with criminal justice services 18 months later. This type of service use also has economic costs.
Treatment gap
n A key theme emerging from our research was the substantial unmet need for services for young people with mental health problems.
n our analysis of 1999 BCAMHS data found that more than half (55%) of 12–15-year olds with mental health issues had no contact with services in connection with their mental health needs.
n Analysis of the APMS found that the treatment gap is much wider for adolescents and young adults than it is for any other age group: 55% of young people aged 16 to 25 with a mental health issue were not receiving mental health services. The gap is especially wide for those aged 21–25: nearly two-thirds (64%) of young people aged 21 to 25 with a mental health issue were not getting support from mental health services.
n Even for those young people aged 16 to 25 with a severe mental illness, nearly half (46%) were not receiving mental health services. for people with severe illness, this is lower than the rate of contact with specialist services for any other age group.
n Just under half (45%) of a small sample of young people with symptoms of mental illness commencing two-year treatment at a youth mental health service in London in 2010–2012 had not been receiving mental health services during the previous three months.
n The treatment gap has been known for at least two decades and our study identifies treatment gaps dating from 1999. It should be of considerable concern that such gaps have been allowed to continue.
Limited availability of services
n our 'mapping' of specialist youth mental health provision across the uK in 2014 found there was very limited availability. Indeed, some specialist services had closed or changed their focus. In contrast, there were also some well-planned and well-received local services in some parts of the country.
n The treatment gap and the limited availability of services are consistent with recent and ongoing cuts to the funding of youth mental health services in England at a time when need is rising:
* Two-thirds of councils and Clinical Commissioning Groups have cut or frozen budgets for child and adolescent mental health, according to a 2015 Young Minds freedom of Information request.
* Expenditure by former Primary Care Trusts on child and adolescent mental health services fell from £758 million in 2008/9 to £717 million in 2012/13 (at constant prices).
* Concerns about cuts to funding at a time of increasing need were highlighted by the recent Children and Young People's Mental Health and Wellbeing Task force report.
Specialist youth mental health services can potentially contribute to improving young people's mental health
n We used routinely collected data from two local specialist youth mental health services – Tower Hamlets Early Detection Service in London and the Norfolk and Suffolk Specialist Youth Mental Health Service – to examine the economic case for this type of service.
n It was not possible to do a full evaluation, but our tentative findings are that significant improvements had been achieved in mental health, employment, education and training outcomes. Contacts with services such as emergency and inpatient hospital care and the criminal justice system had reduced.
n Youth-specific service models of these kinds can potentially contribute importantly to repairing troubled lives, with potential knock-on economic benefits in both the short and longer term.
We conclude that:
To neglect mental illness in young people is not only morally unacceptable, but also an enormous economic mistake.
ExECuTIVE SuMMAry
RECoMMENDATIoNS
A
Invest early to prevent or reduce the risk of mental health issues emerging during childhood and adolescence, for example though earlier and better recognition of maternal mental illness; anti-bullying efforts in schools; and better links to services that work with young people not in employment, education or training.
B Earlier recognition, timely diagnosis and better response for those young people who do experience mental health issues.
C Respond to mental health issues with evidence-based interventions. Services should be widely available and responsive to needs, flexible enough to adapt to individual circumstances and appropriate for young people.
D Remove barriers to access and to treatment-seeking by young people. There is an urgent need for more and better evidence on what works in the youth mental health area. Combatting stigma must be part of the response to this challenge.
E Reverse the downward trend in funding of child and adolescent mental health services in England.
f Address difficulties in transition between CAMHS and adult services. We welcome the fact that NICE is in the process of preparing guidance on transitions in many areas of health, including mental health.
G Strive for better service coordination and integration. The consequences of failing to recognise or respond to mental health issues in childhood and adolescence can last a lifetime and can spill into many different public and private budgets. The relevant agencies – especially education, youth justice, health, social care, welfare benefits – need to work together to agree priorities and take the necessary actions.
H Collect better and coordinated cross-sector data on levels and patterns of spending and provision, and on individual and societal outcomes. This action is needed across all relevant sectors, and would greatly assist implementation, monitoring and evaluation of mental health services for young people.
KEY STATISTICS
* Approximately 1 in 10 children and young people have a diagnosed mental health problem.
* 75% of mental illness in adult life (excluding dementia) starts during adolescence
* for young people aged 12–15 at baseline assessment, mental health-related costs over the following three years averaged £1,778 per individual per year; 90% of this cost fell to the education sector.
* Costs were highest for 12–15 year olds with hyperkinetic disorders (inattention, hyperactivity, impulsivity), averaging £2,780 a year.
* 27% of young people aged 16 to 25 with mental health issues were not in employment, education or training (NEET) compared to 16% of young people that age without mental health issues.
* 27% of young people with mental health issues were on benefits compared to 14% of those without mental health issues.
* Young people with mental health issues were 8 times more likely to have contact with criminal justice services than young people without such issues.
* 55% of 12–15 year olds with mental health issues at baseline had no contact with services in connection with their mental health needs.
* 55% of young people aged 16 to 25 with a mental health issue were not receiving mental health services. for those young people aged 21 to 25 with a mental health issue, 64% were not receiving mental health services.
* Even for those young people with a severe mental illness, 46% were not receiving mental health services.
* Despite the already wide gaps in treatment, 65% of councils and Clinical Commissioning Groups cut or froze their budgets for child and adolescent mental health services last year (Young Minds survey).
Youth Mental Health: New Economic Evidence
1. INTRoDuCTIoN
1.1 Prevalence and need
Mental health issues account for a significant proportion of the burden of ill-health experienced by young people in the uK (Chief Medical officer 2013). Prevalence is estimated at between 10% and 20% in the 16–24 age group (ford et al 2008; McManus et al 2009; Headstrong 2013), and long-term morbidity and mortality are among the highest of any group (Bailey 2003). Prevalence of mental illness increases during adolescence and issues become more complex (Costello et al 2003). Societal changes such as the increase in youth unemployment and increasing instability of employment, poverty and insecure housing, all of which are among the known risk factors for mental health issues in adolescence and early adulthood (Mental Health foundation 2006; Prince's Trust 2014) may mean that young people are at increasing risk.
The majority of mental illnesses start during adolescence and persist into adulthood (Kim-Cohen et al 2003; Kessler, Berglund et al 2005). They are associated with poor short- and long-term mental and physical health and negative social, educational and economic outcomes for the young people themselves and for their family and carers, and with financial costs to health and other services such as the criminal justice system (Kim-Cohen et al 2003; Kessler et al 2005; Bodden et al 2008; Cosgrave et al 2008; Suhrcke et al 2008; Centre for Mental Health 2010; Goodman et al 2011; Snell et al 2013; Beecham 2014; Department of Health 2014). Mental illness can lead to poor health behaviours – in particular alcohol, smoking, and substance use – likely to result in poorer physical health in adulthood (Bush et al 2007; Children and Young People's Health outcomes forum 2012).
The situation for people with severe mental health issues is particularly problematic in terms of costs, negative outcomes and need for and use of services (McCrone et al 2013; Park et al 2015). Individuals will often have had a long duration of untreated illness before accessing services (Norman & Malla 2001), and severe disorders are typically preceded by less severe disorders that are seldom brought to clinical attention (Kessler 2007). When mental health issues go unrecognised and untreated, symptoms may worsen, requiring much more expensive treatment when they are eventually spotted.
1.2 Treatment gap
Because of the peak onset of mental health issues in this age group and the long-term consequences if untreated, there is a need for early intervention and prevention. A stronger focus on young people's mental health can generate greater personal, social and economic benefits than intervention at other times in the lifespan (McGorry et al 2008). Despite this, current services do not serve this population well.
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youth Mental Health:
New Economic Evidence
under-diagnosis or misdiagnosis (Green et al 2005), a reluctance to access services (Gulliver et al 2010), negative attitudes among young people about seeking professional help (Rickwood et al 2005), negative attitudes held by their parents too (Gronholm et al 2015), discomfort with receiving a formal diagnosis (Brown et al 2000) and the feeling that current services are inappropriate for their needs (Rickwood et al 2005; Gulliver et al 2010; Lavis & Hewson 2010) have resulted in a mismatch between needs and service provision.
The result is that many young people do not receive any clinical intervention. It is hard to find very recent evidence, but in 2004, only 25% of children with mental illness were in treatment (Green et al 2005) and this had not improved by 2010 (Centre for Economic Performance Mental Health Policy Group 2012). of the minority who do access treatment, many drop out or do not engage (Essau 2005; farrell & Barrett 2007; ford et al 2008) and there is an increase in disengagement from childhood to adolescence (Evans-Lacko et al 2011). Certain sub-groups are further underrepresented. for example, people from Black, Asian and minority ethnic (BAME) backgrounds are less likely to access mental health services (Chahal & ullah 2004; Street et al 2005) as are those from lower socio-economic groups.
Transition from child and adolescent mental health services to adult services may present a particular problem (Singh et al 2010). Adolescence is a time of neurobiological and behavioural transitions – a period of rapid emotional, physical, intellectual and social change – and vulnerable young people may struggle to make their way through complicated developmental transitions. At a time when young people are undergoing many other key transitions in their lives, they often fall through the gap, disengage or find adult services inappropriate to their needs (Singh 2009; Singh et al 2010). As McGorry (2007) says: 'the pattern of peak onset and the burden of mental disorders in young people means that the maximum weakness and discontinuity in the system occurs just when it should be at its strongest'.
A related problem is the lack of integrated service provision for this age group. Young people with or at risk of mental illness may never see the services they need. Being sub-threshold, but still at risk, raises additional problems with accessing appropriate services (WHo 2005, Headspace 2008, Singh et al 2008).
one possible solution to improving access, engagement and acceptability is ageappropriate, youth-specific mental health services (McGorry, Hazell et al 2008) and Government policy has recognised the needs in this area (HMG 2003; Department of Health and Department for Education and Skills 2007; Department of Health 2009; Department of Health & NHS England 2015). Viner (2007) found that age-appropriate inpatient services for 12 to 17 year olds improved attendance and retention and improved quality of care and feeling about their care. However, according to Bailey (2003) 'in dramatic contrast to the numbers of adolescents using services and their perceived special needs… there is a relative dearth of specific or discrete services for young people within all our health services' (p18).
Although youth-specific models have been developed to an extent in services such as palliative care, epilepsy and diabetes, this has generally not been the case in psychiatric care (Bailey 2003), except in the area of psychosis. Tailored Early Intervention for Psychosis (EIP) services offering targeted interventions to individuals between 16–35 years – the age range at which first episode psychosis is most likely to occur – have been demonstrated to have good clinical outcomes, to be cost-effective, and are considered helpful by service users (Lester et al 2011; Marshall & Rathbone, 2011). There is also good evidence that EIP services are cost-effective (Mihalopoulos et al 2012, Park et al 2015). However, these services are only available for young people experiencing psychosis.
There are, however, few data on broader youth mental health services, particularly economic data, which may be in part because of the rarity of this type of service model. In their systematic review of randomised controlled trials on the effectiveness, acceptability and cost of mental health services that provide an alternative to inpatient care for children and young people (aged 5 to 18), Shepperd et al (2009) found some differences in outcomes but commented on the lack of available economic evidence and concluded 'The quality of the evidence base currently provides very little guidance for the development of services' (p.4).
unfortunately, what appear to be above-average cuts to the funding of mental health services (Young Minds 2014, 2015; King's fund 2015) will not help the already difficult situation. In a written answer in late 2014 to a Parliamentary Question from Andy Burnham (Shadow Secretary of State for Health at the time), the Care and Support Minister (Norman Lamb) reported how much had been spent on child and adolescent mental health services in England over a period of five years. In real terms, aggregate PCT expenditure had fallen from £758 million in 2008/9 to £717 million in 2012/13 (2013/14 prices).
The most recent survey by Young Minds under freedom of Information requests (published July 2015) shows that 67% of the 165 Clinical Commissioning Groups that responded had frozen or cut their budgets for CAMHS between 2013/14 and 2014/15, while 65% of the 97 local authorities that responded had similarly frozen or cut their budgets. Indeed, one in five local authorities had frozen or cut their budgets every year since 2010. There have also been cuts to social care and education budgets, which may disproportionately affect those who are already socially disadvantaged (Wahlbeck & McDaid 2012).
1.3 Policy context
The two most recent annual reports by the Chief Medical officer: Public Mental Health Priorities: Investing in the Evidence (Davies 2014) and Our Children Deserve Better: Prevention Pays (CMo 2013) recognised the deficiencies in the way that current services respond to the mental health needs of young people, particularly the most
15 15
vulnerable young people. So too did the Government's 2014 mental health policy announcement for England, Closing the Gap (Department of Health 2014):
It has long been recognised that far too many young people who rely on mental health services are 'lost' to the system when they reach adulthood. Those affected are often the most vulnerable and disadvantaged; getting lost in transition only adds to this – and makes them more likely to end up out of work and not in education or training. It can also mean their physical health deteriorates. for a significant number therefore, transition is poorly planned, poorly executed and poorly experienced. for so many reasons, this "cliff-edge" situation must end (p.26)
The summary of the House of Commons Health Committee report on Children's and Adolescents' Mental Health and CAMHS started as follows (House of Commons Health Committee 2014):
There are serious and deeply ingrained problems with the commissioning and provision of children's and adolescents' mental health services. These run through the whole system from prevention and early intervention through to inpatient services for the most vulnerable young people (p.3).
The Committee went on to make a number of recommendations, in the process expressing concern that:
While demand for mental health services for children and adolescents appears to be rising, many CCGs report having frozen or cut their budgets. CCGs have the power to determine their own local priorities, but we are concerned that insufficient priority is being given to children and young people's mental health (p.4).
Their final comment in the summary of their report was absolutely clear:
There must be a clear national policy directive for CAMHS, underpinned by adequate funding (p.8).
The Children and Young People's Mental Health and Wellbeing Task Force was set up in September 2014 by the Coalition Government in response to increasing awareness and concerns about what was perceived as a growing crisis in the delivery of care to young people. It brought together a wide range of stakeholders from across government departments and NHS England, in addition to mix of experts from a wide variety of fields. These included young people and advocacy organisation such as Young Minds, voluntary sector organisations, professional leads for bodies such as the Royal College of Psychiatrists, clinical experts, physical health experts, social care, education, commissioners, and various others (e.g. information experts, social media experts). The Task force met five times with work occurring outside of the main meetings during which specific work themes emerged as 'task and finish groups':
coordinated system, data and standards, prevention and access, and vulnerable groups and inequalities. In addition, reports on professional and young people's views were commissioned to inform the work. The remit of the Taskforce was to consider services for all young people, ostensibly up to a maximum age of 25, together with the systems which supported them.
The resultant report, Future in Mind: Promoting, Protecting and Improving our Children and Young People's Mental Health and Wellbeing (Department of Health & NHS England 2015), was supplemented with reports from each work stream and the consultation and engagement reports. Collectively these wide-ranging reports describe the scale of the problem but also attempt to set out a coherent and rational argument for substantial change in the way clinical services are commissioned and delivered. The arguments include social, clinical and financial descriptions of the case for change, from across all the sectors with which children, young people and their families have contact. By gaining consensus across agencies, the documents represent a 'call to arms', strongly arguing the case for a radical change.
The main challenges identified by the Taskforce include: significant gaps in data and information and delays in the development of payment and other incentive systems; the treatment gap (i.e. raising this as a public health issue between need and cases treated); difficulties in access; the complexity of current commissioning arrangements; and access to crisis, out of hours and liaison psychiatry.
By way of solutions, the Taskforce recommended changes across the system in a number of areas. These include: placing an emphasis on building resilience, promoting good mental health, prevention and early intervention; simplifying structures and improving access; delivering care in a clear joined-up approach; harnessing the power of information (both in terms of collecting data and in using new technologies to deliver interventions); sustaining a culture of evidence-based service improvements (including the training and skill-mix of the workforce, e.g. recommending CYP IAPT be rolled out nationally); and crucially making the right investments (analysing how resources are currently spent within local systems and making investment decisions in a coherent manner).
While the Taskforce recognised the economic benefits of better commissioned and delivered services, their documents included explicit recommendations about the need for more investment, appropriately targeted. following the publication of Future in Mind, further investments were announced within the area of children and young people's mental health, together with the establishment of pilot sites to steer future policy and guide future investment. However, the Taskforce did not recommend specific models of achieving the overall objectives (other than CYP IAPT), beyond suggesting some specific methods, such as 'one-stop-shops' (single points of access for young people which aim to address multiple problems – housing, sexual health, mental health etc.) or methods such as having named points of contact for specialist services and schools, basing transitions to adult services on need rather than age,
having a named lead in each local area responsible for the overall delivery of services aimed at improving children and young people's mental health, or developing a specific set of information metrics to guide future investment and commissioning.
In the Government's 2015 Budget, the Chancellor of the Exchequer, George osborne, noted a commitment to provide 'funding for a major expansion of mental health services for children and those suffering from maternal mental illness' (HM Treasury 2015). Later Ministerial speeches and announcements have provided some further details (e.g. Burt 2015, 2015a) and have referred to a commitment of £1.25 billion over a five year period. The Prime Minister's recent speech on mental health reaffirmed these policy intentions (Prime Minister's office 2016), including specialist maternal mental health services, waiting time targets for eating disorder and psychosis services for young people, and expansion of IAPT for children and young people.
2. STuDY AIMS
We were asked by the NHS Confederation's Mental Health Network on behalf of SHA Mental Health Leads Group (when in existence) to review the evidence around the potential impact of youth mental health services on economic outcomes, and to conduct an economic evaluation of various models of youth mental health service provision. our work comprised six elements, which we describe in turn in sections 3 to 8:
* We completed a review of international research evidence on youth mental health issues and their treatment (looking beyond early intervention services for psychoses), particularly looking for economic evidence (section 3). 1
* We sought to 'map' specialist youth mental health provision across the uK (section 4).
* We looked at previously collected epidemiological data from two major surveys that collected nationally representative data on young people with mental health issues (sections 5 and 6).
* We worked with two local specialist youth mental health services (in East London and in Norfolk) and used their routinely collected data to examine the economic case for this kind of service (sections 7 and 8).
1 other recent work has looked at interventions for young people with learning disabilities and behaviour that challenges (Iemmi et al 2016). We would also draw attention to a forthcoming review of the international economics evidence by our LSE colleague David McDaid. In other LSE-based work, funded by The Shirley foundation, we are looking at the economic case for interventions in support of young people and adults with autism spectrum disorder.
In section 9 we pull together some over-arching conclusions from our empirical work, and in section 10 we offer some recommendations.
We completed our report in october 2014, but we have updated it to July 2015.
3. LITERATuRE REVIEW
A comprehensive literature review of the scientific and grey literatures was carried out.
We searched ten electronic databases (PubMed, EMBASE, PsycINfo, EconLit, ADoLEC, CENTRAL, Cochrane Database of Systematic Reviews, DARE, HTA, NHSEED) in July 2013, and we updated the search in february 2014, and again in April 2015. The search strategy combined keywords for adolescent and young adult, mental health, and economics. Searches were not limited by publication date. References were screened by title and abstract, then the full text of each included article was retrieved and screened. Articles were included against the following inclusion criteria: mental health and economics, studies involving adolescent populations (13–18 years) or young adults (19–35 years). Both quantitative and qualitative study designs were included. Publications on developing countries were excluded given the aims of the study (focused on the uK). We excluded studies focusing on specific groups or conditions only (e.g. young offenders). In addition, we snowballed reference lists of previous reviews, we searched relevant websites (e.g. DH, NICE, NICE-Pathways, SCIE, Royal College of Psychiatrists, Mental Health foundation, Eu-DG SANCo, WHo-Europe, WHo) and we contacted experts in the field to gather more information about existing services or ongoing studies.
We identified 50 references, of which 15 were cost or economic studies and 35 intervention studies (see Appendix 1). Table 1 summarises the characteristics of the included studies. out of the 35 intervention studies, 28 evaluated non-pharmacological interventions, one a pharmacological intervention, and six the organisation of care. Non-pharmacological interventions included cognitive behavioural therapy (11), family therapy (4), group therapy (1), psycho-education (2), dance (1), intensity exercise programme (1); school-based mental health screening (3), prevention programme (1), neuroimaging screening (1), and public education (1). The pharmacological intervention used methylphenidate. Studies on organisation of care included early intervention programmes (4), rapid response treatment (1), and inpatient/outpatient services organisation (1). further details are provided in Appendix 1. out of the six evaluating the costs and/or savings of mental health services for the 16 to 25 age group in the uK (or elsewhere), four of them focused on early intervention programmes for psychosis, one on rapid response treatment for suicide, and one on inpatient/outpatient services for anorexia.
Table 1. Characteristics of included studies
| | Cost studies (n=15) |
|---|---|
| Country | |
| Australia | 0 |
| Canada | 0 |
| Hong Kong | 0 |
| Italy | 0 |
| Norway | 0 |
| Sweden | 0 |
| The Netherlands | 2 |
| united Kingdom | 2 |
| united States | 11 |
| Disorder | |
| Schizophrenia and psychosis | 1 |
| Bipolar disorders | 1 |
| Anxiety | 1 |
| Depression | 2 |
| Anxiety/Depression | 1 |
| Eating disorders | 1 |
| Personality disorders | 1 |
| Hyperkinetic disorders | 4 |
| Self-harm and suicide | 0 |
of the few available published evaluations of youth mental health services in the uK, an evaluation of the Youthspace service for 16 to 25 year olds in Birmingham showed higher levels of engagement, lower numbers of 'Did Not Attends' (DNA), and high levels of acceptability (Singh 2012). Results for youth advice services for 14 to 25 year olds (Balmer & Pleasence 2012) showed an improvement in mental health and related stressors, in particular housing, with associated cost savings over and above the cost of providing the service. 2 There are now many studies examining the effectiveness of some interventions (e.g. as summarised by the fonagy et al 2014), but very little is known about their cost-effectiveness.
This is clearly a new area as far as specialist provision and focused research are concerned, and one that needs a much more extensive and consistent body of research. The very few published papers in the area mentioned a scarcity of evaluations in mental health prevention or services for young people.
4. SERVICE MAPPING
A mapping exercise of youth mental health services in the uK aimed to provide a picture of existing mental health services for young people and to identify services that we might contact for potential economic evaluations. for each service identified we collected information regarding the type of service, provider, targeted age group, contact person, and any data or evaluations of the services currently available. In the initial stage we identified approximately 50 services. We have not detailed the service mapping findings here for reasons explained below.
These services varied in objectives and structure, and in the treatment and interventions they offered. Some focused on a particular gender, ethnic or cultural group or condition. Provision was by the NHS, local authorities, the voluntary sector, or partnerships between them. The mapping exercise highlighted many examples of good youth-focused service models, with some innovative approaches to care and support of young people aged 16 to 25, a broad-based and flexible approach to both mental health issues and the factors that may lead to, or exacerbate it such as issues with school, college or university, family and friends, housing, finance, substance misuse and employment, with a focus on promotion, prevention and treatment.
The service mapping illustrated that provision of youth-focused mental services in the uK is an emergent, in-flux, service area. While new services are emerging, some existing ones are also closing, shrinking or changing their focus, in particular their user group. Provision for this age group is still very low, patchy and sometimes transient.
2 In Australia, the evaluation of the headspace programme for this age group (Muir 2009) found that headspace has been effective in promoting and facilitating improvements in some young people's mental and physical health, alcohol and drug use, and their social and economic participation.
funding cuts to mental health and social care services, youth services and local authority budgets are likely to have had, and continue to have, massive impacts on the ability of new, innovative services to continue, expand or to set up in the first place, and informal discussions with practitioners and commissioners confirmed these difficulties. Several of the services in the initial mapping exercise that we conducted had changed or ceased to exist when we later reviewed the map. We therefore have not appended the service mapping details to this report because it would no longer be an accurate reflection of provision.
The service mapping exercise did however guide our approaches to services to explore the possibility of conducting an economic evaluation. We approached a number of services and although there was enthusiasm from many that we approached, they did not already collect the relevant outcome or service use data that we needed to be able to carry out our (modest) economic evaluations. (our small study did not allow for the possibility of collecting primary data.) However, it proved possible for us to work in fruitful collaboration with two local specialist youth-specific mental health services – Tower Hamlets Early Detection Service (THEDS), and Norfolk and Suffolk Specialist Youth Mental Health Service. Staff in these services kindly made available data (in anonymised form, of course) that they had already collected for young people who had used their services. In sections 7 and 8 we describe findings from our analyses of data made available to us by those two local services.
5. ANALYSES fRoM THE BRITISH CHILD AND ADoLESCENT MENTAL HEALTH SuRVEY
5.1 Epidemiological data: introduction
Before describing our work in the two locality-based studies, we first report our explorations of the data collected in two nationally representative epidemiological surveys. In this section we focus on the British Child and Adolescent Mental Health Survey (BCAMHS), and in section 6 we report analyses of data collected in the Adult Psychiatric Morbidity Survey (APMS).
our aim with the BCAMHS data was to look at the cost of support for young people with mental health issues, and to explore whether those costs were associated with the characteristics and circumstances of young people and their families.
5.2 Methods
The BCAMHS was the first nationally representative epidemiological survey of child and adolescent mental health (internationally, not just in the uK). It initially collected data for
10,438 children and adolescents aged 5–15 years in Great Britain in 1999 (Meltzer et al 2000). from the full sample we extracted the data on those young people aged 12–15 years at the baseline assessment.
Data on service use as a result of emotional or behavioural problems had been collected for a subsample of individuals for a period of three years after the baseline survey. Services can be grouped into six broad categories:
* Primary care costs – contact with GPs and health visitors.
* Paediatrics and child health service costs – contact with paediatricians, paediatric inpatient stays, community nurses, school nurses, dieticians, physiotherapists, occupational therapists, speech therapists and visits to accident and emergency departments.
* Mental health service costs – contact with child psychiatrists, child psychiatric inpatient stays and child psychiatric day hospital visits, counselling services provided in school and elsewhere, psychologists, family therapists, and community psychiatric nursing staff.
* frontline education resources – parental meetings with teachers, extra help provided in the school by teaching staff and learning support assistants, contact with special educational needs officers and involvement with special educational needs tribunals.
* Special education resource costs – attendance at special schools and contact with educational social workers and educational psychologists.
* Social care services – social services assessments, contact with a social worker and use of respite care.
The collection methods involved a mix of postal questionnaires and telephone interviews. Data on 2,461 children and young people were obtained on three occasions (baseline, two years later, and a further one year later). our analyses included all children and young people in the survey reported to receive some response from health, social care or school-based services as a direct result of concerns about 'emotions, behaviour and concentration', irrespective of whether those problems were sufficient for ICD-10 diagnosis. Interviewers graded the quality of responses and filtered out inappropriately reported service contacts. (for example, additional educational support related to dyslexia was not seen as mental health-related service use; in contrast, seeing a school doctor for assessment of special educational needs linked to autism was appropriate for inclusion.)
We attached costs to the reported service use patterns at 2007/08 price levels (the base for previous work we had undertaken in this area, but easily uprated to today's cost levels using a general inflator). further details on the methods for data collection, the sampling procedures and the costing are given in two recent papers, and these
also provided the platform for the new work reported here for youth mental health (Snell et al 2013, Knapp et al 2015).
We then carried out two sets of analyses. In the first we calculated total and component costs for each individual, based on the data on their contacts with nearly 30 types of services or professionals at each time period. Multiple imputation was used to replace missing individual cost values. (Details in Snell et al 2013, although the estimates presented here are for a subset of the children and young people whose costs are reported in that paper.) We calculated the mean costs by category and overall, and described how those costs varied by type of mental health issue.
In the second set of analyses we were interested in the patterns of association between characteristics of young people and their families (as assessed at baseline) and mental health-related costs in the subsequent three years. our analyses were based on two-part models (Duan et al 1983). The first part looked at the processes that drive the likelihood of any service use for each of five service groups in turn: primary care, specialist mental health services, frontline (i.e. standard) education, special education (i.e. for children with special needs) and social care contacts. These first-part analyses used logit models to examine factors associated with service contacts, with the dependent variable taking the value 1 if the individual had any service receipt (by category) in the follow-up period, and the value 0 if not. The second part looked at the factors that determine volume of resource use (cost) for those young people using at least some services. We estimated generalised linear models (GLM) with a log-link function (McCullagh & Nelder 1989), using Manning & Mullahy's (2001) algorithm to inform model selection. Details of these methods are given in Knapp et al (2015), although again the estimates presented here are for a subset of the children and young people whose costs are reported in that paper.
5.3 Results
Contacts with services
Across the full sample, most 12–15-year olds (84%) were not in contact with services as a direct result of concerns about 'emotions, behaviour and concentration'. for those 12–15 year olds with mental health issues at baseline, more than half (55%) had no contact with services in connection with their mental health needs (Table 2).
Costs by service category
for the group of young people aged 12–15 at baseline assessment (and so who were aged 15–18 by the end of the follow-up period), we found that annual mental healthrelated average costs over the three-year follow-up period were £24 for primary care, £30 for paediatrics, £60 for mental health services, £100 for social care, but £908 for frontline education and £656 for special education resources (Table 3).
Table 2. BCAMHS: young people NOT in contact with services as a direct result of concerns about 'emotions, behaviour and concentration'
| Service type | full sample |
|---|---|
| Primary care | 90% |
| Mental health | 94% |
| frontline education | 96% |
| Special Education | 97% |
| Social Care | 97% |
Table 3. BCAMHS: mean costs per person over three-year follow-up for individuals with psychiatric disorder (n=182)
| Primary care | 70.96 | 28.25 | 113.67 |
|---|---|---|---|
| Paediatrics/children’s health services | 89.88 | 29.94 | 149.81 |
| Mental health services | 180.98 | 100.14 | 261.83 |
| frontline education resources | 2724.71 | 699.33 | 4750.09 |
| Special education resources | 1967.05 | 571.12 | 3362.99 |
| Social care services | 300.41 | 73.18 | 527.64 |
Costs by disorder
This same broad cost distribution applied whether these adolescents had hyperkinetic, conduct or emotional disorders. Summing these mental health-related service costs (i.e. health, social care and education together), the mean annual cost was £2,780 for 12–15 year olds with hyperkinetic disorders, £1,789 with conduct disorders and £1,353 with emotional disorders (Table 4).
Cost variations
We examined these economic data further, because we observed such marked interindividual variations in the utilisation of services and in costs, and wanted to see if there were any consistent patterns of association with child and family characteristics and circumstances. The child and family characteristics that we were able to include in each part of the analyses are listed in Table 5.
We do not provide the full results here for each service group, but in Table 6 we summarise the findings from the two-part models for all services considered together. We found a number of things that appeared to be significantly associated with utilisation of services and/or costs, including: the level of 'impact' (as measured by the Strengths and Difficulties Scale); reading attainment; the adolescent's age, gender and ethnicity; maternal age at the time of the sample member's birth; maternal anxiety and depression; social class; family size and family functioning. It should be noted that the sample size is modest for some analyses (for example, it is only 41 for those with nonzero costs), and this may have affected our ability to detect significant associations and may also leave the estimates susceptible to the influences of idiosyncratic individuals. Discussion of cost variation by service group and after accounting for outliers is available in Knapp et al (2015), although results consider a broader age spectrum than is included here.
5.4 Discussion of BCAMHS findings
When looking at the mental health-related service costs associated with adolescent mental health issues, the largest cost contribution by far was made by the education sector – much greater than the costs incurred in the health or social care sectors.
The analyses of service use and cost variations showed that there were certainly some significant associations with the characteristics and circumstances of young people and their families, although sample size sometimes made it hard to be confident about the precise results. We should also note that the age group studied (12–15 years at baseline; 15–18 years by the end of follow-up) is at the very youngest end of the range usually associated with 'youth mental health' services.
Table 4. BCAMHS: mean costs per young person over three-year follow-up by psychiatric disorder (n=182)
| | Mean cost/ young person | 95% CI lower upper | |
|---|---|---|---|
| Hyperkinetic disorders | | | |
| Primary care | 21.94 | -7.69 | 51.56 |
| Paediatrics/children’s health services | 89.99 | -47.46 | 227.44 |
| Mental health services | 540.73 | 151.68 | 929.77 |
| frontline education resources | 2723.35 | -1076.25 | 6522.94 |
| Special education resources | 3876.19 | -2361.77 | 10114.20 |
| Social care services | 1089.19 | -831.78 | 3010.16 |
| Total cost | 8341.38 | 95.77 | 16587.00 |
| Conduct disorders | | | |
| Primary care | 66.79 | 14.23 | 119.35 |
| Paediatrics/children’s health services | 76.88 | 13.17 | 140.59 |
| Mental health services | 187.55 | 67.34 | 307.77 |
| frontline education resources | 2907.54 | -167.17 | 5982.24 |
| Special education resources | 1768.04 | -674.36 | 4210.43 |
| Social care services | 359.19 | 76.56 | 641.81 |
| Total cost | 5365.98 | 1688.05 | 9043.91 |
| Emotional disorders | | | |
| Primary care | 94.61 | 4.77 | 184.46 |
| Paediatrics/children’s health services | 113.25 | -14.31 | 240.81 |
| Mental health services | 98.26 | -1.61 | 198.12 |
| frontline education resources | 2745.95 | -969.78 | 6461.69 |
| Special education resources | 948.71 | -446.91 | 2344.32 |
| Social care services | 57.83 | -45.94 | 161.59 |
| Total cost | 4058.60 | 86.79 | 8030.41 |
Table 5. BCAMHS: Child and family characteristics and circumstances examined as possible cost correlates
Table 6. BCAMHS: predictors of service use (full sample) and costs (individuals with non-zero service use)
| Baseline measures | Any service use (n=853) | | |
|---|---|---|---|
| Child characteristics | ß | P | ß |
| Age | -0.11 | 0.20 | 0.44 |
| Gender (male) | -0.15 | 0.42 | 0.55 |
| Ethnicity (white) | 0.24 | 0.58 | 0.00 |
| SDQ impact score | 0.44 | 0.00 | 0.26 |
| Reading test | -0.18 | 0.10 | -0.90 |
| family characteristics | | | |
| Large family | -0.14 | 0.86 | 0.00 |
| Single parent family | 0.41 | 0.06 | -0.79 |
| family functioning | 0.04 | 0.42 | -0.17 |
| Parent characteristics | | | |
| Social class of parents | 0.02 | 0.81 | 0.14 |
| Age of mother at birth of child | 0.00 | 0.97 | 0.05 |
| Parental GHQ | 0.09 | 0.00 | -0.41 |
| Constant term | -1.64 | 0.33 | 3.07 |
6. ANALYSES fRoM THE ADuLT PSYCHIATRIC MoRBIDITY SuRVEY
6.1 Adult epidemiological data: introduction
We used data from a second nationally representative epidemiological survey: the 2000 Adult Psychiatric Morbidity Survey (APMS). This survey does not have such detailed information on service use by sample members as BCAMHS, and so we were not able to estimate the costs of support in the same way. on the other hand, the survey design included an 18-month follow-up with information on employment and education, and it covers an age range directly relevant to our study (from aged 16 upwards). We therefore used the APMS to explore patterns of contact with mental health services and some activity 'outcomes' (employment, education and training; benefits receipt; criminal justice system contacts), and to compare young people aged 16–25 with the rest of the adult population (aged up to 74).
6.2 Methods
The APMS that was conducted in 2000 collected data from a nationally representative sample of people aged 16–74 years. The overall sample comprised 8580 adults (Singleton et al 2001). Although not used in the main reports from the survey, the design included an 18-month follow-up collection from sample members, for which some analyses were carried out – across the full age range covered by the survey in 2000 – by the survey authors (Singleton & Lewis 2003). our main interest here was in survey participants aged 16–25 at the first assessment, particularly those who were assessed as having a mental health issue. for this we used the definition of mental health issue employed by the researchers who conducted and originally analysed the APMS data: a score on the Clinical Interview Schedule – Revised (CIS-R) (Lewis et al 1992) of 12 or higher. The CIS-R is a survey instrument designed to assess minor psychiatric disorders in community settings based on respondent self-report of the presence, frequency and severity of symptoms associated with psychiatric problems and disorders.
Specialist mental health services can be defined with these data as GP visits, inpatient stays and outpatient visits (in each case where linked to mental health issues), community mental health centres, psychiatrists, psychologists, community psychiatric or learning disability nurses, psychotherapy, cognitive behavioural therapy, counselling or central nervous system drugs.
outcomes of interest to us were employment, education and training; receipt of benefits and contact with the criminal justice system (CJS); and costs. It was only possible to measure costs at baseline, and we should note that these are contemporaneous with the assessment of characteristics (including mental health
status), which makes it hard to interpret associations and certainly impossible even to hint at causality.
In our analyses we adjusted for baseline covariates such as age, gender and CIS-R score.
6.3 Results
Contact with specialist mental health services
The APMS shows that rates of psychiatric morbidity were very similar across most age bands up to age 65 (32% for those aged 16 to 25 years, 31% among those aged 26 to 45, 35% among those aged 46 to 65) and then lower (18%) among those aged 66 to 74. However, the percentages receiving mental health services show a very different pattern. At baseline, looking at those people assessed as having a mental health issue, the proportions using mental health services were:
* 54% for those aged 26 to 45
* 65% for those aged 46 to 65
* 79% for those aged 66 to 74
* but only 45% for those aged 16 to 25 (see Table 7).
Table 7. APMS: breakdown of longitudinal sample by mental health status and receipt of mental health services at baseline
| Age in years | Without mental health problems/ disorders | |
|---|---|---|
| | | Receiving services |
| 16 to 25 (n=244) | 166 (68.0%) | 35 (44.9%) |
| 26 to 45 (n=1,026) | 708 (69.0%) | 172 (54.1%) |
| 46 to 65 (n=878) | 571 (65.0%) | 200 (65.2%) |
* CIS-R total score of 12 or higher.
Chi-squared test of significance of association between receipt of services and age group, among those with a mental health need, result: Pearson chi 2 (3)=21.98; p-value=0.001.
In the last (youngest) age band, the disaggregation reveals an enormous challenge in this area: 58% of those aged 16–20 with a mental health issue were using mental health services, but only 36% of those aged 21–25.
When we break down the figures by severity of mental health issue (Table 8) the contrast between the different adult age groups is even greater. for people with a severe mental health issue, the proportions in contact with mental health services at baseline were:
* 71% for those aged 26 to 45
* 76% for those aged 46 to 65
* 91% for those aged 66 to 74
* but only 54% for those aged 16 to 25.
The treatment gap for severe disorders is clearly much bigger for young people than for older age groups, yet these are disorders that can have considerable and devastating life-long impacts.
Table 8. APMS: breakdown of longitudinal sample by severity of mental health problem and receipt of mental health services at baseline
| Age in years | Without mental health problems /disorders (CIS-R score 0–11) | Common mental disorder or mild/moderate mental disorder (CIS-R score 12–17) | | |
|---|---|---|---|---|
| | | Receiving services | Not receiving services | Receiving services |
| 16 to 25 (n=244) | 166 (68.0%) | 14 (35.9%) | 25 (64.1%) | 21 (53.9%) |
| 26 to 45 (n=1,026) | 708 (69.0%) | 59 (37.1%) | 100 (62.9%) | 113 (71.1%) |
| 46 to 65 (n=878) | 571 (65.0%) | 89 (55.6%) | 71 (44.4%) | 111 (75.5%) |
It is good to note, however, that young people (aged 16–25) with mental health issues were more likely to use services (inpatient, outpatient, social care) than those without a mental health issue (see Table 9). Costs were also higher at baseline for those with mental health issues.
Table 9. APMS: circumstances at baseline for young people (age 16 to 25) by whether or not they had a mental health problem
| % in employment | 87.4 |
|---|---|
| % NEET | 16.3 * |
| Service use | |
| % had inpatient stay | 1.2* |
| % used outpatient services | 12.7* |
| % used social care services | 2.4* |
| Annual cost of health & social care: median (IQR) | 30 (0–30)**^ |
| % receiving benefits | 13.9* |
| Annual cost of health & social care and welfare benefits: median (IQR) | 60 (30–484)** |
* p<0.05; ** p<0.01
^ higher in subgroup without mental health problems/disorders.
Also, when focusing exclusively on young people with mental health issues, we found that those who were receiving mental health services had higher annual costs (median of £60) than those who were not receiving mental health services (median £30; see Table 10). (As noted earlier, we were not able to look at costs at the 18-month point because available data did not allow these to be calculated.)
Table 10. APMS: circumstances at baseline for young people (age 16 to 25) by whether or not mental health care received at baseline for those judged to have a mental health problem
| | No mental health care received (n=43) | Mental health care received (n=35) |
|---|---|---|
| % in employment | 83.3 | 89.5 |
| % NEET | 16.3* | 40.0* |
| Service use | | |
| % had inpatient stay | 2.3 | 11.4 |
| % used outpatient services | 20.9 | 31.4 |
| % used social care services | 4.7 | 14.3 |
| Total cost of health and social care: median (IQR) | 30 (30–30)** | 60 (60–367)** |
| % receiving benefits | 18.6 | 37.1 |
| Total cost of health, social care and welfare benefits: median (IQR) | 598 (30–2,419)** | 1,630 (431–5,855)** |
* p<0.05; ** p<0.01
Employment, education and training
We looked to see what impact having a mental health issue might have on employment, education and training, both at the time of the baseline assessment and at the time of the 18-month follow-up. We looked at these three outcomes singly and in combination (the so-called NEET indicator: not in education, employment or training). We focussed on sample members aged 16–25 at the baseline assessment.
from Table 9 we can see that – at baseline – young people with mental health issues were significantly more likely to be NEET than those without such issues (27% vs 16%). However, within this group of young people with mental health issues it is those who are not receiving mental health services for whom the risk of being NEET is lower (16% vs 40%; see Table 10). The interpretation of this latter result is complicated by the fact that we are looking at cross-sectional data at this point.
We therefore turned to the data at 18-month follow-up, and used logistic regression analyses to examine whether NEET status at follow-up assessment was linked to having a mental health issue at baseline and – for those with a mental health issue – whether NEET status was linked to receiving mental health services. In these analyses we adjusted for some covariates: NEET status at baseline, age, gender and severity of psychiatric morbidity (as measured by CIS-R score).
In both analyses, the most important predictor of NEET status at 18 months was NEET status at baseline (Tables 11 and 12); for example, for the full sample of 244 young people, an individual who was NEET at baseline was 8.9 times more likely to be NEET at follow-up than someone who was not NEET at baseline. These continuities over time are particularly relevant given that we have shown that having a mental health issue increases the chances of being NEET at baseline (Table 9). over and above these continuities, having a mental health issue at baseline appeared to further increase the likelihood of being NEET at 18 months although the coefficient did not achieve statistical significance.
The only other significant influence on NEET status at follow-up was gender: females were more likely to be NEET than males.
When focusing only on those young people with mental health issues, we found no significant differences in NEET status between those who were or were not in contact with mental health services at baseline (Table 12).
Receipt of benefits
An obvious corollary of our findings on employment, education and training is that young people with mental health issues are significantly more likely to be on benefits than those without mental health issues (27% vs 14%; Table 9). Within the group of young people with mental health issues, the percentage looks higher for those not receiving mental health services (37% vs 19%; Table 10) but in fact the difference is not
Table 11. APMS: logistic regression model of NEET status 18-month follow-up for young people (age 16 to 25)
| NEET at time 1 (relative to being in employment, education or training) | 8.9** | 4.0 to 20.0 |
|---|---|---|
| With mental health problem at time 1 (relative to not having mental health problem) | 2.4 | 0.6 to 9.4 |
| CIS-R score at time 1 | 1.0 | 0.9 to 1.1 |
| Age | 1.0 | 0.9 to 1.1 |
| Gender – male relative to female | 0.3* | 0.1 to 0.9 |
| Constant | 0.2 | 0.0 to 3.4 |
Table 12. APMS: logistic regression model of NEET status 18-month follow-up for young people (age 16 to 25) judged to have a mental health problem at baseline
| n=78 | odds-ratio (of being NEET at time 2) |
|---|---|
| NEET at time 1 (relative to being in employment, education or training) | 7.9** |
| Receiving mental health services at time 1 (relative to not receiving services) | 1.1 |
| CIS-R score at time 1 | 1.0 |
| Age | 1.1 |
| Gender – male relative to female | 0.2 |
| Constant | 0.0 |
* p<0.05; ** p<0.01
Table 13. APMS: logistic regression model of receipt of benefits at 18-month followup for young people (age 16 to 25)
| Receiving benefits at time 1 (relative to not receiving benefits at time 1) | 18.3** | 6.7 to 49.8 |
|---|---|---|
| With mental health problem at time 1 (relative to not having mental health problem) | 2.9 | 0.6 to 14.4 |
| CIS-R score at time 1 | 1 | 0.9 to 1.1 |
| Age | 1 | 0.8 to 1.2 |
| Gender – male relative to female | 0.4 | 0.1 to 1.1 |
| Constant | 0.1 | 0.0 to 4.4 |
significant. Adding the costs of benefits to the costs of health and social care services used, we can see that the public sector spending implications are considerable (Tables 9 and 10).
Looking at the 18-month follow-up data, we found very strong continuities over time in relation to receipt of benefits (using a similar logistic regression approach to that used for NEET), both for the full sample (Table 13) and the subsample with mental health issues (Table 14). over and above these continuities, having a mental health issue at baseline appeared to further increase the likelihood of receiving benefits at 18 months although the association was not statistically significant. Interestingly and importantly, among the group with mental health issues, those getting treatment were much more likely to be receiving benefits, which – given that those getting treatment did not have a different NEET status from those not in treatment – appears to show that the mental health services are helping young people to secure their benefit entitlements. Within this group, males were less likely to be receiving benefits than females (Table 14).
Contacts with criminal justice services
At the 18-month follow-up, the most important influence on contacts with criminal justice agencies was reporting similar contacts at baseline (Tables 15 and 16). In addition, within the full sample of young people, those with a mental health issue at
Table 14. APMS: logistic regression model of receipt of benefits at 18-month followup for young people (age 16 to 25) judged to have a mental health problem at baseline
| n=78 | odds-ratio (of being NEET at time 2) | 95% confidence interval |
|---|---|---|
| Receiving benefits at time 1 (relative to not receiving benefits at time 1) | 65.4** | 6.8 to 626.7 |
| Receiving mental health services at time 1 (relative to not receiving services) | 6.0* | 1.0 to 37.7 |
| CIS-R score at time 1 | 0.9 | 0.8 to 1.0 |
| Age | 1.0 | 0.7 to 1.3 |
| Gender – male relative to female | 0.0* | 0.0 to 0.7 |
| Constant | 0.5 | 0.0 to 569.7 |
* p<0.05; ** p<0.01
Table 15. APMS: logistic regression model of contact with criminal justice services at 18-month follow-up for young people aged 16 to 25
| Criminal justice contact at time 1 (relative to no criminal justice contact time 1) | 9.9** |
|---|---|
| With mental health problem at time 1 (relative to not having mental health problem) | 8.2* |
| CIS-R score at time 1 | 1.0 |
| Age | 0.9 |
| Gender – male relative to female | 1.8 |
| Constant | 0.0 |
Table 16. APMS: logistic regression model of contact with criminal justice services at 18-month follow-up for young people (age 16 to 25) judged to have a mental health problem at baseline
| Criminal justice contact at time 1 (relative to no criminal justice contact time 1) | 9.0* | 1.5 to 53.6 |
|---|---|---|
| Receiving mental health services at time 1 (relative to not receiving services) | 0.8 | 0.1 to 4.6 |
| CIS-R score at time 1 | 1 | 0.9 to 1.1 |
| Age | 0.9 | 0.7 to 1.3 |
| Gender – male relative to female | 1.5 | 0.3 to 7.1 |
* p<0.05; ** p<0.01
baseline (compared to not) were eight times more likely to have contact with criminal justice services 18 months later (Table 15). There were no other significant influences on criminal justice service contacts.
6.4 Discussion of APMS findings
The APMS in 2000, with its nationally representative sample and its 18-month followup, allowed us to see what links there might be between baseline characteristics (especially psychiatric morbidity) and subsequent contacts with mental health and other services, as well to see what happened in terms of employment, education or training achievement, in benefit receipt and in contacts with the criminal justice system.
We found that young people aged 16–25 are particularly disadvantaged relative to other age groups: the treatment gap is much wider for these young people than it is for other age groups. The gap is especially wide for those aged 21–25. The contrast between young people and older adults (i.e. those aged 26 or above) was even more marked in relation to severe mental disorders, which is particularly worrying.
for the group of people in the survey sample aged 16–25, mental health issues were strongly associated with being NEET (not in employment, education or training) and
receipt of benefits. over the follow-up period, being in contact with mental health services appeared to be associated with a greater likelihood of receiving benefits, other things being equal, which testifies to the wider support role often played by these services. We also found that young people with mental health issues were much more likely than those without issues to have contact with criminal justice services over the next 18 months.
The small sample size – particularly for those with mental health issues – has probably limited our ability to find statistically significant differences. The data are also now quite old, although nothing comparable has been collected in the period since, and – from the anecdotal evidence often reported in this youth mental health area – we believe that these findings continue to have relevance today.
7. ToWER HAMLETS EARLY DETECTIoN SERVICE
Returning to our work in the two locality-based studies, we first describe the Tower Hamlets Early Detection Service (THEDS).
7.1 Intervention
THEDS was set up in 2009 to provide assessment and support service for 16–25 year olds in Tower Hamlets in London who may be at risk of suffering from a psychotic illness. The main focus is preventing or delaying the onset of psychosis; however, the service's remit also covers young people who are in distress.
There are three strands to the service. All young people who are referred or selfreferred are offered a three-month brief intervention incorporating medical review by a psychiatrist, psychological assessments, information about how to keep mentally well, signposting to other services, and access to work and training opportunities. Those assessed as being at ultra-high risk (uHR) of developing psychosis – using the Structured Interview of Prodromal Symptoms (SIPS) and the Scale of Prodromal Symptoms (SoPS) measures – are provided access to the service's two-year intervention. This includes an allocated caseworker, access to psychological therapies, family intervention, biopsychosocial interventions and work and training support. Those who show symptoms of psychosis are referred to a specialist early intervention in psychosis service. The third strand of the service is mental health promotion and education work in the community. our analysis focuses on the second strand of the service which was offered to 28% (41) of the young people assessed. our sample was 20 young people who met the SIPS/SoPS criteria for being at uHR of psychosis and completed two years treatment, and for whom pre-, during- and post-treatment data were available.
Tower Hamlets Borough has a high proportion of people from Black and Minority Ethnic (BME) backgrounds – 55% compared to 14% nationally (office for National Statistics 2012) – and in 2010 was the seventh most deprived local authority district in England out of 326 (Greater London Authority 2011). Between 2009/10 and 2011/12 Tower Hamlets had the seventh highest standardised hospital admission rate for mental illness in London (source: Tower Hamlets Clinical Commissioning Group).
7.2 Methods
Outcome measures
We used outcomes that concurred with the aims of THEDS with regard to the young people at high risk: to improve mental health, prevent it from becoming more severe, and improve social functioning, one measure of which is employment. The outcome measures used are: change in mental health status as measured by Global Assessment of functioning (GAf) score (Aas 2010) and change in proportions in employment. GAf is a numeric score, given by clinicians at THEDS to quantify the severity of a person's psychological symptoms and functioning. The scale ranges from 1 to 100, with 1 being the most severe, but can also be broken down into 'severity' groups of ten. We also looked at change in use of hospital admissions, accident and emergency (A&E) and the criminal justice system (CJS).
Analysis
We utilised a pre-, during- and post-treatment comparative design with each young person acting as their own control, a method used by Green et al (2007). It was not possible to find a parallel comparison group because of differences in time of collection or characteristics of participants in available datasets, and because of practical (and indeed ethical) issues in obtaining data about young people who do not use mental health services. We analysed data already routinely collected by THEDS from 2010 to 2012. Ethical approval was obtained from the Caldicott Guardian of the NHS Trust in which THEDS is located. Data have been anonymised.
for mental health we compared GAf severity category at baseline to end of treatment at year 2. for employment, we compared each young person's employment status (employed/not employed) at baseline to status over the two years of the intervention. The cost of employment was estimated using the human capital approach, which uses potential wages lost or gained (e.g. Park et al 2015). for this we used the national minimum wage. It may be that this is an underestimate because not all of those young people gaining employment will be on the minimum wage and in fact the median earnings for this age group are higher. We assumed an average full-time working week is 35 hours and that there are 48 working weeks in one year. We use a definition of part-time as half-time. Additionally we looked at gained tax revenues and saved unemployment-related state benefits. for benefits, we used a mean of Job Seekers
allowance (JSA) and Income Support (IS) because we did not know which of the two the young people were in receipt of. It is possible to get JSA or IS if working part time and on a low income so we did not assume that the part-time workers are on either benefit.
for service use, we compared number of A&E visits and hospital admissions in the three months pre-baseline to use during the two-year treatment period and in the year after discharge. We compared CJS contact in the three months pre-baseline to contact during the two-year treatment; data were not available for the year after discharge. To calculate service costs we applied relevant national unit costs to the difference in hospital admissions (Curtis 2013), use of A&E (Department of Health 2012) and CJS (Home office 2011). The data available for pre-baseline were for a three month period. for comparison purposes this was multiplied by four to give an annual use. This assumes that service use was constant over that time, which may not be the case and so could be an over- or underestimate, but we do not know which.
for hospital admissions, we multiplied the unit cost by the average stay for adults in Tower Hamlets, which was 36 days in 2013 (Tower Hamlets Clinical Commissioning Group 2013). This length of stay is for all ages and it may be higher for young people: for those aged under 18 in 2007, length of inpatient stay was 116 days in one uK study (Green et al 2007). for the CJS unit cost a mean cost has been used for all offences excluding homicide. Costs were discounted for year two and year three using the uK government HM Treasury discount rate of 3.5% (HM Treasury 2014).
The annual cost of providing THEDS was derived from estimates provided by THEDS for a snapshot caseload of 100 young people at uHR of psychosis using the two-year treatment programme. THEDS costs were also discounted for year two.
7.3 Results
Participants
The sample size was 20 young people. The mean age was 21 years, range 18 to 27. of these, 59% were male and 82% were from a BME background, mainly Bangladeshi or British Bangladeshi. All had mental health symptoms at baseline as measured by having a GAf score of less than or equal to 70, were considered at 'ultra-high risk' (uHR) of developing psychosis according to the SIPS/SoPS criteria, did not transition to psychosis and completed two years of treatment. At baseline, 60% were unemployed, 45% had a history of self-harm, 40% used alcohol and/or cannabis, and 45% had experienced domestic abuse either as a child, an adult or both. for illustrative purposes, we also describe below three 'typical' case studies of young people who followed different pathways through THEDS. The names and details changed to ensure anonymity.
Unmet need
Just under half (45%) of those commencing two-year treatment at THEDS – all of whom were judged to be at high risk of developing psychosis and who were showing symptoms of mental illness – were not receiving mental health services during the previous three months. The case studies further show the difficulties the young people had with accessing or engaging with services and their complicated trajectories to the care they need (see below).
Mental health
As can be seen from Table 17, 75% of those with mental health symptoms at baseline showed an improvement in mental health at the end of two years' treatment, 25% stayed within the same severity category and none showed worse mental health.
Table 17. THEDS sample: change in mental health from baseline to end of treatment
| | All (n=20) | | |
|---|---|---|---|
| | | Severe (GAf score 1–50) (n=13) | Moderate (GAf score 51–60) (n=6) |
| Improvement | 75% (n=15) | 77% (n=10) | 83% (n=5) |
| No change | 25% (n=5) | 23% (n=3) | 17% (n=1) |
Note: Improvement is moving from a higher severity category to a lower one, worsening is moving to a higher severity category and no change is remaining within that severity category.
Table 18. THEDS sample: change in employment status from baseline to midand end-treatment
| | Change in employment status baseline to year one (n=14) | Change in employment status year one to year two (n=12) |
|---|---|---|
| unemployed to unemployed | 50% (n=7) | 33% (n=4) |
| unemployed to employed | 37% (n=5) | 17% (n=2) |
| Employed to employed | 14% (n=2) | 42% (n=5) |
| Employed to unemployed | 0% (n=0) | 8% (n=1) |
Employment
At baseline, 60% (n=12) were unemployed (see Table 18). five of those were employed by year 1 and a further two moved from unemployment to employment by year 2. Two were enabled to remain in employment from baseline to year 1, and five from year 1 to year 2.
Service use
Service use – hospital admissions, A&E and CJS – was lower after one year's treatment compared to baseline. After the second year of treatment, service use remained lower and for some services was further reduced (Table 19). for the year after treatment ended, A&E attendances and hospital admissions were zero. We do not have post-treatment information on use of CJS.
Costs
Reduction in service use is associated with total cost differences of £473,120 for the 20 young people; 70% (£332,095) associated with reduction in use of NHS services: A&E and hospital inpatient services (Table 20). Improved employment compared to baseline is associated with total cost differences of £148,305; however this is based on a very small sample size. This compares to a cost of £106,174 over the period for providing THEDS services to these 20 young people.
Table 19. THEDS sample: change in service use from baseline to mid-, end- and post-treatment
| Hospital admissions | 8 | -8 | +1 |
|---|---|---|---|
| A&E | 12 | -8 | 0 |
| CJS | 12 | -9 | -3 |
Note: service use is totalled number of contact across all 20 respondents
7.4 Discussion of THEDS findings
These results for THEDS suggest that, consistent with previous research (Green et al 2005; Centre for Economic Performance Mental Health Policy Group 2012), there is a great deal of unmet need for services among young people with mental health needs, with 45% of those assessed as being at high risk of developing psychosis, and already with symptoms, not receiving any mental health services in the three months before baseline (although there is a possibility that they were receiving mental health services at some point prior to this). It also shows the success of this service model in identifying and recruiting young people in need.
THEDS aims to improve or prevent increasing severity of mental illness and 75% of those receiving THEDS services showed improvements in mental health by end of treatment, while none worsened. This can be set in the context of the literature on the persistence of mental illness which suggests that between 50% and 75% of mental illness at this age persists or recurs in adulthood (Pine et al 1998; fombonne et al 2001; Kim-Cohen et al 2003; Costello et al 2005; Kessler et al 2005; Gladstone & Beardslee 2009). The case studies further illustrate the long history of issues expressed by some young people. These issues might have persisted had they not received specialist treatment, as happened in case study 3. THEDS has achieved its aim of improving mental health and preventing its increasing severity for a high risk group, and this is particularly positive because of the difficulties this age group have in accessing and engaging with services. furthermore, THEDS has a high number of service users from BME backgrounds who may have additional difficulties with accessing services (Chahal & ullah 2004; Street et al 2005).
THEDS also aims to improve social functioning, one measure of which is employment. Employment rates improved over treatment time, although the sample size is small.
Table 20. THEDS sample: costs of changes in outcomes and cost of providing THEDS
| | Difference: baseline to year 1 | | Difference: year 1 to year 2 | | Difference: year 2 to year 3 | | Total cost difference |
|---|---|---|---|---|---|---|---|
| | Unit | Cost | Unit | Cost | Unit | Cost | |
| Entered full time employment from unemployment | 4 | £42,404 | 1 | £10,243 | na | | £52,647 |
| Entered part time employment from unemployment | 1 | £5,300 | 1 | £5,121 | na | | £10,421 |
| Remained in full time employment | 1 | £10,601 | 3 | £30,728 | na | | £41,329 |
| Remained in part time employment | 1 | £5,300 | 2 | £10,242 | na | | £15,542 |
| Tax revenue on full time employment | 5 | £1,160 | 4 | £897 | na | | £2,057 |
| Receipt of state unemployment benefits | 5 | £14,840 | 4 | £11,471 | na | | £26,311 |
| Total employment-related cost differences | | £79,605 | | £68,700 | | | £148,305 |
| Inpatient | 8 | £123,840 | -1 | -£14,957 | 1 | £15,480 | £123,334 |
| Stayed out of inpatient | | | 7 | £104,696 | 7 | £108,360 | £205,831 |
| A&E | 8 | £864 | 0 | £0 | 4 | £432 | £1,267 |
| Stayed out of A&E | | | 8 | £835 | 8 | £864 | £1,642 |
| CJS | 9 | £61,631 | 3 | £19,849 | na | | £81,479 |
| Stayed out of CJS | | | 9 | £59,546 | na | | £59,546 |
| Total service-related cost differences | | £186,335 | | £169,969 | | £116,116 | £473,120 |
| Total | | £265,940 | | £238,669 | | £116,816 | £621,425 |
| Annual cost of THEDS treatment | | £54,000 | | £52,174 | | £0 | £106,174 |
The high baseline unemployment rate in the THEDS sample (60%) – compared to 31% of those young people referred to Youthspace (Singh 2012) and 20% for the population in this age group overall (office for National Statistics 2010) – emphasises the high level of need of the THEDS users, given that unemployment is both a consequence and a risk factor for mental illness (Prince's Trust 2014).
use of A&E, hospital admissions and CJS all decreased over the time of treatment and were zero by the end of treatment. one year after treatment at THEDS ended, use of all NHS secondary services including A&E and hospital admissions remained at zero. Case study 2 in particular shows the use of non-THEDS services before receiving THEDS and is consistent with the literature on this type of service use by young people with mental illness (Suhrcke et al 2008; Snell et al 2013). It can therefore be postulated that without treatment, service use would have remained high, and this is illustrated by case study 3 where the young person did not complete treatment. Research by Byford et al (2010) has shown that an improvement in GAf score reduces mental health service costs and this seems to be the case here, as none of the 20 individuals had returned to either THEDS or other mental health services within a year of leaving THEDS. It could be that participants lacked access to mental health services but as they are able to re-refer to THEDS if they need to do so, this seems an unlikely explanation.
overall cost differences for the 20 young people who completed treatment were substantial over the two years of treatment, and also where we have data for the year after, suggesting that THEDS more than meets its costs. We cannot estimate any longer-term costs because it is not known how long the improved mental health and other changes would be sustained. The finding that one year after treatment had ended, and in the absence of any more treatment, the young people had not returned to secondary services is encouraging, and the literature on the long-term outcomes and costs of untreated mental illness is indicative of longer-term savings (Bodden et al 2008; Suhrcke et al 2008; Centre for Mental Health 2010; Goodman et al 2011; Knapp et al 2002; Knapp et al 2011; Cartwright-Hatton 2013; Snell et al 2013; Beecham 2014), but conclusions about these have not been drawn here. Long-term evaluation is needed to look further at long term outcomes and cost savings for this age group.
overall, it is clear that THEDS supports young people who have traditionally accessed services proportionately less, who typically often fall through the gaps in 'standard' mental health services and who are in high need: at high risk of developing psychosis, not previously accessing mental health services, living in a highly deprived area, having high levels of unemployment and with histories of abuse, self-harm and substance use. The results from the THEDS youth-specific mental health service show that this is a model that appears to be successful, demonstrating improvements in mental health and social functioning and reducing service use for young people aged 16 to 25 who received two years' treatment, with associated cost differences in the short term and implications for longer-term cost savings.
Case study 1: Rohima. Completed two years' treatment
Rohima is a 20-year-old woman from a Bangladeshi background; she is a single mother with an 18-month old daughter. She is the second generation of Bangladeshi immigrants: her father, who had bipolar affective disorder, left the family home when she was growing up. She has a younger brother with an autistic spectrum disorder. Rohima did not have any special educational needs and obtained her A Levels with the view of pursuing a nursing course at university. She became pregnant while making applications for university and as a result did not pursue that career. She was also a survivor of sexual abuse in her early teens. She experienced domestic violence by her baby's father who was subsequently imprisoned for various offences.
following a move into temporary accommodation when her child was 8 months old Rohima felt isolated and started experiencing low mood and suicidal thoughts. She was referred to THEDS following attendance to A&E on a couple of occasions expressing suicidal thoughts, low mood and auditory hallucinations telling her to be dead. Previous to her presentation to THEDS she had been seen by her GP several times, by A&E at least three times and had been referred for counselling to a third sector party organisation which she did not find useful.
Rohima was assessed at being at ultra-high risk of developing psychosis. She had five assessment sessions including a family assessment, a medical review and a vocational assessment. over the two years she had a shortterm course of low dose antidepressants. She had psychoeducation focussing on normalisation and understanding of the impact of her past experiences on her self-esteem and self-efficacy, training and vocational support, case working support, psychosocial support and medical review.
At the point of discharge, Rohima had not been on antidepressant medication for three months, had completed an access to nursing course and gained admission to start university. Her daughter had also gained admission to a local primary school. The attenuated psychotic symptoms had resolved and there was an increase in GAf score. There was no other agency involved in her care and she was discharged to the GP. She had gained self-esteem, and learned coping mechanisms and an understanding of her difficulties. She felt confident that she would ask for help if she experiences any of the symptoms she had previously.
one year after her discharge from services, she had not returned to secondary care nor had she needed to restart any psychotropic medication.
Case study 2: Mark. Currently receiving two years' treatment
Mark is a 19-year old white British male. At secondary school age he started truanting and getting involved with gangs. He was also reported at age 11 to be using various substances. He missed a lot of his education and left school without any qualifications. He has numerous convictions for robbery and damage to property and arrests for getting into fights.
Mark was referred to THEDS by a CAMHS forensic worker due to concerns about his mental health. He was assessed as not being at ultra-high risk of developing psychosis and discharged to a Community Mental Health Team (CMHT) for specialist substance misuse input.
He was subsequently referred to THEDS again with concerns about functional decline and cognitive problems. Mark was assessed again as not suitable for THEDS input because he did not meet the criteria despite ongoing mental state concerns.
He subsequently presented to A&E with an acute psychotic episode following an intoxication of multiple substances. He was admitted under section 2 of the Mental Health Act and following discharge was referred to the CMHT for follow-up care. After a period of intervention with the specialist substance misuse worker,
Mark was referred to the Early Intervention Service who assessed him and felt that he had suffered a Brief Limited Psychotic Episode (BLIP) as a result of drug intoxication. He was at this point referred to THEDS.
Mark has engaged with THEDS and there has been a noticeable reduction in his criminal behaviour. He has also agreed to have Behavioural family Intervention which has been initiated and the family are hopeful that it could help improve their relationship.
Case Study 3: Jalal. offered two years' treatment but did not complete it
Jalal is a 23-year-old man from a Somalian background. His parents were refugees from the Somalian war and his mother did not speak much English. His father had a severe mental illness, was disruptive to family life and died in Somalia when Jalal was a child. Jalal successfully completed his GCSEs and his A Levels with very good grades and enrolled on a pharmacy course at university.
He then got involved with the wrong crew and started having trouble with the police. He left university a year into the course and started to work as a pharmacy assistant. He reports that it was because he did not like the course, but his mother relates it to the start of a decline in his overall functioning and his difficulties with the police.
Jalal was originally referred to the local CMHT after his mother went to the GP with concerns about his behaviour, in particular that he had become increasingly withdrawn, hardly left his room and was self-neglecting. Jalal appeared to be afraid of leaving the house and was getting episodes of heightened anxiety. The GP suspected that the presentation may be explained by an emerging psychotic illness and requested an assessment.
Jalal reluctantly engaged with the assessment and was deemed at high risk of developing a psychosis because of a significant decline in his functioning and a family history of severe mental illness. He was adamant that the decline in his functioning was due to laziness rather than emerging mental illness and hence did not engage with the service.
He was subsequently referred again to THEDS by a community support worker. THEDS attempted to engage with him again but he was clear that he did not want to access the service. Jalal was then seen by his GP again and referred to psychological therapies, later he disengaged and was referred by the GP to the CMHT. He was started on medication but disengaged soon after. He has not attended several appointments with the CMHT and consequently he has been discharged.
Jalal is still at risk of developing psychosis.
8. NoRfoLK AND SuffoLK SPECIALIST YouTH MENTAL HEALTH SERVICE
8.1 Intervention
Mental health services for young people in Norfolk and Suffolk recently underwent a significant redesign, with the development of the Norfolk and Suffolk Youth Mental Health Service for young people aged 14–25 years experiencing severe non-psychotic mental health difficulties. The service recognised that young people experiencing nonpsychotic mental health difficulties need more effective transition arrangements to smooth the access to services.
A pilot service was, therefore, initially set up to address problems with the traditional separation of services for those aged under and over 18 years. This service emulates the Early Intervention in Psychosis models of service by setting out to addressing a range of psychiatric, psychological and social issues in recognition of the fact that this subgroup of young people usually present with difficulties across multiple psychiatric domains. Specifically, the service offers specialist and dedicated assessment, case management and a range of psychiatric and psychological interventions to young people (aged 14–25 years) with severe non-psychotic mental health issues.
The aims of the pilot service are: to support key partners in delivering appropriate interventions for young people with explicit or emerging mental health difficulties; to provide outreach, liaison and specialist advice and interventions through a brief intervention/assessment component; and to case-manage (using an adapted Early Intervention in Psychosis model) more complex cases or those individuals with significant and persistent mental health difficulties. The service includes intensive/crisis support for those individuals who may traditionally have received inpatient care. The pilot service aims to engage young people at high risk of long-term mental health difficulties and offer novel, developmentally tailed interventions using a team-based model.
The service works in partnership with other services or organisations to support the wider system around the young person, and focuses on social recovery as a core outcome rather than purely on symptom reduction. The majority of clients are currently referred into the service via an Access and Assessment Team who will initially triage and assess before referring into specialist services. Clients are then allocated to the various parts of the youth service on the basis of this assessment information. The service will also accept self-referrals or direct referrals from external agencies, especially in cases of re-referrals. Care packages are individualised, based on individual need, and vary from time-limited focused interventions (usually less than six months) and group interventions to longer-term enhanced interventions and case management.
following the success of the pilot service it has since been rolled out as a full 0–25 service line incorporating dedicated youth teams for all 14–25 year olds.
A case study is shown in the boxes below, illustrating the contrast between standard care and the Norfolk and Suffolk Specialist Youth Mental Health Service.
Case Study 1: Standard care
Amy is a 17-year old woman with significant issues around self-harm including regularly cutting herself and taking overdoses. She has been known to local CAMHS services since she was 11 years old when she started to self-harm. She has received individual support and therapy from CAMHS, and her family has had regular family therapy sessions. She is also known to Children's Services as she was an adopted child.
Since she started to become unwell her adoptive parents have struggled to cope with her behaviour and to manage the risk. Her school has also had significant concerns and has tried to put in extra support. She has not been diagnosed with a mental illness but the overall formulation from CAMHS suggests that she may have been exposed to significant alcohol levels in utero, followed by emotional abuse and neglect prior to her adoption. Since then she has had significant attachment difficulties and is now showing symptoms consistent with an emerging Emotionally unstable Personality Disorder.
Amy is now approaching her 18th birthday and her teams in CAMHS and Children's Services feel she will need ongoing mental health services and wish to refer her to the adult mental health team. The adult recovery team does not feel they can offer her a service as she does not have a significant and enduring mental illness and so does not meet their criteria. Although she continues to have mental health problems, Amy is not taken on by any mental health service after her 18th birthday.
Case Study 2: Norfolk and Suffolk Specialist Youth Mental Health Service
Amy is gradually transferred over to the Norfolk and Suffolk Youth Team when she is approaching 14 years old, and they agree to support her with regard to the self-harm and to try and help her manage the risk. Their aim is to reduce and prevent any hospital admissions or A&E attendances by helping Amy learn to better manage her feelings and behaviour.
Amy is allocated a Case Manager who works to build a relationship with her. Amy has access to individual therapy and family therapy but increasingly the psychological interventions focus around group therapy. The group therapy includes input around managing her emotions informed by Dialectical Behaviour Therapy principles in a small group of her peers. The Youth Team, via her Case Manager and an Assistant Practitioner, also work with the school and Children's Services to support Amy, together with a coherent plan across agencies. When working with Amy, her family and other agencies, issues are managed using AMBIT principles, as developed by the Anna freud Centre.
As she approaches 18, Amy continues with the same Case Manager: there is no need for her to make any transition into a different service and no problems around diagnosis or thresholds. The intervention increasingly focuses on supporting Amy to access community resources run predominantly by the third sector. ultimately Amy is discharged from the youth service on the understanding that Amy, her family or her community supports can seek advice or refer her back at any point.
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youth Mental Health: New Economic Evidence
8.2 Methods
The data for the study were obtained from the one-year pilot evaluation carried out by the clinical team in Norfolk during the implementation of the youth mental health service. They evaluated the impact of the service implementation on various youth outcomes, employing a pre-post design and sampling young people accessing the service.
Outcomes measures
The original pilot study monitored youth outcomes at baseline and follow-up, where a series of psychological assessments were conducted at different points in time. We used data on demographic characteristics, global level of functioning, service use, and pathway to care; and looked at differences between baseline and follow-up.
Mental health status was assessed by the Global Assessment of functioning (GAf; Aas 2010), a numeric scale (0 through 100) widely used by mental health clinicians and physicians to rate subjectively the social, occupational, and psychological functioning of adults.
Social functioning was measured by the Time use Survey (office of National Statistics 2003), a tool aiming to identify, classify and quantify the main types of activity that people engage in during a particular time period. Time-use data were used to show engagement with employment and education (see Hodgekins et al 2015 for further information on this measure).
Service use and pathways to care data were retrieved from case notes, NHS Informatics departments and via interviews with service users using the method outlined by Gater et al. (1991). The data included information about the point of entry into the service; involvement of criminal justice agencies (police, courts, prisons) and general practitioners along the pathway; source of referral to services; and specialised services prior to accessing the service. Data on service use also provided information about hospitalisations when young people were involved in the youth mental health service.
Service impact evaluation
our strategy involved a series of descriptive and inferential statistics to evaluate the impact of the youth-specific service on the functioning of those young people in contact with it and their pathways to care prior to accessing the service. A 'beforeand-after' analysis was used to show any changes from baseline to follow-up.
Cost analysis
To cost the pathways to care, we replicated the methodology developed by Heslin et al (2011). The methodology operationalised a contact on the pathway to care as any
contact with the NHS or criminal justice system as a result of mental illness or leading to being accepted onto a specialist mental health service caseload. unit costs were attached to the data on services use. Established national unit cost figures were applied to: GP, counsellor and social care contacts; psychiatric home visits; accident and emergency (A&E) and emergency clinic visits (Curtis 2008). The cost for a police contact was based on an estimate of a referral involving two police officers (three hours each) and unit costs from a Revolving Doors report (finn et al 2000). The cost for a referral from prison was assumed to correspond to a referral to a consultant psychiatrist (one hour) and national unit cost figures were applied (Curtis 2008). All costs were then inflated to 2013 prices.
8.3 Results
Participants
A total of 214 participants (75 male, 139 female; mean age 18.9 years) were assessed at baseline and at one-year follow-up, although missing data meant that numbers were usually lower for our analyses.
Pathways to care
Before accessing the youth-specific service, 131 young people (25%) consulted a GP and 79 (15%) accessed CAMHS services (see Table 21). These data show that participants accessed a variety of services prior to accessing the youth service, with an average of 6.4 services from onset of presenting the problem to the youth service. If the young people that were referred to the youth service but then redirected to more appropriate services were excluded, the average number of services used prior to the service was 5.8.
Duration of time spent at the youth-specific service
The amount of time young people spent at the service was calculated in terms of hours received and months of involvement in the programme. on average, young people were in contact over a period of 8.7 months and had 17 hours of contact.
We also calculated the number of days spent in the hospital – when in the programme –and included it as service time. In terms of hospital admissions, 87.9% of participants were never admitted to a hospital during the programme, whilst 8.2% were admitted to hospital once and 3.8% twice.
Youth-specific service costs
Norfolk Youth Pilot Service received an annual budget of £353,000.
Table 21. Norfolk: frequency of service use prior to attending the youth-specific service
| Type of service | n |
|---|---|
| Third sector service | 27 |
| CAMHS | 79 |
| CAMHS/Youth* | 18 |
| Education | 44 |
| GP | 131 |
| Inpatient/crisis | 35 |
| Community paediatrics | 4 |
| Physical health | 4 |
| Police/Youth offending Team | 19 |
| Primary care | 66 |
| Private sector | 4 |
| Social care | 36 |
| Specialist | 18 |
| Youth service | 2 |
*CAHMS service with some youth-specific intervention; education: interventions at school
Mental health
overall, participants showed improvement in mental health functioning from baseline to follow-up as measured by the GAf (mean scores of 46.7 at baseline and 59.5 at follow-up; p<0.001). frequencies of GAf scores across baseline and follow-up are summarised in Table 22. only 147 participants were included in the above analysis because of missing data. Young people with the most severe functional impairments were the most likely to improve from baseline to follow-up. Likewise, young people with moderate symptoms improved over time.
We also investigated change across the three GAf categories over time: of the 147 participants who completed the GAf at baseline and follow-up, half sample remained severe, whilst the rest improved to either moderate (18.7%) or mild/none (42.9%). Among those who had moderate functional impairment at baseline, 13.6% showed more severe impairment at follow-up whilst 61.4% improved to mild or no symptoms, and 25% remained the same. The majority of those with mild or no symptoms at baseline remained at that level; however, most participants (83.3%) improved from more severe to mild or no symptoms.
Regression analyses showed that GAf score at baseline and number of hours spent in the service predicted an improvement in global functioning (GAf) at follow-up (p<0.001).
We also divided participants according to whether they were above or below the sample mean GAf score of 53. The number of participants (out of 147) who scored higher than 53 at baseline was 39 (27%) against 98 (67%) at the follow-up, suggesting a significant improvement in functioning after a year in the service.
We have not attempted to turn these changes in global functioning into economic indicators, although it is clear from the previous section that young people supported by THEDS – for whom significant changes were recorded on GAf – used fewer services and had better employment outcomes. for an older sample, Byford et al (2010) found that an improvement in GAf score was associated with reduced service use.
Table 22. Norfolk: distribution of GAF scores at baseline and follow-up
| Level of functioning (GAf) | Baseline (n =147) |
|---|---|
| Severe | 61.9% |
| Moderate | 29.9% |
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Social functioning: education, employment and leisure
To investigate the effects of service on social functioning, we calculated change in time spent by participants in employment, education and leisure activities between baseline and follow-up (as measured by the Time use Survey). To test differences between baseline and follow-up, a series of paired-sample Wilcoxon Signed Rank test were conducted. At follow-up, young people spent more hours in employment than at baseline (p<0.05), as well as more hours in leisure time (p<0.05), although the sample size was now quite small (n=78).
We therefore concluded that there were positive changes in the way young people spent their time since their involvement in the service. Again, although we are not able to estimate these changes in monetary terms, it is very likely that there are economic benefits associated with these employment gains.
8.4 Discussion of Norfolk findings
The Norfolk and Suffolk Specialist Youth Mental Health Service represents an innovative youth-specific service for young people with complex mental health needs and aims to transform service delivery with a focus on evidence-based practice. This is in line with recent policy strategies that recognise that many young people are not accessing mental health services and that there are high levels of unmet need (Care Quality Commission 2014; Department of Health & NHS England 2015).
The service addresses the problem of transition from child and adolescent mental health services (CAMHS) to adult mental health services (AMHS) for young people with non-psychotic issues. Indeed, adult services often have higher thresholds for receiving care, focusing on diagnosed severe and enduring mental health issues (Singh et al 2010). In practice this means that young people who would have been assessed as needing support by a CAMHS team may not meet the criteria to receive a service from an AMHS team.
Since its inception, the service implementation has been integrated with a strong research component that constituted a solid basis to investigate the service impact on functioning of young people.
our modest study aimed to understand the impact of the service on young people's mental health and social functioning, but we were not able to attach an economic value to these gains. This youth-specific service for young people with complex mental health needs had a positive impact on both mental status as measured by the GAf and the quality of time people spent in different activities (more time in employment, education and leisure compared with baseline, rather than the common withdrawal from activities caused by severe mental health issues). Age-appropriate services for adolescents increase the quality of care and thus are likely to produce better outcomes (Viner 2012).
Although, the implementation of such services and related research are both at their infancy, the Norfolk service represents an important example of reorganisation of secondary mental health services for young people aged 14–25 years, reflecting the developmental stage of adolescence and young adulthood. Similar to the development of Early Intervention in Psychosis services, this approach addresses the challenges during the traditional transition period from children and adolescents to adult services, providing continuity in services at a time when most chronic mental health issues emerge.
our findings from the limited evaluation indicate that the Norfolk and Suffolk Specialist Youth Mental Health Service may play a role in improving the mental health status of young people with mental health needs and their social functioning, with likely implications for savings over both the short and longer term.
9. DISCuSSIoN
The high susceptibility to developing mental health issues in adolescence and early adulthood is often coupled with a reluctance to access services (Gulliver et al 2010): these young people may lack emotional competence, may prefer self-reliance, and they or their parents may hold negative attitudes about seeking professional help (Rickwood et al 2005; Gronholm et al 2015). As we found with our analyses of the APMS, only about a half of the young people with mental health issues were actually receiving mental health services, and the proportion was almost as low as a third for those aged 21–25. Among young people, the treatment gap was greater for common compared to severe mental health issues. However, under-treatment of severe disorders is a bigger problem among young people compared to older adults. The complicated, multifaceted and damaging life-course consequences of poor mental health should make this wide treatment gap a major public concern.
using data from the BCAMHS for younger adolescents (ages 12–15 at initial data collection; 15–18 when followed up), we again found a substantial treatment gap: more than half of those with a mental health issue had no contact with services in connection with their emotional, behavioural or concentration problems. When they did, it was much more likely to be the education sector than the health sector that provided frontline support. Across the education, health and social care sectors, mean annual costs per individual were substantial: £2,780 for those with hyperkinetic disorders, £1,789 for those with conduct disorders and for those with £1,353 with emotional disorders. Those costs varied from one person to another of course, with the level of 'impact' caused by the mental health issue being an important factor, and with a number of other child, parent and family characteristics also exerting influences.
from the APMS data, covering those aged 16–25, we found that mental health issues were strongly associated with not being in employment, education or training, and with the receipt of benefits, no doubt, often because mental health services helped young people to understand and claim their entitlements. over the 18-month follow-up period, mental health issues were also associated with a high likelihood of contact with criminal justice services. In addition to the service cost implications of mental health issues experienced by young people, there are therefore short-term (at least) costs associated with unemployment, receipt of benefits and the criminal justice system. These direct and indirect costs are very likely to persist for more years than our data allow us to measure (see, for example, Scott et al 2001; Goodman et al 2011; Knapp et al 2011; D'Amico et al 2014).
our review of the research literature revealed very few studies that investigated the costs or savings associated with mental health services for young people aged 16 to 25 in the uK (or indeed elsewhere), and very few that examined the cost-effectiveness of interventions.
We were also disappointed by the findings of our mapping of youth mental health services in the uK. Although we initially identified about 50 services, some had ceased to operate and some had shrunk or changed their focus (including changing their user group). The overall impression was of the limited availability of specialist youth mental health services. There were, however, some well-planned and well-received local services across the country. We used the mapping to try to identify services that might be able to provide data that we could use to examine the economic case for youth mental health services.
We were able to work collaboratively with two local services, one in East London and one in Norfolk. The THEDS service in East London supports young people who traditionally have often not accessed services. These are exactly the kinds of young people who do not get picked up by, or decline to get involved with, 'standard' mental health services: the young people revealed by the APMS data to constitute the 'treatment gap'. Most of these young people faced many disadvantages in addition to their mental illness. our evaluation of the THEDS service was constrained by the routinely collected data that were available and by the small sample size, but suggested that the service was achieving important improvements in mental health and social functioning, while reducing service use for those young people who received two years of treatment. We used case studies to bring further evidence to the fore. The associated short-term cost savings are likely to have implications for longer-term savings too.
The Norfolk and Suffolk Specialist Youth Mental Health Service is an innovative youthspecific service for young people with complex (non-psychotic) mental health needs, and among other things addresses the challenge of transition between CAMHS and adult services. We found significant improvements in mental health and engagement
with employment, education and leisure which are likely to generate economic gains in both the short and longer term.
We hesitate to generalise from either of these small, local studies. We did not have a comparison group in either locality (which would anyway be very hard to study, given the lack of data, and the very practical challenge of engaging with young people with mental health issues who are not in contact with services). Consequently, it is possible that changes over time for those in contact with the THEDS and Norfolk services might simply reflect the usual trajectories for youth mental health conditions. However, our analyses of APMS data show strikingly the very strong continuities over time in terms of psychiatric morbidity, employment and education status, and contacts with criminal justice services. for this reason, and given what we learned more generally from our work with the two local services, we are confident that both are contributing very positively to the lives of the young people they are treating and supporting.
This is the first study of the economic impact of youth mental health services in the uK. our study was hampered by an almost complete absence of: relevant previous research to provide a platform from which to build a research design, specialist youth mental health services across the uK with which we could work collaboratively, and good data on outcomes or cost-related indicators. We could not therefore estimate the overall cost of youth mental health problems. Despite these difficulties, we have gathered new evidence to feed into national and local discussions about this most challenging of mental health areas. our findings show the wide-ranging and sizeable economic consequences of not identifying or appropriately addressing the mental health needs of adolescents and young adults. We have also shown that two specialist local services appear to have had important impacts on the mental health and broader life quality of the people they support.
from our empirical evidence we believe that the youth-specific model appears to be successful and that there is a clear role for age-appropriate services to address both the current and longer-term consequences of mental health issues experienced by young people. The treatment gap is bigger for this age group than for any other, yet this is precisely the age when many fundamental decisions are taken – in relation to education, employment, personal relationships and so on – each of them with ramifications over the life-course. To neglect mental illness in adolescence and young adulthood to the extent that we currently do in the uK is not just morally unacceptable but economically enormously wasteful.
10. RECoMMENDATIoNS
Since we started our work there have been some helpful public discussions in the area of youth mental health. one of these culminated in the House of Commons Health Committee (2014) report late last year on children's and adolescents' mental health, which drew on a wide range of evidence to highlight failings in the current system, and set out many challenges for improvement. Another very useful development was the report from the Children and Young People's Mental Health and Wellbeing Taskforce (Department of Health and NHS England 2015). Both reports offer astute, insightful observations on the state of mental health services for this age group, and make important recommendations for improvement over the coming years. We will not even attempt to cover the same span of recommendations here. Rather, we offer recommendations stemming primarily from what was the focus of our report: the economic issues in relation to youth mental health issues.
A. Investing early to prevent or reduce the risk of mental health issues emerging during childhood and adolescence is an obvious and sensible approach. There are actions that can be taken that are likely to pay considerable dividends in terms of better lives for the individuals concerned and better use of societal resources. These actions include, for example, much earlier and better recognition of perinatal mental health problems and the consequences that can follow for mother and child: the economic consequences of failing to do so can be immense (Bauer et al 2015, 2016), yet there are interventions of proven cost-effectiveness (Petrou et al 2015). other emphases could include better organisation of preventive work in schools; better links to services that work with young people not in employment, education or training, or with other disadvantaged and high-risk groups.
B. for those mental health issues that are not prevented, the need for earlier recognition, timely diagnosis and better response should be obvious, because the consequences of failing to do so can be enormous distress and difficulties for the young people concerned, as well as for their families and others. We have additionally pointed to the economic consequences. Yet, as others have reported previously, the treatment gap for young people in the 16–25 age group is greater than for any other age group, whether child or adult. This has been known for at least two decades, and indeed some of the data that we use in this report were collected in 2000. It is of considerable concern that this situation has been allowed to continue, or indeed perhaps to have worsened, given what we know about national trends in spending.
C. Responding appropriately to mental health issues with evidence-based interventions is a fundamental recommendation. There are treatment approaches which are known to work well in many cases, such as parenting interventions where there is a family with a child with conduct disorder, and these have the potential not only to be effective but also highly cost-effective (Bonin et al 2011;
Beecham 2014). Severe non-psychotic psychopathology can often have a longterm prognosis and implications comparable to psychosis, yet its prevalence is not widely appreciated.
High rates of trauma (often multiple) are common in this group, linked particularly to physical, sexual or emotional abuse, family discord, and bullying. Again, there are long-term economic impacts. Services should be in place and sufficiently resourced to respond to these needs, as well as flexible enough to adapt as individual and population needs change overtime.
The arrangements in both Norfolk and THEDS begin to give an indication of what might be achieved. The orygen Youth Health model in Melbourne is a comprehensive youth service with different pathways for psychosis, personality disorder and developmental difficulties, to which could be added an IAPT-like service for common mental disorders, but with a youth-oriented front focusing on better engagement. (And if there were better routine data – see below – it would also be easier to make comparisons between different service models to aid our understanding of what works.)
D. one challenge is to remove the barriers to access and to treatment-seeking by young people. We summarised evidence from two local services that appear to have achieved some degree of success in these respects, but there is an urgent need for more and better evidence on what works in the youth mental health area. Targeted social marketing and education of front-line professionals who work with young people (in education, youth offender teams, youth hostels, third sector organisations etc.) to improve early recognition of potential difficulties might help to address this challenge.
Combatting stigma must be part of the response to this state of affairs. Time to Change has been successful in bringing about some changes in societal attitudes to mental health, but perhaps less successfully with young people than with adults. But again, there is evidence that successful anti-stigma campaigns can generate economic pay-offs that easily exceed the initial investments (McCrone et al 2010; Evans-Lacko et al 2013).
E. Part of the problem has been the pattern of commissioning of services over recent years, with a real-terms decrease in funding of child and adolescent mental health services in England (Young Minds 2015). As the House of Commons Health Committee diplomatically expressed it in their summary: 'While demand for mental health services for children and adolescents appears to be rising, many CCGs report having frozen or cut their budgets. CCGs have the power to determine their own local priorities, but we are concerned that insufficient priority is being given to children and young people's mental health' (House of Commons Health Committee 2014, p.4). Simon Stevens, in his foreword to the Taskforce report wrote: 'Need is rising and investment and services haven't kept up. The treatment gap and the
youth Mental Health: New Economic Evidence
funding gap are of course linked' (Department of Health & NHS England 2015, p.7). It has doubtless been frustrating for government ministers with a strong commitment to youth mental health services to find themselves with so little influence over what – in terms of local commissioning and delivery – is actually funded or provided.
f. Another clear source of difficulty is the transition between CAMHS and adult services, with many authors referring to this period as a 'cliff edge'. There is little extant evidence to be contributed to discussion of this issue from an economics perspective. We welcome the fact that NICE is in the process of preparing guidance on transitions in many areas of health, including mental health (National Institute for Health and Care Excellence 2014).
G. The consequences of failing to recognise or respond appropriately to mental health issues in childhood and adolescence will often last a lifetime. We have pointed to some of the short-term economic consequences that flow from these failings, and other studies have demonstrated longer-term impacts on, for example, poor educational outcomes, antisocial behaviour and crime, above-average use of health services, difficulties finding employment outcomes and reliance on benefits.
What is clear from this uK research and from work in other countries (albeit therefore in different systems with different patterns of economic consequence and incentive) is that the lifetime consequences of untreated mental health issues in childhood and adolescence will usually spill into many different public budgets and other areas of the economy. This helps to explain why Simon Stevens, in his Taskforce report foreword, cautions against focusing 'too narrowly on targeted clinical care, ignoring the wider influences and causes of rising demand, overmedicalising children along the way' (Department of Health & NHS England 2015, p.7). There is an urgent need to bring together different agencies – especially education, youth justice, health, social care, welfare benefits – to discuss and agree priorities and the actions that should follow. one model would be to have an identified mediator tasked with bringing these different services and sectors together to work in the best interests of the young person.
This need for coordination or integration has been incanted so many times that there is a danger that it is no longer heard. The Taskforce report gives this great emphasis, as does every commentator in the area. The economic challenges are manifold, especially when public bodies are tightly performance-managed, since there may be few financial incentives to take action when the biggest pay-offs will be to other people's budgets. Anecdotal evidence that police commissioners are investing in parent training programmes for young children with conduct disorder or that schools are investing in counsellors demonstrate an ability for local action to tackle the bureaucratic sclerosis that appears to have set into strategic coordination.
H. Most of these actions would be easier to implement, and certainly much easier to monitor and evaluate, if there were better routine data on levels and patterns of spending and provision, and on individual and societal outcomes. We searched hard for data to bring to bear on the economics questions addressed in our study, but with little success, although we were able to use some data that had been drawn from more than one local system by the teams in Norfolk and East London. Generally, however, there are very few data on young people with or at risk of mental health issues in England. It is surely not right that a report published in 2015 has to rely on data collected in 2000 – before many of the adolescents who today experience distressing mental health issues were actually born.
Although the coordination of risk-reduction strategies, responses to need and delivery of support are most important, coordinated data collections and their careful interrogation would certainly help. It is not obvious to us that there is much opportunity currently to read across from data in one system to data in another. Information systems in local health, education, social care, housing, employment and other relevant sectors seem to operate in parallel universes. The Taskforce report gives welcome emphasis to the need for a better information base for action and monitoring, and perhaps it is time to consider a minimum data set for youth mental health services to support commissioning, local and national policy-making and research. Given the opportunity costs of both any new data collection – in terms of over-burdening frontline professionals – and of any pooling across organisations – in terms of how to get information systems to talk to each other – any such proposal should be proportionate and not immediately doomed by over-ambition.
I. The Taskforce report also urges the various systems to 'make the right investments' (p.15). The particular challenge in the youth mental health area is that there is so little economic evidence to inform those investments. We do not completely agree with the Taskforce report when it notes that 'Evidence shows that, for all of these conditions [child and adolescent mental health issues], there are interventions that are not only very effective in improving outcomes, but also good value for money, in some cases outstandingly so, as measured by tangible economic benefits such as savings in subsequent costs to public services' (p.26).
our reading of the international evidence is that there has certainly been an accumulation of evidence, but it is considerably less than commissioners need if they are to 'make the right investments'. This view is reinforced by the recent review by Beecham (2014). There is now a good body of work on early detection and intervention for psychosis, but not much on other mental health issues in this age group, which are of course much more prevalent. Consequently, the body of reliable cost-effectiveness evidence in this area is much smaller than commissioners would undoubtedly wish to find to guide their spending decisions. Among others, the Early Intervention foundation is working to generate further evidence and to bring it to the attention of relevant decision-makers.
We would very much prefer not to be finishing this report with yet another lament about the absence of research evidence. However, in the area of youth mental health, this absence – relative to the need for it – is as pronounced as we have seen just about anywhere.
ACKNoWLEDGEMENTS
We would like to acknowledge with thanks the young people in both of the local services on whose lives part of our evaluation was based. We are grateful to the NHS Confederation Mental Health Network for funding this study, although we emphasise that views expressed in this report are those of the authors and are not necessarily those of the funding body.
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Singh S, Birchwood M (2012) Early Intervention In Young People's Mental Health: 'Evidence-Based Development of an Innovative Young People's Mental Health Service and an Understanding of Facilitators and Barriers to its Wider Implementation'. West Midlands, Health Innovation and Education Cluster.
Singh SP (2009) Transition of care from child to adult mental health services: the great divide. Current Opinion in Psychiatry 22(4): 386–390.
Singh SP, Paul M, ford T, Kramer T, Weaver T, McLaren S, Hovish K, Islam Z, Belling R, White S (2010) Process, outcome and experience of transition from child to adult mental healthcare: multiperspective study. British Journal of Psychiatry 197(4): 305–312.
Singleton N, Bumpstead R, o'Brien M, Lee A, Meltzer H (2001) Psychiatric Morbidity Among Adults Living in Private Households, 2000. London: The Stationery office.
Singleton N, Lewis G (eds) (2003) Better or Worse: A Longitudinal Study of the Mental Health of Adults Living in Private Households in Great Britain. London: The Stationery office.
Snell T, Knapp M, Healey A, Guglani S, Evans-Lacko S, fernandez JL, Meltzer H, ford T (2013) Economic impact of childhood psychiatric disorder on public sector services in Britain: estimates from national survey data. Journal of Child Psychology and Psychiatry 54(9): 977–985.
Street C, Stapelkamp C, Taylor E, Malek M, Kurtz Z (2005) Minority Voices: Research into the Access and Acceptability of Services for the Mental Health of Young People from Black and Minority Ethnic Groups. London: Young Minds.
Suhrcke M, Pillas D et al (2008) Economic Aspects of Mental Health in Children and Adolescents. In WHO Social Cohesion for Mental Wellbeing Among Adolescents. WHo/HBSC forum 2007: 43–64.
Tower Hamlets Clinical Commissioning Group (2013) Mental Health Joint Strategic Needs Assessment for Tower Hamlets. Part Two: Facts and Figures. London.
Viner R (2007) Do adolescent inpatient wards make a difference? findings from a national young patient survey. Pediatrics 120(4): 749–755.
Viner R (2013) Life stage: adolescence. In: Chief Medical officer (2013) Annual Report of the Chief Medical Officer 2012. Our Children Deserve Better: Prevention Pays. London: Department of Health.
Wahlbeck K, McDaid D (2012) Actions to alleviate the mental health impact of the economic crisis. World Psychiatry 11(3): 139–145.
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Young Minds (2015) Widespread Cuts in Children and Young People's Mental Health Services. London: Young Minds.
Appendix 1:
Literature review
1. CoST STuDIES
n Anderson DM et al (2015) Youth depression and future criminal behaviour. Economic Inquiry 53(1): 294–317.
While the contemporaneous association between mental health problems and criminal behavior has been explored in the literature, the long-term consequences of such problems, depression in particular, have received much less attention. using data from the National Longitudinal Study of Adolescent Health, we examine the effect of depression during adolescence on the probability of engaging in a number of criminal behaviours later in life. In our analysis, we control for a rich set of individual, family, and neighbourhood level factors to account for conditions that may be correlated with both childhood depression and adult criminality. one novelty in our approach is the estimation of school and sibling fixed effects models to account for unobserved heterogeneity at the neighbourhood and family levels. furthermore, we exploit the longitudinal nature of our data set to account for baseline differences in criminal behavior.
We find little evidence that adolescent depression predicts the likelihood of engaging in violent crime or the selling of illicit drugs. However, our empirical estimates show that adolescents who suffer from depression face an increased probability of engaging in property crime. our estimates imply that the lower-bound economic cost of property crime associated with adolescent depression is about $219 million annually.
n Beecham K et al (2009) Cost variation in child and adolescent psychiatric inpatient treatment. Eur Child Adolesc Psychiatry 18(9): 535–542.
Publicly available costs data for child and adolescent psychiatric inpatient services do not allow links to be made with patients' needs and outcomes. Without this information commissioners may reduce the role of inpatient services on the basis of budgetary impacts alone. This study estimates the support costs before, during and after an inpatient admission and explores the associations between costs, needs and outcomes. A detailed prospective cohort study of eight child and adolescent units was undertaken in which participants were assessed at referral, admission, decision to discharge and one year later.
Mean admission costs were £24,120, although the range was wide. Associations were found between costs and patients' global impairment, age and exclusion status. Support costs after admission were similar to pre-admission costs, but there was some evidence to suggest that services were better targeted. Moves in England to develop national tariffs for inpatient psychiatric episodes should be based on the likely cost of the episode of treatment rather than costs per day, and good commissioning requires more information on the predictors of such costs.
n Bodden DH et al. (2008) Societal burden of clinically anxious youth referred for treatment: a cost-of-illness study. Journal of abnormal child psychology 487–497.
A prevalence-based cost-of-illness study using a societal perspective was conducted to investigate the cost-of-illness in clinically anxious youth aged 8–18 in The Netherlands. Discriminant validity of the cost diary used was obtained by comparing costs of families with an anxious child (n=118) to costs of families from the general population (n=41). To examine the convergent validity, bottom-up acquired costs derived from cost diaries were compared to top-down acquired costs obtained from national registrations. Bottom-up acquired costs measured by means of cost diaries amounted to €2,748 per family of a clinically referred anxious child per annum.
Societal costs of families with clinically anxious children were almost 21 times as high compared to families from the general population. With respect to convergent validity, total health care costs using the bottom-up approach from clinically anxious children were quite comparable to those of top-down data of anxious children, although costs within the subcategories differed considerably. Clinical anxiety disorders in childhood cost the Dutch society more than €20 million a year. Based on results of discriminate and convergent validity, the cost diary seems a valid method in establishing cost-ofillness in childhood anxiety disorders.
n Burd L et al (2003) Children and adolescents with attention deficithyperactivity disorder: 1. Prevalence and cost of care. J Child Neurol 18(8): 555–561.
The objective of this study was to use population-based data to estimate the prevalence and cost of treatment for attention-deficit hyperactivity disorder (ADHD). The North Dakota Department of Health Claims Database was used to estimate the administrative prevalence, annual cost of care per case, and total annual cost of care for subjects with ADHD compared with controls. The case population was 7,745, and the mean prevalence rate was 3.9%, with a peak prevalence at 10 years of age.
for children with ADHD, the annual cost of care was $649 compared with that of controls at $495. Cost of care attributable to ADHD was $649 - $495 = $154 (31%). utilization by children with ADHD with publicly-funded payers was increased 25% to 175% over that of children with privately funded coverage. In North Dakota, the annual cost of care for children with ADHD was $5.1 million, 5.6% of all health care costs for children. The annual attributable cost of care was $1.79 million. Thus, 1.9% of total health expenditures for children was attributable to ADHD. In the united States, the cost of care attributable to children with ADHD would be $2.15 billion annually.
youth Mental Health: New Economic Evidence
n Chabra A et al (1999) Hospitalization for mental illness in adolescents: risk groups and impact on the health care system. Journal of Adolescent Health 24(5): 349–356.
Determined the extent and cost of hospitalizations for mental illness among 27,595 10–19 year olds and identified differences in acute care hospital use by gender and between racial/ethnic groups. Analysis of discharge data provided relative risks calculated by race/ethnicity and gender and stratified by race/ethnicity and payment source.
Results show that mental illness accounted for 14.8% of hospitalizations in this age group; the mean length of stay was 10.9 days. Total charges exceeded $300 million. Adolescent boys had a slightly lower risk of hospitalization for mental illness than did adolescent girls, but a higher risk for certain diagnoses. overall, non-White adolescents had a lower risk of hospitalization for mental illness than did White adolescents.
(PsycINfo Database Record © 2012 APA, all rights reserved).
n Costello E et al (2007) Service costs of caring for adolescents with mental illness in a rural community, 1993–2000. The American Journal of Psychiatry 164(1): 36–42.
objective: Costs of treating child psychiatric disorders fall on educational, primary care, juvenile justice, and social service agencies as well as on psychiatric services. The authors estimated multi-agency mental health costs by integrating service unit costs with utilization rates in an 11-county area. using psychiatric diagnoses made independently of service use records, the authors calculated costs across agencies as well as the extent of unmet need for psychiatric care. Method: Annual parent and child reports were used to measure mental health care needs and units of service across 21 types of settings for the population-based Great Smoky Mountain Study sample of 1,420 adolescents from ages 13 to 16. unit costs for services were generated from information from service providers and records. The authors calculated costs overall, costs by type of service, and costs by diagnosis.
Results: Average annual costs per adolescent treated were $3,146. Juvenile justice and inpatient/residential facilities accounted for well over half of the total costs. Costs for youths with two or more diagnoses were twice as much as costs of those with a single disorder. Among adolescents with service needs, 66.9% received no services. Public health insurance was associated with higher rates of specialty mental health care than either private insurance or no insurance.
Conclusions: Annual costs across all services were three to four times greater than recent health insurance estimates alone. Many costs for adolescents with mental health problems were borne by agencies not designed primarily to provide psychiatric or psychological services. only one in three adolescents needing psychiatric care
received any mental health services.
(PsycINfo Database Record © 2012 APA, all rights reserved) (journal abstract).
n Cuffel BJ et al (1996) Treatment costs and use of community mental health services for schizophrenia by age cohorts. American Journal of Psychiatry 153(7): 870–876.
objective: Research on schizophrenia has tended to ignore patterns and costs of mental health service use in late life. The present study examined the types of mental health services used and their costs for several age-defined cohorts in a large community mental health system.
Method: The data covered all users of the mental health system included in the San Diego county billing information system in fiscal years 1986 and 1990. Community mental health service use and codes were modelled as a function of patient demographic characteristics, diagnosis, and age. The patients were grouped into the following age categories: 18–29, 30–44, 45–54, 55–64, 65–74, and ≥75 years of age.
Results: The total costs for schizophrenia were higher than those for other psychiatric disorders, and they were also age dependent. In both fiscal years, the costs of schizophrenia were higher for the youngest and oldest cohorts than for the patients in the 30 –65 year range.
Conclusions: The economic burden of late-life schizophrenia to the public mental health system is at least as high as that of schizophrenia in younger adults.
n Domino ME et al (2009) Service use and costs of care for depressed adolescents: Who uses and who pays? Journal of Clinical Child and Adolescent Psychology 38(6): 826-836.
Major depressive disorder is common in adolescence and is associated with significant morbidity and family burden. Little is known about service use by depressed adolescents. The purpose of this article is to report the patterns of services use and costs for participants in the Treatment for Adolescents with Depression Study sample during the three months before randomization. Costs were assigned across three categories of payors: families, private insurance, and the public sector. We examined whether costs from payors varied by baseline covariates, such as age, gender, insurance status, and family income. The majority (71%) of depressed youth sought services during the three-month period. Slightly more than one-fifth had contact with a behavioral health specialist. The average participant had just under $300 (SD = $437.67, range = $0– $3,747.71) in treatment-related costs, with most of these costs borne by families and private insurers.
(PsycINfo Database Record © 2012 APA, all rights reserved) (journal abstract).
n feenstra DJ et al (2012) The burden of disease among adolescents with personality pathology: quality of life and costs. Journal of Personality Disorders 26(4): 593–604.
In adults, personality disorders are associated with a low quality of life and high societal costs. To explore whether these findings also apply to adolescents, 131 adolescent patients were recruited from a mental health care institute in The Netherlands. Axis I and Axis II disorders were diagnosed using semi-structured interviews. The EuroQol EQ-5D was used to measure quality of life and costs were measured by the Trimbos and Institute for Medical Technology Assessment Questionnaire on Costs Associated with Psychiatric Illness.
The mean EQ-5D index value was 0.55. The mean direct medical cost in the year prior to treatment was €14,032 per patient. The co-occurrence of Axis I and Axis II disorders was a significant predictor of a low quality of life. Direct medical costs were higher for the depressive personality disorder. This study shows that the burden of disease among adolescents with personality pathology is high. This high burden provides evidence to suggest that further research and development of (cost-) effective treatment strategies for this population may be worthwhile.
(PsycINfo Database Record © 2012 APA, all rights reserved) (journal abstract).
n Jones DE, foster EM (2009) Service use patterns for adolescents with ADHD and comorbid conduct disorder. J Behav Health Serv Res 36(4): 436–449.
Service use patterns and costs of youth diagnosed with attention-deficit/hyperactivity disorder (ADHD) and comorbid conduct disorder (CD) were assessed across adolescence (ages 12 through 17). featured service sectors include mental health, school services, and the juvenile justice system. Data are provided by three cohorts from the fast Track evaluation and are based on parent report. Diagnostic groups are identified through a structured assessment.
Results show that public costs for youth with ADHD exceed $40,000 per child on average over a six-year period, more than doubling service expenditures for a nonADHD group. Public costs for children with comorbid ADHD and CD double the costs of those with ADHD alone. Varying patterns by service sector, diagnosis, and across time indicate different needs for youth with different conditions and at different ages and can provide important information for prevention and treatment researchers.
n Peele PB et al (2004) use of Medical and Behavioral Health Services by Adolescents With Bipolar Disorder. Psychiatric Services 55(12): 1392–1396.
objective: This study compared use of medical and behavioral health care by adolescents with bipolar disorder and other adolescents and identified areas in need of more clinical attention.
Methods: Medical and behavioral health insurance claims from 1996 for 100,880 adolescents were examined and categorized. Differences between and among various categories of disease were explored by using multivariate analyses.
Results: Among the 10,970 adolescents who used at least one behavioral health service, adolescents with bipolar disorder (n=326) had significantly higher behavioral health costs than those with mood or non-mood disorders, a result driven by these adolescents' significantly higher hospital admission rates for behavioral health care. Adolescents with bipolar disorder also had significantly higher medical admission rates compared with adolescents who had other behavioral health diagnoses. More than half of the 14 medical admissions for adolescents with bipolar disorder were due to drug overdose.
Conclusions: Reallocation of medical and behavioral health resources to improve ambulatory treatment of bipolar disorder among adolescents has the potential to decrease the use and costs of health care while improving the welfare of these adolescents and their families.
(PsycINfo Database Record © 2012 APA, all rights reserved) (journal abstract).
n Richardson LP et al (2008) The effect of comorbid anxiety and depressive disorders on health care utilization and costs among adolescents with asthma. General Hospital Psychiatry 30(5): 398–406.
objective: To assess whether youth with asthma and comorbid anxiety and depressive disorders have higher health care utilization and costs than youth with asthma alone. Methods: A telephone survey was conducted among 767 adolescents (aged 11 to 17 years) with asthma. Diagnostic and Statistical Manual-4th Version (DSM-IV) anxiety and depressive disorders were assessed via the Diagnostic Interview Schedule for Children. Health care utilization and costs in the 12 months pre- and 6 months post-interview were obtained from computerized health plan records. Multivariate analyses were used to determine the impact of comorbid depression and anxiety on medical utilization and costs.
Results: unadjusted analyses showed that compared to youth with asthma alone, youth with comorbid anxiety/depressive disorders had more primary care visits, emergency department visits, outpatient mental health specialty visits, other outpatient visits and pharmacy fills. After controlling for asthma severity and covariates, total health care costs were approximately 51% higher for youth with depression with or without an anxiety disorder but not for youth with an anxiety disorder alone. Most of the increase in health care costs was attributable to non-asthma and non-mental healthrelated increases in primary care and laboratory/radiology expenditures.
Conclusions: Youth with asthma and comorbid depressive disorders have significantly higher health care utilization and costs. Most of these costs are due to increases in
youth Mental Health:
New Economic Evidence
non-mental health and non-asthma expenses. further study is warranted to evaluate whether improved mental health treatment and resulting increases in mental health costs would be balanced by savings in medical costs.
(PsycINfo Database Record © 2012 APA, all rights reserved) (journal abstract).
n Robergeau K et al (2006) Hospitalization of children and adolescents for eating disorders in the State of New York. Journal of Adolescent Health 39(6): 806–810.
Purpose: To examine hospitalization patterns, length of stay, cost and insurance status for children and adolescents with eating disorders.
Methods: A cross-sectional study was conducted of patients with eating disorders aged 9 to 17 years, discharged from hospitals in the State of New York in 1995. All patients discharged in the state were registered by the State Planning and Research Collaborative System (SPARCS). A subset was identified based on coding by the International Classification of Diseases (ICD) for Anorexia Nervosa, Bulimia and Eating Disturbance Not otherwise Specified. The Statistical Analysis System (SAS) was used for data analysis. The variables selected were gender, ethnicity, insurance status and length of stay.
Results: In one year there were 352 hospitalizations, 312 females (88.6%) and 40 males (11.4%); 279 Caucasians (79.3%), 35 African Americans (9.9%), and 38 other (10.8%); commercial insurance 246 (69.9%), Medicaid 68 (19.3%), other 38 (10.8%). The diagnostic categories were Anorexia Nervosa 242, Bulimia 59, and Eating Disturbance Not otherwise Specified 63 (reflecting dual diagnosis in 13). Mean length of stay was 18.43 days, the median was 7 days. The cost per stay ranged between $341.78 and $148,471; with a median of $3,817 and a mean of $10,019. Length of stay was not influenced by gender, age, or ethnicity; only payor status, availability of insurance, was dominant.
Conclusions: This is the first statewide report on hospitalization of children and adolescents for eating disorders. The mean cost in 1995 exceeded $10,000. A correlation was found between length of stay and insurance status. Hospitalizations for eating disorder have a significant public health impact, calling for the formulation of fair and rational strategies to optimize care.
(PsycINfo Database Record © 2012 APA, all rights reserved) (journal abstract).
n Swensen A et al (2004) Incidence and costs of accidents among attentiondeficit/hyperactivity disorder patients. Journal of Adolescent Health 35(4): 346. e1–19.
Purpose: The purpose is to analyse the incidence and costs of accidents among Attention-Deficit/Hyperactivity Disorder (ADHD) patients.
Methods The analysis relied on administrative medical, pharmaceutical, and disability claims for a national manufacturer's employees, spouses, dependents, and retirees (n>100,000). Accidental injuries were identified using ICD-9 codes for injuries or poisoning treatment. ADHD sample consists of individuals with at least one claim for ADHD during 1996–1998 (n<sub>ADHD</sub>=1,308), which was compared with a matched control sample. In addition to descriptive statistics, multivariate analysis involving logistic regression was used to model the probability of having an accident claim in 1998. This probability was estimated for the whole population, for adults alone, for children (under age 12 years), and for adolescents (age 12–18 years). We also estimated a generalized estimation equation (GEE) model to account for the possibility of multiple accident claims for a single patient.
Results: ADHD patients had a greater probability of having at least one accident claim than their controls for children (28% vs. 18%), adolescents (32% vs. 23%), and adults (38% vs. 18%). Although ADHD patients' costs were greater than their controls for adults ($483 vs. $146), there was no difference for children or adolescents. However, among patients with accident claims, the average number of accident claims was similar for both groups (3.6 vs. 3.5) and costs were not statistically different. The multivariate analysis confirms this utilization pattern: the odds of having an accident for ADHD patients were 1.7 times greater than for controls.
Conclusions: ADHD was a significant predictor of having an accident claim. However, for people with an accident claim, ADHD patients and controls had a similar number of accident claims and costs.
(Society for Adolescent Medicine, 2004).
n Telford C et al (2013) Estimating the costs of ongoing care for adolescents with attention-deficit hyperactivity disorder. Social Psychiatry and Psychiatric Epidemiology 48(2): 337–344.
Attention-deficit hyperactivity disorder (ADHD) is associated with increased use of health, social and education services. There is a lack of data to quantify the economic burden of ADHD in the uK. The aim of this study was to estimate additional education, health and social care costs amongst adolescents in the uK diagnosed with ADHD. Participants were 143 12- to 18-year-olds from the Cardiff longitudinal ADHD study. Service use relating to mental health over the previous year was measured using the children's service interview. Individual resource use was combined with unit cost data,
from national sources, to calculate costs per patient and subsequently the mean cost per patient. Mean costs, 95% confidence intervals and median use were calculated using nonparametric bootstrapping methods.
The mean cost per adolescent for NHS, social care and education resources used in a 12-month period related to ADHD was £5,493 (£4,415.68, £6,678.61) in 2010 prices and the median was £2,327. Education and NHS resources accounted for approximately 76 and 24%, respectively. Estimated annual total uK costs are 670 million. The additional costs to the NHS and education system of treating adolescents remain substantial for several years after the initial ADHD diagnosis. There exists a need to develop and evaluate early interventions which have the potential to reduce the longer-term burden, particularly on education resource use.
2. INTERVENTIoN STuDIES
n Adams M et al (1996) Diagnostic utility of endocrine and neuroimaging screening tests in first-onset adolescent psychosis. Journal of the American Academy of Child and Adolescent Psychiatry 35(1): 67–73.
objective: To determine the diagnostic utility of endocrine and neuroimaging screening tests in first-onset adolescent psychosis.
Method: 111 consecutively admitted adolescents (aged 13 through 19 years) who presented with a first-onset psychosis and who had an unremarkable medical history and normal physical examination were given a battery of endocrine and neuroimaging screening tests. Diagnostic utility of a screening test was defined as an abnormal result (a positive test) that either led to a previously unknown or unsuspected medical diagnosis or played an important role in the clinical care of the patient.
Results: 15.4% of the endocrine screening tests and 11.0% of the neuroimaging screening tests were identified as positive. However, no endocrine and no neuroimaging tests met criteria for diagnostic utility. The direct cost of this screening battery was $636.95 per patient.
Conclusion: Routine endocrine and neuroimaging screening tests in first-onset adolescent psychosis provide no diagnostic utility and are not cost-effective. Selective use of appropriate endocrine and neuroimaging diagnostic tests in populations with symptoms suggestive of organic disorders should replace routine screening procedures.
n Agras WS et al (2014) Comparison of 2 family therapies for adolescent anorexia nervosa: a randomized parallel trial. JAMA Psychiatry 71(11): 1279–1286.
Importance: Anorexia nervosa (AN) is a serious disorder with high rates of morbidity and mortality. family-based treatment (fBT) is an evidence-based therapy for adolescent AN, but less than half of those who receive this approach recover. Hence, it is important to identify other approaches to prevent the development of the chronic form of AN for which there is no known evidence-based treatment.
objective: To compare fBT with systemic family therapy (SyfT) for the treatment of adolescent-onset AN.
Design, setting and participants: Research in Anorexia Nervosa (RIAN) is a two-group (fBT and SyfT) randomized trial conducted between September 2005 and April 2012. Interviewers were blinded to the treatment condition. A total of 564 adolescents receiving care at six outpatient clinics experienced in the treatment of AN were screened. of these, 262 adolescents did not meet the inclusion criteria and 138 declined to participate; hence, 164 adolescents (aged 12–18 years) of both sexes meeting the criteria for Diagnostic and Statistical Manual of Mental Disorders, fourth Edition, AN (except for amenorrhea) were enrolled. Three participants were withdrawn from fBT and seven were withdrawn from SyfT after serious adverse events occurred.
Interventions: Two manualized family therapies with 16 one-hour sessions during nine months. family-based therapy focuses on the facilitation of weight gain, whereas SyfT addresses general family processes.
Main outcomes and measures: The primary outcomes were percentage of ideal body weight (IBW) and remission (≥95% of IBW). The a priori hypothesis was that fBT would result in faster weight gain early in treatment and at the end of treatment (EoT).
Results: There were no statistically significant differences between treatment groups for the primary outcome, for eating disorder symptoms or comorbid psychiatric disorders at the EoT or follow-up. Remission rates included fBT, 33.1% at the EoT and 40.7% at follow-up and SyfT, 25.3% and 39.0%, respectively. family-based therapy led to significantly faster weight gain early in treatment, significantly fewer days in the hospital, and lower treatment costs per patient in remission at the EoT (fBT $8,963; SyfT $18,005). An exploratory moderator analysis found that SyfT led to greater weight gain than did fBT for participants with more severe obsessive-compulsive symptoms.
Conclusions and relevance: The findings of this study suggest that fBT is the preferred treatment for adolescent AN because it is not significantly different from SyfT and leads to similar outcomes at a lower cost than SyfT. Adolescents with more severe obsessive-compulsive symptoms may receive more benefits with SyfT.
(Trial Registration: clinicaltrials.gov Identifier NCT00610753).
youth Mental Health: New Economic Evidence
n Anderson R et al (2014) Cost-effectiveness of classroom-based cognitive behaviour therapy in reducing symptoms of depression in adolescents: a trialbased analysis. Journal of Child Psychology and Psychiatry 55(12): 1390–1397.
Background: A substantial minority of adolescents suffer from depression and it is associated with increased risk of suicide, social and educational impairment, and mental health problems in adulthood. A recently conducted randomized controlled trial in England evaluated the effectiveness of a manualized universally delivered ageappropriate CBT programme in school classrooms. The cost-effectiveness of the programme for preventing low mood and depression for all participants from a health and social care sector perspective needs to be determined.
Methods: A trial-based cost-effectiveness analysis based on a cluster-randomized controlled trial (trial registration-ISRCTN 19083628) comparing classroom-based CBT with usual school provision of Personal Social and Health Education. Per-student cost of intervention was estimated from programme records. The study was undertaken in eight mixed-sex uK secondary schools, and included 3,357 school children aged 12 to 16 years (in the two trial arms evaluated in the cost-effectiveness analysis). The main outcome measures were individual self-reported data on care costs, Quality-Adjusted Life-Years (QALYs, based on the EQ-5D health-related quality-of-life instrument) and symptoms of depression (Short Mood and feelings Questionnaire) at baseline, 6 and 12 months.
Results: Although there was lower quality-adjusted life-years over 12 months (-.05 QALYs per person, 95% confidence interval -.09 to -.005, p = .03) with CBT, this is a 'clinically' negligible difference, which was not found in the complete case analyses. There was little evidence of any between-arm differences in SMfQ scores (0.19, 95% CI -0.57 to 0.95, p = .62), or costs (142, 95% CI -132 to 415, p = .31) per person for CBT versus usual school provision.
Conclusions: our analysis suggests that the universal provision of classroom-based CBT is unlikely to be either more effective or less costly than usual school provision.
(PsycINfo Database Record © 2015 APA, all rights reserved) (journal abstract).
n Birchwood M et al (2014) The uK national evaluation of the development and impact of Early Intervention Services (the National EDEN studies): study rationale, design and baseline characteristics. Early Intervention in Psychiatry 8(1): 59–67.
Aims: National EDEN aims to evaluate the implementation and impact on key outcomes of somewhat differently configured Early Intervention Services (EIS) across sites in England and to develop a model of variance in patient outcomes that includes
key variables of duration of untreated psychosis (DuP), fidelity to the EIS model and service engagement. The cohort is being followed up for two further years as patients are discharged, to observe the stability of change and the impact of the discharge settings.
Methods: A longitudinal cohort study of patients with a first episode of a psychosis, managed by EIS in six services across England. Patients are followed up 12 months after inception, then up to two years following discharge. Measures of DuP, psychosis, social functioning and relapse were taken. user and carer experience of EIS were monitored over time; as was the fidelity of each EIS to national guidelines. Service use is costed for a health economic evaluation.
Results: 1,027 people consented to the study of which 75% were successfully followed up at 12 months, with almost 100% data on treatment, relapse and recovery and service use.
Conclusions: National EDEN is the largest cohort study of young people with psychosis receiving care under EIS. It will be able definitively to indicate whether this major investment in the united Kingdom in EI is achieving meaningful change for its users in practice and provide indications concerning who does well under this approach and who does not, and the long-term stability of any improvements.
(© 2013 Wiley Publishing Asia Pty Ltd).
n Bodden DH et al (2008) Costs and cost-effectiveness of family CBT versus individual CBT in clinically anxious children. Clinical child psychology and psychiatry 543–564.
The objective of this study was to investigate the cost-effectiveness of family cognitivebehavioral therapy (CBT) compared with individual CBT in children with anxiety disorders. Clinically anxious children (aged 8–18 years) referred for treatment were randomly assigned to family or individual CBT and were assessed pre-treatment, post treatment, and at three months and one year after treatment. Cost-effectiveness ratios were calculated expressing the incremental costs per anxiety-free child and the incremental costs per Quality Adjusted Life Year (QALY) for the referred child.
Neither societal costs nor effectiveness were significantly different between individual and family CBT. However, the point estimates of the cost-effectiveness ratios resulted in dominance for individual CBT, indicating that individual CBT is more effective and less costly than family CBT. These results were confirmed by bootstrap analyses and cost-effectiveness acceptability curves. Several secondary and sensitivity analyses showed that the results were robust.
It can be concluded that family CBT is not a cost-effective treatment for clinically anxious children, compared with individual CBT.
youth Mental Health: New Economic Evidence
n Byford S et al (2007) Economic evaluation of a randomised controlled trial for anorexia nervosa in adolescents. The British Journal of Psychiatry 191(5): 436–440.
Background: Young people with anorexia nervosa are often admitted to hospital for treatment. As well as being disruptive to school, family and social life, in-patient treatment is expensive, yet cost-effectiveness evidence is lacking.
Aims: Cost-effectiveness analysis of three treatment strategies for adolescents with anorexia nervosa.
Method: uK multicentre randomised, controlled trial comparing in-patient psychiatric treatment, specialist out-patient treatment and general out-patient treatment. outcomes and costs assessed at baseline, one and two years.
Results: There were 167 young people in the trial. There were no statistically significant differences in clinical outcome between the three groups at two years. The specialist out-patient group was less costly over the two-year follow-up (mean total cost 26,738) than the in-patient (34,531) and general out-patient treatment (40,794) groups, but this result was not statistically significant. Exploration of the uncertainty associated with the costs and effects of the three treatments suggests that specialist out-patient treatment has the highest probability of being cost-effective.
Conclusions: on the basis of cost-effectiveness, these results support the provision of specialist out-patient services for adolescents with anorexia nervosa.
(PsycINfo Database Record © 2012 APA, all rights reserved) (journal abstract).
n Byford S et al (2007) Cost-effectiveness of selective serotonin reuptake inhibitors and routine specialist care with and without cognitive-behavioural therapy in adolescents with major depression. The British Journal of Psychiatry 191(6): 521–527.
Background: Major depression is an important and costly problem among adolescents, yet evidence to support the provision of cost-effective treatments is lacking.
Aims: To assess the short-term cost-effectiveness of combined selective serotonin reuptake inhibitors (SSRIs) and cognitive-behavioural therapy (CBT) together with clinical care compared with SSRIs and clinical care alone in adolescents with major depression.
Method: Pragmatic randomised controlled trial in the uK. outcomes and costs were assessed at baseline, 12 and 28 weeks.
Results: The trial comprised 208 adolescents, aged 11–17 years, with major or probable major depression who had not responded to a brief initial psychosocial
intervention. There were no significant differences in outcome between the groups with and without CBT. Costs were higher in the group with CBT, although not significantly so (P = 0.057). Cost-effectiveness analysis and exploration of the associated uncertainty suggest there is less than a 30% probability that CBT plus SSRIs is more cost-effective than SSRIs alone.
Conclusions: A combination of CBT plus SSRIs is not more cost-effective in the shortterm than SSRIs alone for treating adolescents with major depression in receipt of routine specialist clinical care.
(PsycINfo Database Record © 2012 APA, all rights reserved) (journal abstract).
n Carter T et al (2012) The effectiveness of a preferred intensity exercise programme on the mental health outcomes of young people with depression: a sequential mixed methods evaluation. BMC Public Health 12: 187.
Background: People with mental illness are more likely to suffer physical health problems than comparable populations who do not have mental illness. There is evidence to suggest that exercise, as well has having obvious physical benefits, also has positive effects on mental health. There is a distinct paucity of research testing its effects on young people seeking help for mental health issues. Additionally, it is generally found that compliance with prescribed exercise programmes is low. As such, encouraging young people to exercise at levels recommended by national guidelines may be unrealistic considering their struggle with mental health difficulties. It is proposed that an exercise intervention tailored to young people's preferred intensity may improve mental health outcomes, overall quality of life, and reduce exercise attrition rates.
Methods/design: A sequential mixed methods design will be utilised to assess the effectiveness of an individually tailored exercise programme on the mental health outcomes of young people with depression. The mixed methods design incorporates a Randomised Controlled Trial (RCT), focus groups and interviews and an economic evaluation.
Participants: 158 young people (14–17 years) recruited from primary care and voluntary services randomly allocated to either the intervention group or control group. Intervention group: participants will undertake a 12-week exercise programme of 12 per 60 minutes of preferred intensity aerobic exercise receiving motivational coaching and support throughout. Participants will also be invited to attend focus groups and one-to-one interviews following completion of the exercise programme to elicit potential barriers facilitators to participation. Control group: participants will receive treatment as usual.
Primary outcome measure: Depression using the Children's Depression Inventory 2 (CDI-2).
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Secondary outcome measures: Quality of Life (EQ-5D), physical fitness (Borg RPE scale, heart rate), incidents of self-harm, treatment received and compliance with treatment, and the cost effectiveness of the intervention. outcome measures will be taken at baseline, post intervention and six-month follow up.
Discussion: The results of this study will inform policy makers of the effectiveness of preferred intensity exercise on the mental health outcomes of young people with depression, the acceptability of such an intervention to this population and its cost effectiveness.
(Trial Registration: ClinicalTrials.g (Au))
n Chatterji P et al (2004) Cost assessment of a school-based mental health screening and treatment program in New York City. Ment Health Serv Res 6(3): 155–166.
Although school-based mental health screening and treatment programmes have been proposed as a viable means of reaching youth with unmet mental health needs, no previous reports have attempted to comprehensively document the costs of such programmes. The purposes of this report are (1) to estimate the cost of a schoolbased mental health screening and treatment programme in a real-world school setting, and (2) to outline the methods and procedures that should be employed by future investigators to explore the costs of such programmes.
The programme, located in a middle school in a low-income, largely Hispanic neighbourhood in New York City, aimed to screen all students in Grades 6–8 for anxiety, depression and substance use disorders. Most students in need of treatment were referred to the school-based treatment programme, where social workers offered individual and group counseling. Economic evaluation methods and a before/after study design were used to assess the costs of the screening and treatment programmes for three years of operation. Costs were estimated from the societal perspective, which includes all measurable programme costs regardless of who bears the costs, and the school perspective, which includes only costs that would be borne directly by a school operating these programmes. Data primarily came from administrative records and staff interviews.
The total cost ranged from $106,125 to $172,018 for the screening programme and from $420,077 to $468,320 for the treatment programme. The cost of the screening programme ranged from $149 to $234 per student and the cost of the treatment programme ranged from $90 to $115 per session. These costs were estimated from the perspective of society. Applying economic cost analysis methods in a real-world school setting is challenging, but the process can generate useful estimates. Cost analyses and cost-effectiveness studies are needed in this area.
n Cocchi A et al (2011) Cost-effectiveness of treating first-episode psychosis: five-year follow-up results from an Italian early intervention programme. Early Interv Psychiatry 5(3): 203–211.
Aim: Early intervention programmes are expected to result in the reduction of illness severity in patients with schizophrenia, and contain health care costs by reducing hospital admissions and improving the social functioning of patients. This study aimed to investigate the cost-effectiveness of treatment in an early intervention programme in comparison to standard care.
Methods: Retrospective analysis of data prospectively recorded in an urban area (Milan, Italy). Twenty-three patients from an early intervention programme and 23 patients from standard care with first-episode psychosis were evaluated on their use of services over a five-year period. The Health of the Nation outcome Scale was used to measure clinical status.
Results: Significant changes with respect to initial assessment were recorded on the Health of the Nation outcome Scale, with larger effect sizes in the early intervention programme than in the standard care group. Consequently, the cost-effectiveness ratio per reduced score of severity was lower in the early intervention programme than in standard care (€4,802 vs. €9,871), with an incremental cost-effectiveness ratio, or net saving of €1,204 for every incremental reduced score of severity. over time, greater recourse to hospital and residential facilities to obtain comparable improvement in symptoms resulted in a steady cost increase for the patients in standard care.
Conclusions: Allocation of funds to specialized early intervention programmes is the best alternative, as it can save costs by reducing the use of hospitals and residential facilities, and may produce net savings of costs in the long term.
n Domino ME et al (2008) Cost-effectiveness of treatments for adolescent depression: results from TADS. The American Journal of Psychiatry 165(5): 588–596.
objective: While the evidence base for treatments for adolescent depression is building, little is known about the relative efficiency of such treatments. Treatment costs are a relevant concern given the competing demands on family and health care budgets. The authors evaluated the cost-effectiveness of three active treatments among adolescents with major depressive disorder.
Method: Volunteers (n=439) ages 12 to 18 with a primary diagnosis of major depressive disorder participated in a randomized, controlled trial conducted at 13 uS academic and community clinics from 2000 to 2004. Subjects included those participants who did not drop out and had evaluable outcome and cost data at 12 weeks (n=369). Subjects were randomly assigned to 12 weeks of either fluoxetine alone (10–40 mg/day), CBT alone, CBT combined with fluoxetine (10–40 mg/day), or
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placebo (equivalent to 10–40 mg/day). Both placebo and fluoxetine were administered double-blind; CBT alone and CBT in combination with fluoxetine were administered unblinded. Societal cost per unit of improvement on the Children's Depression Rating Scale-Revised and cost per quality-adjusted life year (QALY) were compared.
Results: Results ranged from an incremental cost over placebo of $24,000 per QALY for treatment with fluoxetine to $123,000 per QALY for combination therapy treatment. The cost-effectiveness ratio for CBT treatment was not evaluable due to negative clinical effects. The models were robust on a variety of assumptions.
Conclusions: Both fluoxetine and combination therapy are at least as cost-effective in the short-term as other treatments commonly used in primary care (using a threshold of $125,000/QALY). fluoxetine is more cost-effective than combination therapy after 12 weeks of treatment.
(PsycINfo Database Record © 2012 APA, all rights reserved) (journal abstract).
n Domino ME et al (2009) Relative cost-effectiveness of treatments for adolescent depression: 36-week results from the TADS randomized trial. Journal of the American Academy of Child & Adolescent Psychiatry 48(7): 711–720.
objective: The cost-effectiveness of three active interventions for major depression in adolescents was compared after 36 weeks of treatment in the Treatment of Adolescents with Depression Study.
Method: outpatients aged 12 to 18 years with a primary diagnosis of major depression participated in a randomized controlled trial conducted at 13 uS academic and community clinics from 2000 to 2004. Three hundred twenty-seven participants randomized to 1 of 3 active treatment arms, fluoxetine alone (n=109), cognitivebehavioral therapy (n=111) alone, or their combination (n=107), were evaluated for a three-month acute treatment and a six-month continuation/maintenance treatment period. Costs of services received for the 36 weeks were estimated and examined in relation to the number of depression-free days and quality-adjusted life-years. Costeffectiveness acceptability curves were also generated. Sensitivity analyses were conducted to assess treatment differences on the quality-adjusted life-years and costeffectiveness measures.
Results: Cognitive-behavioral therapy was the most costly treatment component (mean $1,787 [in monotherapy] and $1,833 [in combination therapy], median $1,923 [for both]). Reflecting higher direct and indirect costs associated with psychiatric hospital use, the costs of services received outside Treatment of Adolescents with Depression Study in fluoxetine-treated patients (mean $5,382, median $2,341) were significantly higher than those in participants treated with cognitive-behavioral therapy (mean $3,102, median $1,373) or combination (mean $2,705, median $927). Accordingly,
cost-effectiveness acceptability curves indicate that combination treatment is highly likely (>90%) to be more cost-effective than fluoxetine alone at 36 weeks. Cognitivebehavioral therapy is not likely to be more cost-effective than fluoxetine.
Conclusions: These findings support the use of combination treatment in adolescents with depression over monotherapy.
(PsycINfo Database Record © 2013 APA, all rights reserved) (journal abstract).
n faber A et al (2008) Long-acting methylphenidate-oRoS in youths with attention-deficit hyperactivity disorder suboptimally controlled with immediaterelease methylphenidate: a study of cost effectiveness in The Netherlands. CNS Drugs 22(2): 157–170.
Background: Attention-deficit hyperactivity disorder (ADHD) is the most common mental health disorder in youths. Stimulants are the drugs of first choice in the treatment of ADHD. It has been suggested that full costs associated with the treatment of ADHD may be reduced by once-daily administration regimens of stimulants.
objectives: To estimate the cost effectiveness of treatment with long-acting methylphenidate osmotic release oral system (oRoS) [Concerta] for youths with ADHD for whom treatment with immediate-release (IR) methylphenidate is suboptimal.
Study design: We developed a Markov model to obtain an incremental costeffectiveness ratio (ICER). The analysis covered 10 years, with a Markov cycle of one day. Costs (in 2005 Euros) included medication, consultations and treatment interventions, and additional costs for attending special education. Quality-adjusted life-years (QALYs) were used as the effectiveness measure. outcome probabilities were taken from the medical literature and an expert panel of five child psychiatrists and paediatricians. univariate sensitivity analyses were performed to assess the robustness of the base-case estimate. Multivariate sensitivity analysis was used to estimate a worst- and best-case ICER.
Results: The ICER of methylphenidate-oRoS treatment in youths with ADHD for whom treatment with IR methylphenidate is suboptimal was €2,004 per QALY. Total costs after 10 years were €15,739 for the IR methylphenidate pathway and €16,015 for the methylphenidate-oRoS pathway. In the univariate sensitivity analysis, the ICER was sensitive to changes in resource use and the probability of stopping stimulant treatment in favour of IR methylphenidate. An ICER of 0 was reached with a 6.2% price reduction of methylphenidate-oRoS.
Conclusion: Methylphenidate-oRoS is a cost-effective treatment for youths with ADHD for whom treatment with IR methylphenidate is suboptimal. Higher medication costs of methylphenidate-oRoS were compensated for by savings on resource use, yielding similar 10-year costs compared with treatment with IR methylphenidate. our analysis is
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sensitive to both clinical parameters and (differences in) resource utilization and costs between the groups modelled, warranting further research within clinical trials and observational databases, and into the full scope of costs.
n Gowers SG et al (2010) A randomised controlled multicentre trial of treatments for adolescent anorexia nervosa including assessment of costeffectiveness and patient acceptability – the TouCAN trial. Health Technology Assessment (Winchester, England) 1–98.
objective: To evaluate the clinical effectiveness and cost-effectiveness of inpatient compared with outpatient treatment and general (routine) treatment in Child and Adolescent Mental Health Services (CAMHS) against specialist treatment for young people with anorexia nervosa. In addition, to determine young people's and their carers' satisfaction with these treatments.
Design: A population-based, pragmatic randomised controlled trial (RCT) was carried out on young people age 12 to 18 presenting to community CAMHS with anorexia nervosa.
Setting: Thirty-five English CAMHS in the north-west of England coordinated through specialist centres in Manchester and Liverpool. Two hundred and fifteen young people (199 female) were identified, of whom 167 (mean age 14 years 11 months) were randomised and 48 were followed up as a preference group.
Interventions: Randomised patients were allocated to either inpatient treatment in one of four units with considerable experience in the treatment of anorexia nervosa, a specialist outpatient programme delivered in one of two centres, or treatment as usual in general community CAMHS. The outpatient programmes spanned six months of treatment. The length of inpatient treatment was determined on a case-by-case basis on clinical need with outpatient follow-up to a minimum of six months.
Main outcome measures: follow-up assessments were carried out at 1, 2 and 5 years. The primary outcome measure was the Morgan-Russell Average outcome Scale (MRAoS) and associated categorical outcomes. Secondary outcome measures included physical measures of weight, height, body mass index (BMI) and % weight for height. Research ratings included the Health of the National outcome Scale for Children and Adolescents (HoNoSCA). Self report measures comprised the user version of HoNoSCA (HoNoSCA-SR), the Eating Disorder Inventory 2 (EDI-2), the family Assessment Device (fAD) and the recent Mood and feelings Questionnaire (MfQ). Information on resource use was collected in interview at 1, 2 and 5 years using the Child and Adolescent Service use Schedule (CA-SuS). Satisfaction was measured quantitatively using a questionnaire designed for the study and qualitative (free) responses on it. The questionnaire data were supplemented by qualitative analysis of user and carer focus groups.
Results: of the 167 patients randomised, 65% adhered to the allocated treatment. Adherence was lower for inpatient treatment (49%) than for general CAMHS (71%) or specialist outpatient treatment (77%) (p = 0.013). Every subject was traced at both 1 and 2 years, with the main outcome measure completed (through contact with the subject, family members or clinicians), by 94% at 1 year, 93% at 2 years, but only 47% at 5 years. A validated outcome category was assigned for 98% at 1 year, 96% at 2 years and 60% at 5 years. There was significant improvement in all groups at each time point, with the number achieving a good outcome being 19% at 1 year, 33% at 2 years and 64% (of those followed up) at 5 years. Analysis demonstrated no difference in treatment effectiveness of randomisation to inpatient compared with outpatient treatment, or, specialist over generalist treatment at any time point, when baseline characteristics were taken into account. Generalist CAMHS treatment was slightly more expensive over the first two years of the study, largely because greater numbers were subsequently admitted to hospital after the initial treatment phase. The specialist outpatient programme was the dominant treatment in terms of incremental costeffectiveness. Specialist treatments had a higher probability of being more cost-effective than generalist treatments and outpatient treatment had a higher probability of being more cost-effective than inpatient care. Parental satisfaction with treatment was generally good, though better with specialist than generalist treatment. Young people's satisfaction was much more mixed, but again better with specialist treatment, including inpatient care.
Conclusion: Poor adherence to randomisation (despite initial consent to it), limits the assessment of the treatment effect of inpatient care. However, this study provides little support for lengthy inpatient psychiatric treatment on clinical or health economic grounds. These findings are broadly consistent with existing guidelines on the treatment of anorexia nervosa, which suggest that outpatient treatments should be offered to the majority, with inpatient treatment offered in rare cases, though our findings lend little support to a stepped-care approach in which inpatient care is offered to outpatient non-responders. outpatient care, supported by brief (medical) inpatient management for correction of acute complications may be a preferable approach. The health economic analysis and user views both support NICE guidelines, which suggest that anorexia nervosa should be managed in specialist services that have experience and expertise in its management. Comprehensive general CAMHS might, however, be well placed to manage milder cases. further research should focus on the specific components of outpatient psychological therapies. Although family-based treatments are well established, trials have not established their effectiveness compared with goodquality individual psychological therapies and the combination of individual and family approaches is untested. further research is needed to establish which patients (if any) might respond to inpatient psychiatric treatment when unresponsive to outpatient care, the positive and negative components of it and the optimum length of stay.
(Trial Registration: NRR number (National Research Register) N0484056615; Current Controlled Trials ISRCTN39345394).
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n Green JM et al (2011) Group therapy for adolescents with repeated self harm: randomised controlled trial with economic evaluation. BMJ (Clinical research ed.) d682
objective: To examine the effectiveness and cost-effectiveness of group therapy for self harm in young people.
Design: Two arm, single (assessor) blinded parallel randomised allocation trial of a group therapy intervention in addition to routine care, compared with routine care alone. Randomisation was by minimisation controlling for baseline frequency of self harm, presence of conduct disorder, depressive disorder, and severity of psychosocial stress.
Participants: Adolescents aged 12–17 years with at least two past episodes of self harm within the previous 12 months. Exclusion criteria were: not speaking English, low weight anorexia nervosa, acute psychosis, substantial learning difficulties (defined by need for specialist school), current containment in secure care.
Setting: Eight child and adolescent mental health services in the northwest uK.
Interventions: Manual-based developmental group therapy programme specifically designed for adolescents who harm themselves, with an acute phase over six weekly sessions followed by a booster phase of weekly groups as long as needed. Details of routine care were gathered from participating centres.
Main outcome measures: Primary outcome was frequency of subsequent repeated episodes of self harm. Secondary outcomes were severity of subsequent self harm, mood disorder, suicidal ideation, and global functioning. Total costs of health, social care, education, and criminal justice sector services, plus family related costs and productivity losses, were recorded.
Results: 183 adolescents were allocated to each arm (total n=366). Loss to follow-up was low (<4%). on all outcomes the trial cohort as a whole showed significant improvement from baseline to follow-up. on the primary outcome of frequency of self harm, proportional odds ratio of group therapy versus routine care adjusting for relevant baseline variables was 0.99 (95% confidence interval 0.68 to 1.44, P = 0.95) at 6 months and 0.88 (0.59 to 1.33, P = 0.52) at 1 year. for severity of subsequent self harm the equivalent odds ratios were 0.81 (0.54 to 1.20, P = 0.29) at 6 months and 0.94 (0.63 to 1.40, P = 0.75) at 1 year. Total 1 year costs were higher in the group therapy arm (£21,781) than for routine care (£15,372) but the difference was not significant (95% CI -1,416 to 10,782, P = 0.132).
Conclusions: The addition of this targeted group therapy programme did not improve self harm outcomes for adolescents who repeatedly self harmed, nor was there evidence of cost effectiveness. The outcomes to end point for the cohort as a whole were better than current clinical expectations.
(Trial registration ISRCTN 20496110).
n Kuo E et al (2009) Cost-effectiveness of a school-based emotional health screening program. J Sch Health 79(6): 277–285.
Background: School-based screening for health conditions can help extend the reach of health services to underserved populations. Screening for mental health conditions is growing in acceptability, but evidence of cost-effectiveness is lacking. This study assessed costs and effectiveness associated with the Developmental Pathways Screening Program, in which students undergo universal classroom emotional health screening and those who have positive screens are provided with on-site clinical evaluation and referral.
Methods: Costs are enumerated for screening and clinical evaluation in terms of labor and overhead and summarized as cost per enrolled student, per positive screen, and per referral. Cost-effectiveness is summarized as cost per student successfully linked to services. School demographics are used to generate a predictive formula for estimating the proportion of students likely to screen positive in a particular school, which can be used to estimate programme cost.
Results: Screening costs ranged from $8.88 to $13.64 per enrolled student, depending on the prevalence of positive screens in a school. of students referred for services, 72% were linked to supportive services within six weeks. Cost-effectiveness was estimated to be $416.90 per successful linkage when 5% screened positive and $106.09 when 20% screened positive. A formula to estimate the proportion of students screening positive proved accurate to within 5%.
Conclusion: Information concerning costs and effectiveness of school-based emotional health screening programmes can guide school districts in making decisions concerning resource allocation.
n Latimer EA et al (2014) Cost-effectiveness of a rapid response team intervention for suicidal youth presenting at an emergency department. Canadian Journal of Psychiatry 59(6): 310–318.
objective: To investigate the cost-effectiveness of a rapid response team (RRT), compared with usual care (uC), for treating suicidal adolescents.
Methods: Suicidal adolescents (n=286) presenting at an emergency department were enrolled in a trial to compare uC with enhanced outpatient care provided by an RRT of health professionals. functioning (Child Global Assessment Scale) and suicidality (Spectrum of Suicidal Behavior Scale) scores were measured at baseline and six months later. Resource use and cost data were collected from several sources during the same period.
Results: As previously reported, there was no statistically or clinically significant difference in either functioning or suicidality between the groups. Costs of the RRT
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were lower by $1,886, thus -$1,886 (95% CI -$4,238 to $466), from the perspective of the treating hospital, and by $991, thus -$991 (95% CI -$,5580 to $3,598), from the perspective of society. If decision makers are not willing to pay for any improvement in functioning or suicidality, the RRT has a 95% probability of being cost-effective from the perspective of the treating hospital. from the point of view of society, the probability of the intervention being cost-effective is about 70% for functioning and 63% for suicidality. The difference between the two perspectives is mainly attributable to the cost of hospitalizations outside the treating hospital.
Conclusions: An RRT intervention appears to be cost-effective, compared with uC, from the point of view of the treating hospital, but there is no difference from the point of view of society.
n Lock J et al (2008) Costs of remission and recovery using family therapy for adolescent anorexia nervosa: a descriptive report. Eat Disord 16(4): 322–330.
This paper reports on the costs of overall treatment for a cohort of adolescent patients with anorexia nervosa treated with a similar regimen consisting of inpatient medical stabilization, outpatient family therapy, and psychiatric medications for co-morbid psychiatric conditions.
Most of the costs associated with outcome were secondary to medical hospitalization. However, the overall costs per remission varied widely depending on the threshold used. However, compared to costs described for adults with anorexia nervosa, adolescent treatment costs appear to be lower when families are used effectively to aid in treatment.
n Lynch fL et al (2011) Incremental cost-effectiveness of combined therapy vs medication only for youth with selective serotonin reuptake inhibitor-resistant depression: treatment of SSRI-resistant depression in adolescents trial findings. Archives of General Psychiatry 68(3): 253–262.
Context: Many youth with depression do not respond to initial treatment with selective serotonin reuptake inhibitors (SSRIs), and this is associated with higher costs. More effective treatment for these youth may be cost-effective.
objective: To evaluate the incremental cost-effectiveness over 24 weeks of combined cognitive behavior therapy plus switch to a different antidepressant medication vs medication switch only in adolescents who continued to have depression despite adequate initial treatment with an SSRI.
Design: Randomized controlled trial.
Setting: Six uS academic and community clinics. Patients: Three hundred thirty-four patients aged 12 to 18 years with SSRI-resistant depression. Intervention: Participants
were randomly assigned to (1) switch to a different medication only or (2) switch to a different medication plus cognitive behavior therapy.
Main outcome measures: Clinical outcomes were depression- free days (DfDs), depression-improvement days (DIDs), and quality-adjusted life-years based on DfDs (DfD-QALYs). Costs of intervention, non-protocol services, and families were included.
Results: Combined treatment achieved 8.3 additional DfDs (P = .03), 0.020 more DfD-QALYs (P = .03), and 11.0 more DIDs (P = .04). Combined therapy cost $1,633 more (P = .01). Cost per DfD was $188 (incremental cost-effectiveness ratio [ICER] = $188; 95% confidence interval [CI], -$22 to $1,613), $142 per DID (ICER = $142; 95% CI, -$14 to $2,529), and $78 948 per DfD-QALY (ICER = $78,948; 95% CI, -$9,261 to $677,448). Cost-effectiveness acceptability curve analyses suggest a 61% probability that combined treatment is more cost-effective at a willingness to pay $100,000 per QALY. Combined treatment had a higher net benefit for subgroups of youth without a history of abuse, with lower levels of hopelessness, and with comorbid conditions.
Conclusions: for youth with SSRI-resistant depression, combined treatment decreases the number of days with depression and is more costly. Depending on a decision maker's willingness to pay, combined therapy may be cost-effective, particularly for some subgroups.
(PsycINfo Database Record © 2013 APA, all rights reserved) (journal abstract).
n Lynch fL et al (2005) Cost-effectiveness of an intervention to prevent depression in at-risk teens. Archives of General Psychiatry 62(11): 1241–1248.
Contact: Depression is common in adolescent offspring of depressed parents and can be prevented, but adoption of prevention programmes is dependent on the balance of their incremental costs and benefits.
objective: To examine the incremental cost-effectiveness of a group cognitive behavioral intervention to prevent depression in adolescent offspring of depressed parents.
Design: Cost-effectiveness analysis of a recent randomized controlled trial.
Setting: Kaiser Permanente Northwest, a large health maintenance organization.
Participants: Teens 13 to 18 years old at risk for depression.
Interventions: usual care (n=49) or usual care plus a 15-session group cognitive therapy prevention programme (n=45).
Main outcome measures: Clinical outcomes were converted to depression-free days and quality-adjusted life-years. Total health maintenance organization costs, costs of services received in other sectors, and family costs were combined with clinical
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outcomes in a cost-effectiveness analysis comparing the intervention with usual care for one year after the intervention.
Results: Average cost of the intervention was $1,632, and total direct and indirect costs increased by $610 in the intervention group. However, the result was not statistically significant, suggesting a possible cost offset. Estimated incremental cost per depression-free day in the base-case analysis was $10 (95% confidence interval, $13 to $52) or $9,275 per quality-adjusted life-year (95% confidence interval, -$12,148 to $45,641).
Conclusions: Societal cost-effectiveness of a brief prevention programme to reduce the risk of depression in offspring of depressed parents is comparable to that of accepted depression treatments, and the programme is cost-effective compared with other health interventions commonly covered in insurance contracts.
(PsycINfo Database Record © 2012 APA, all rights reserved) (journal abstract).
n McCrone P et al (2013) The economic impact of early intervention in psychosis services for children and adolescents. Early Intervention in Psychiatry 7(4): 368–373.
Aims: To develop and populate a plausible model of the impact of early intervention (EI) for children and adolescents with psychosis to estimate potential short-term healthrelated cost savings compared to generic Child and Adolescent Mental Health Services (CAMHS).
Method: A decision-tree-based model for EI in CAMHS was developed. The model was populated using data relating to the use of inpatient care and EI service activity for people aged under 18 from an area of North East England. Data were abstracted from the National Health Service clinical reporting systems for 2001–2008. Sensitivity analyses were performed to examine costs associated with the model under differing assumptions.
Results: EI delivered cost savings of £4,814 per patient compared to care provided by generic CAMHS. Cost savings were predominantly a consequence of reduced length of hospital admissions for patients served by the EI team. The findings were robust to sensitivity analyses.
Conclusions: These findings suggest that EI services for children and adolescents with psychosis provide potential direct health cost savings comparable to those observed for working-age adults.
(2013 Wiley Publishing Asia Pty Ltd.)
n Mihalopoulos C et al (2012) The population cost-effectiveness of interventions designed to prevent childhood depression. Pediatrics 129(3): e723–730.
Background and objectives: Depression in childhood and adolescence is common and often persists into adulthood. This study assessed the population-level costeffectiveness of a preventive intervention that screens children and adolescents for symptoms of depression in schools and the subsequent provision of a psychological intervention to those showing elevated signs of depression. The target population for screening comprised 11- to 17-year-old children and adolescents in the 2003 Australian population.
Methods: Economic modelling techniques were used to assess the incremental costeffectiveness of the intervention compared with no intervention. The perspective was that of the health sector, and outcomes were measured by using disability-adjusted life-years (DALYs). Multivariate probabilistic and univariate sensitivity testing was applied to quantify variations in the model parameters.
Results: The modelled psychological intervention had an incremental cost-effectiveness ratio of $5,400 per DALY averted, with just 2% of iterations falling above a $50,000 per DALY value-for-money threshold. Results were robust to model assumptions.
Conclusions: After school screening, screening and the psychological intervention represent good value-for-money. Such an intervention needs to be seriously considered in any national package of preventive health services. Acceptability issues, particularly to intervention providers, including schools and mental health professionals, need to be considered before wide-scale adoption.
n Nyden A et al (2008) Long-term psychosocial and health economy consequences of ADHD, autism, and reading-writing disorder: a prospective service evaluation project. J Atten Disord 12(2): 141–148.
objective: The study aims to evaluate psychosocial, societal, and family cost consequences of a psychoeducational intervention programme.
Methods: Sixty boys with ADHD, Asperger syndrome/high-functioning autism (AS/HfA), and reading and writing disorder (RD/WD) were allocated to participate in a service evaluation project. Every other boy in each diagnostic group was randomly allocated to receive either (a) a special education programme (clinical index group) or (b) follow-up without the special education programme (clinical comparison group). Nine years after initial assessments the stability of the psychosocial and economic resource consequences over time was studied.
Results: ADHD, AS/HfA, and RD/WD all had severe impact on family life quality. The societal costs were high, but no significant differences in resource use or in total costs were found between the clinical index and the comparison groups.
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Conclusions: The results underscore the very long-term need for support including individually tailored reevaluations and carefully monitored intervention programmes adapted to family needs and severity of child disorder.
n Philipsson A et al (2013) Cost-utility analysis of a dance intervention for adolescent girls with internalizing problems. Cost Effectiveness and Resource Allocation 11: 4.
Background: The increasing prevalence of psychological health problems among adolescent girls is alarming. Knowledge of beneficial effects of physical activity on psychological health is widespread. Dance is a popular form of exercise that could be a protective factor in preventing and treating symptoms of depression. The aim of this study was to assess the cost-effectiveness of a dance intervention in addition to usual school health services for adolescent girls with internalizing problems, compared with usual school health services alone.
Methods: A cost-utility analysis from a societal perspective based on a randomized controlled intervention trial was performed. The setting was a city in central Sweden with a population of 130000. A total of 112 adolescent girls, 13–18 years old, with internalizing problems participated in the study. They were randomly assigned to intervention (n=59) or control (n=53) group. The intervention comprised dance twice weekly during eight months in addition to usual school health services. Costs for the stakeholder of the intervention, treatment effect and healthcare costs were considered. Gained quality-adjusted life-years (QALYs) were used to measure the effects. Quality of life was measured with the Health utility Index Mark 3. Cost-effectiveness ratios were based on the changes in QALYs and net costs for the intervention group compared with the control group. Likelihood of cost-effectiveness was calculated.
Results: At 20 months, quality of life had increased by 0.08 units more in the intervention group than in the control group (P = .04), translating to 0.10 gained QALYs. The incremental cost-effectiveness ratio was uSD $3,830 per QALY and the likelihood of cost-effectiveness was 95%.
Conclusions: Intervention with dance twice weekly in addition to usual school health services may be considered cost-effective compared with usual school health services alone, for adolescent girls with internalizing problems.
(Trial registration: Name of the trial registry: Influencing Adolescent Girls' With Creative Dance Twice Weekly. Trial registration number: NCT01523561. 2013 Philipsson et al; licensee BioMed Central Ltd).
n Phillips LJ et al (2009) Cost implications of specific and non-specific treatment for young persons at ultra high risk of developing a first episode of psychosis. Early Interv Psychiatry 3(1): 28–34.
Aim: Costs associated with mental health treatment for young persons at 'ultra' high risk (uHR) of developing a psychotic disorder have not previously been reported. This paper reports cost implications of providing psychological and pharmacological intervention for individuals at uHR for psychosis compared with minimal psychological treatment.
Method: Mental health service costs associated with a randomized controlled trial of two treatments (Specific Preventive Intervention: SPI and Needs-Based Intervention: NBI) for uHR young persons were estimated and compared at three time points: treatment phase, short-term follow up and medium-term follow up.
Results: Although the SPI group incurred significantly higher treatment costs than the NBI group over the treatment phase, they incurred significantly lower outpatient treatment costs over the longer term.
Conclusion: This study indicates that specific interventions designed to treat young persons who are identified as being at uHR of psychosis might be associated with some cost savings compared with non-specific interventions.
n Ruby A et al (2013) Economic analysis of an internet-based depression prevention intervention. Journal of Mental Health Policy and Economics 16(3): 121–130.
Background: The transition through adolescence places adolescents at increased risk of depression, yet care-seeking in this population is low, and treatment is often ineffective. In response, we developed an Internet-based depression prevention intervention (CATCH-IT) targeting at-risk adolescents.
Aims: We explored CATCH-IT programme costs, especially safety costs, in the context of an Accountable Care organization as well as the perceived value of the Internet programme.
Methods: Total and per-patient costs of development were calculated using an assumed cohort of a 5,000-patient Accountable Care organization. Total and perpatient costs of implementation were calculated from grant data and the Medicare Resource-Based Relative Value Scale (RBRVS) and were compared to the willingnessto-pay for CATCH-IT and to the cost of current treatment options. The cost effectiveness of the safety protocol was assessed using the number of safety calls placed and the percentage of patients receiving at least one safety call. The willingnessto-pay for CATCH-IT, a measure of its perceived value, was assessed using post-study questionnaires and was compared to the development cost for a break-even point.
youth Mental Health: New Economic Evidence
Results: We found the total cost of developing the intervention to be $138,683.03. of the total, 54% was devoted to content development with per patient cost of $27.74. The total cost of implementation was found to be $49,592.25, with per patient cost of $597.50. Safety costs accounted for 35% of the total cost of implementation. for comparison, the cost of a 15-session group cognitive behavioral therapy (CBT) intervention aimed at at-risk adolescents was $1,632 per patient. Safety calls were successfully placed to 96.4% of the study participants. The cost per call was $40.51 with a cost per participant of $197.99. The willingness-to-pay for the Internet portion of CATCH-IT had a median of $40. The break-even point to offset the cost of development was 3,468 individuals.
Discussion and limitations: Developing Internet-based interventions like CATCH-IT appears economically viable in the context of an Accountable Care organization. furthermore, while the cost of implementing an effective safety protocol is proportionally high for this intervention, CATCH-IT is still significantly cheaper to implement than current treatment options. Limitations of this research included diminished participation in follow-up surveys assessing willingness-to-pay.
Implications for health care provision and use and health policies: This research emphasizes that preventive interventions have the potential to be cheaper to implement than treatment protocols, even before taking into account lost productivity due to illness. Research such as this business application analysis of the CATCH-IT programme highlights the importance of supporting preventive medical interventions as the healthcare system already does for treatment interventions.
Implications for further Research: This research is the first to analyze the economic costs of an Internet-based intervention. further research into the costs and outcomes of such interventions is certainly warranted before they are widely adopted. furthermore, more research regarding the safety of Internet-based programmes will likely need to be conducted before they are broadly accepted.
(PsycINfo Database Record © 2013 APA, all rights reserved) (journal abstract).
n Rund BR et al (1994) The Psychosis Project: outcome and cost-effectiveness of a psychoeducational treatment programme for schizophrenic adolescents. Acta psychiatrica Scandinavica 89(3): 211–218.
Examined which of two treatment programmes was more efficient in the rehabilitation of early-onset schizophrenics: a psychoeducational approach or standard reference treatment, including individual therapy, milieu therapy, and neuroleptic medication. 24 patients evenly divided into a schizophrenic and a control group were evaluated. Clinical outcome was assessed by relapses during the two-year period and changes in psychosocial functioning as measured by the Global Assessment Scale (RL Spitzer and J Endicott, 1978).
Results showed that the more effective programme measured by relapse was also the cheaper, the psychoeducational programme. Those with poor pre-morbid psychosocial functioning benefit most from this treatment. The cooperativeness of their parents and their ability to change their emotional attitudes toward them are crucial to treatment effectiveness.
(PsycINfo Database Record © 2013 APA, all rights reserved).
n Schmidt u et al (2007) A randomized controlled trial of family therapy and cognitive behavior therapy guided self-care for adolescents with bulimia nervosa and related disorders. Am J Psychiatry 164(4): 591–598.
objective: To date no trial has focused on the treatment of adolescents with bulimia nervosa. The aim of this study was to compare the efficacy and cost-effectiveness of family therapy and cognitive behavior therapy (CBT) guided self-care in adolescents with bulimia nervosa or eating disorder not otherwise specified.
Method: Eighty-five adolescents with bulimia nervosa or eating disorder not otherwise specified were recruited from eating disorder services in the united Kingdom. Participants were randomly assigned to family therapy for bulimia nervosa or individual CBT guided self-care supported by a health professional. The primary outcome measures were abstinence from binge-eating and vomiting, as assessed by interview at end of treatment (6 months) and again at 12 months. Secondary outcome measures included other bulimic symptoms and cost of care.
Results: of the 85 study participants, 41 were assigned to family therapy and 44 to CBT guided self-care. At six months, bingeing had undergone a significantly greater reduction in the guided self-care group than in the family therapy group; however, this difference disappeared at 12 months. There were no other differences between groups in behavioral or attitudinal eating disorder symptoms. The direct cost of treatment was lower for guided self-care than for family therapy. The two treatments did not differ in other cost categories.
Conclusions: Compared with family therapy, CBT guided self-care has the slight advantage of offering a more rapid reduction of bingeing, lower cost and greater acceptability for adolescents with bulimia or eating disorder not otherwise specified.
n Sheidow AJ et al (2004) Treatment costs for youths receiving multisystemic therapy or hospitalization after a psychiatric crisis. Psychiatr Serv 55(5): 548–554.
objective: The authors conducted a cost analysis for multisystemic therapy, an evidence-based treatment that is used as an intensive community-based alternative to the hospitalization of youths presenting with psychiatric emergencies.
youth Mental Health: New Economic Evidence
Methods: Data from a randomized clinical trial that compared multisystemic therapy with usual inpatient services followed by community aftercare were used to compare Medicaid costs and clinical outcomes during a four-month period post-referral and a 12-month follow-up period. Data were from 115 families receiving Medicaid (out of 156 families in the clinical trial).
Results: During the four months post-referral, multisystemic therapy was associated with an average net savings per youth treated of $1,617 compared with usual services. Costs during the 12-month follow-up period were similar between treatments. Multisystemic therapy demonstrated better short-term cost-effectiveness for each of the clinical outcomes (externalizing behavior, internalizing behavior, and global severity of symptoms) than did usual inpatient care and community aftercare. The two treatments demonstrated equivalent long-term cost-effectiveness.
Conclusions: Among youths presenting with psychiatric emergencies, multisystemic therapy was associated with better outcomes at a lower cost during the initial postreferral period and with equivalent costs and outcomes during the 12-month follow-up period.
n Stallard P et al (2013) A cluster randomised controlled trial to determine the clinical effectiveness and cost-effectiveness of classroom-based cognitivebehavioural therapy (CBT) in reducing symptoms of depression in high-risk adolescents. Health Technology Assessment 17 (47): i-xvii+1–109.
Background: Depression in adolescents is a significant problem that impairs everyday functioning and increases the risk of severe mental health disorders in adulthood. Although this is a major problem, relatively few adolescents with, or at risk of developing, depression are identified and referred for treatment. This suggests the need to investigate alternative approaches whereby preventative interventions are made widely available in schools.
objective: To investigate the clinical effectiveness and cost-effectiveness of classroombased cognitive- behavioural therapy (CBT) in reducing symptoms of depression in high-risk adolescents.
Design: Cluster randomised controlled trial. Year groups (n=28) randomly allocated on a 1:1:1 basis to one of three trial arms once all schools were recruited and balanced for number of classes, number of students, Personal, Social and Health Education (PSHE) lesson frequency, and scheduling of PSHE.
Setting: Year groups 8 to 11 (ages 12–16 years) in mixed-sex secondary schools in the uK. Data were collected between 2009 and 2011. Participants: Young people who attended PSHE at participating schools were eligible (n=5,503). of the 5,030 who agreed to participate, 1,064 (21.2%) were classified as 'high risk': 392 in the classroom-based CBT arm, 374 in the attention control PSHE arm and 298 in the
usual PSHE arm. Primary outcome data on the high-risk group at 12 months were available for classroom-based CBT (n=296), attention control PSHE (n=308) and usual PSHE (n=242).
Interventions: The Resourceful Adolescent Programme (RAP) is a focused CBT-based intervention adapted for the uK (RAP-uK) and delivered by two facilitators external to the school. Control groups were usual PSHE (usual school curriculum delivered by teachers) and attention control (usual school PSHE with additional support from two facilitators). Interventions were delivered universally to whole classes.
Primary outcomes: Clinical effectiveness: symptoms of depression [Short Mood and feelings Questionnaire (SMfQ)] in adolescents at high risk of depression 12 months from baseline. Cost-effectiveness: incremental cost-effectiveness ratios (ICERs) based on SMfQ score and quality-adjusted life-years (from European Quality of Life-5 Dimensions scores) between baseline and 12 months.
Process evaluation: reach, attrition and qualitative feedback from service recipients and providers.
Results: SMfQ scores had decreased for high-risk adolescents in all trial arms at 12 months, but there was no difference between arms [classroom-based CBT vs. usual PSHE adjusted difference in means 0.97, 95% confidence interval (CI) -0.34 to 2.28; classroom-based CBT vs. attention control PSHE -0.63, 95% CI -1.99 to 0.73]. Costs of interventions per child were estimated at 41.96 for classroom-based CBT and 34.45 for attention control PSHE. fieller's method was used to obtain a parametric estimate of the 95% CI for the ICERs and construct the cost-effectiveness acceptability curve, confirming that classroom-based CBT was not cost-effective relative to the controls. Reach of classroom-based CBT was good and attrition was low (median 80% attending >60% of sessions), but feedback indicated some difficulties with acceptability and sustainability.
Conclusions: Classroom-based CBT, attention control PSHE and usual PSHE produced similar outcomes. Classroom-based CBT may result in increased selfawareness and reporting of depressive symptoms. Classroom-based CBT was not shown to be cost-effective. While schools are a convenient way of reaching a wide range of young people, implementing classroom-based CBT within schools is challenging, particularly with regard to fitting programmes into a busy timetable, the lack of value placed on PSHE, and difficulties engaging with teachers and young people. Wider use of classroom-based depression prevention programmes should not be undertaken without further research. If universal preventative approaches are to be pursued, their clinical effectiveness and cost-effectiveness with younger children (aged 10–11 years), before the incidence of depression increases, should be investigated. Alternatively, the clinical effectiveness of indicated school-based programmes targeting those already displaying symptoms of depression should be investigated.
youth Mental Health: New Economic Evidence
n Valmaggia LR et al (2009) Economic impact of early intervention in people at high risk of psychosis. Psychol Med 39(10): 1617–1626.
Background: Despite the increasing development of early intervention services for psychosis, little is known about their cost-effectiveness. We assessed the costeffectiveness of outreach and Support in South London (oASIS), a service for people with an at-risk mental state (ARMS) for psychosis.
Method: The costs of oASIS compared to care as usual (CAu) were entered in a decision model and examined for 12- and 24-month periods, using the duration of untreated psychosis (DuP) and rate of transition to psychosis as key parameters. The costs were calculated on the basis of services used following referral and the impact on employment. Sensitivity analysis was used to test the robustness of all the assumptions made in the model.
Results: over the initial 12 months from presentation, the costs of the oASIS intervention were £1,872 higher than CAu. However, after 24 months they were £961 less than CAu.
Conclusions: This model suggests that services that permit early detection of people at high risk of psychosis may be cost saving.
n Van Steensel fJA et al (2014) Cost-effectiveness of cognitive-behavioral therapy versus treatment as usual for anxiety disorders in children with autism spectrum disorder. Research in Autism Spectrum Disorders 8(2): 127–137.
The study's aim was to evaluate the cost-effectiveness of CBT compared to treatment as usual (TAu). In total, 49 children aged 8–18 years with ASD and comorbid anxiety disorders, and their parents, participated; 24 were assigned to CBT and 25 were assigned to TAu. outcome measures were the percentage of children free from their primary anxiety disorder and quality adjusted life years (QALYs). Costs were measured using a retrospective cost-questionnaire. Effects and costs were assessed at pre-, post-, and three months after treatment.
Effects and costs were not statistically different between CBT and TAu, however the incremental cost-effectiveness ratio (ICER) demonstrated that CBT dominates TAu. Bootstrapped ICERs demonstrated that CBT has a high probability to be more effective than TAu, however, the probability that either CBT or TAu is more costly did not differ much. Secondary analyses demonstrated fairly robust results. CBT seems a cost-effective intervention compared to TAu, however, long-term follow-ups and comparisons between CBT and specific TAus are necessary. Cost-effectiveness analyses may help inform policy makers to decide how to treat anxiety disorders in children with ASD.
(© 2013 Elsevier Ltd. All rights reserved).
n Wang LY et al (2011) The economic effect of planet health on preventing bulimia nervosa. Archives of Pediatrics and Adolescent Medicine 165 (8): 756–762.
objectives: To assess the economic effect of the school-based obesity prevention programme Planet Health on preventing disordered weight control behaviours and to determine the cost-effectiveness of the intervention in terms of its combined effect on prevention of obesity and disordered weight control behaviours.
Design: on the basis of the intervention's short-term effect on disordered weight control behaviours prevention, we projected the number of girls who were prevented from developing bulimia nervosa by age 17 years. We further estimated medical costs saved and quality-adjusted life years gained by the intervention over 10 years. As a final step, we compared the intervention costs with the combined intervention benefits from both obesity prevention (reported previously) and prevention of disordered weight control behaviours to determine the overall cost-effectiveness of the intervention.
Setting: Middle schools. Participants: A sample of 254 intervention girls aged 10 to 14 years. Intervention: The Planet Health programme was implemented during the school years from 1995 to 1997 and was designed to promote healthful nutrition and physical activity among youth.
Main outcome measures: Intervention costs, medical costs saved, quality-adjusted life years gained, and cost-effectiveness ratio.
Results: An estimated 1 case of bulimia nervosa would have been prevented. As a result, an estimated $33,999 in medical costs and 0.7 quality-adjusted life years would be saved. At an intervention cost of $46,803, the combined prevention of obesity and disordered weight control behaviours would yield a net savings of $14,238 and a gain of 4.8 quality-adjusted life years.
Conclusions: Primary prevention programmes, such as Planet Health, warrant careful consideration by policy makers and programme planners. The findings of this study provide additional argument for integrated prevention of obesity and eating disorders.
(2011 American Medical Association. All rights reserved).
n Wong KK et al (2011).Cost-effectiveness of an early assessment service for young people with early psychosis in Hong Kong. Australian and New Zealand Journal of Psychiatry 45(8): 673–680.
objective: The Early Assessment Service for Young People with Early Psychosis (EASY) was developed in Hong Kong in 2001 to provide a comprehensive and integrated approach for early detection and intervention for young people suffering from first episode psychosis. The present study examined the cost-effectiveness of the service over a period of 24 months compared to standard care.
Method: This is a historical control study. Sixty-five patients who presented to the EASY service in 2001 with first episode psychosis were individually matched (on age, sex and diagnosis) with 65 patients who received standard psychiatric care in a precursor service (pre-EASY) between 1999 and 2000. A retrospective costeffectiveness analysis was conducted over a period of 24 months. The overall average cost of service utilization per patient and the effects on hospitalization rate were compared using bootstrapping analysis. Cost per point improvement in Positive and Negative Syndrome Scale (PANSS) was also computed with sensitivity analysis. only direct costs were analysed in the current study.
Results: There was no significant difference in service utilization between the EASY and pre-EASY standard care groups. The cost-effectiveness acceptability curve, which was used to explore uncertainty in estimates of cost and effects, suggested that there was a probability of at least 94% that the EASY model was more cost-effective than the pre-EASY service in reducing psychiatric inpatient admissions. EASY patients also showed superior results in average cost per unit improvement in PANSS.
Conclusions: EASY is likely to be more cost-effective in improving outcomes, particularly in reducing hospitalization and improving clinical symptoms among young people with first episode psychosis. This study provides a perspective from the east Asian region, and supports further development of similar services, particularly in the local setting. However, further studies with a longer follow up period and larger sample size are required to verify these findings.
(2011 The Royal Australian and New Zealand College of Psychiatrists).
n Wright DR et al (2014) The cost-effectiveness of school-based eating disorder screening. American Journal of Public Health 104(9): 1774–1782.
We aimed to assess the value of school-based eating disorder (ED) screening for a hypothetical cohort of uS public school students. We used a decision-analytic microsimulation model to model the effectiveness (life-years with ED and qualityadjusted life-years [QALYs]), total direct costs, and cost-effectiveness (cost per QALY gained) of screening relative to current practice.
The screening strategy cost $2,260 (95% confidence interval [CI] = $1,892, $2,668) per student and resulted in a per capita gain of 0.25 fewer life-years with ED (95% CI = 0.21, 0.30) and 0.04 QALYs (95% CI = 0.03, 0.05) relative to current practice. The base case cost-effectiveness of the intervention was $9,041 per life-year with ED avoided (95% CI = $6,617, $12,344) and $56,500 per QALY gained (95% CI = $38,805, $71,250). At willingness-to-pay thresholds of $50,000 and $100,000 per QALY gained, school-based ED screening is 41% and 100% likely to be cost-effective, respectively. The cost-effectiveness of ED screening is comparable to many other accepted pediatric health interventions, including hypertension screening.
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PSSRU Personal Social Services Research Unit
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XP South of the Equator: An eXPerience Implementing XP in Brazil
Alexandre Freire da Silva 1 , F´abio Kon 1 , and Cicero Torteli 2
1 Department of Computer Science of the University of S˜ao Paulo
{ale,firstname.lastname@example.org http://www.ime.usp.br/~xp 2 Paggo Ltda. email@example.com http://www.paggo.com.br
Abstract. Many have reported successful experiences using XP, but we have not yet seen many experiences adapting agile methodologies in developing countries such as Brazil. In a developing economy, embracing change is extremely necessary. This paper relates our experience successfully introducing XP in a start-up company in Brazil. We will cover our adaptations of XP practices and how cultural and economical aspects of the Brazilian society affected our adoption of the methodology. We will discuss how we managed to effectively coach a team that had little or no previous skill of the technologies and practices adopted. We will also cover some new practices that we introduced mid-project and some practices we believe emerged mostly because of Brazilian culture. The lessons we learned may be applicable in other developing countries.
1 Introduction
There are many reports of successful experiences introducing XP, both in research and industrial contexts, throughout the northern hemisphere. There have been numerous accounts of success in the USA, Finland, Sweden, England, Spain, Italy and Japan[1–7]. Closer to our reality, there is a report of introducing only one of XP practices in developing areas in China [8]. However, there is little recorded evidence of successful implementations of XP in the Southern Hemisphere and in developing economies such as Brazil, specially adopting all of XP original practices[9].
Learning to adapt to change is specially important in a developing economy such as ours. Businesses come and go rapidly, and fluctuations in the economy have even caused our currency's name and value to change twice in a single decade. Good developers are hard to find, and many enterprises survive through constant recycling of interns. Low salaries (ranging from USD 100 to USD 2000 per month) reflect an untrained work force, composed mostly of interns making a little more than USD 200 a month, and a culture of constant people turnover. Tools and frameworks have scarce documentation in Portuguese, which lead to many weak developers in the market.
Also, there are some cultural aspects of a tropical country that have impact on software development industries. According to Se´rgio Buarque de Holanda's Cordial Man theory[17], brazilians react from their hearts, being passionate in all aspects of life, developing a need to establish friendly contacts, create intimacy, and shorten distances. Brazilians reject last names, referring to everyone by their nicknames. We reject formalities, even in the workplace. We are incapable of following a hierarchy, of obeying too rigid a discipline. This has positive impacts, brazilians tend to be open-minded, creative, friendly, and collaborative. Teams tend to get along well and work together having fun. As a multi-cultural and mixed society we tend to welcome change and get along very well in the workplace. Disadvantages also exist, compared to most cultures from northern hemispheres, we tend not to be punctual and constantly miss deadlines. Some mention fear that XP is heavily based on north-american culture and therefore would not work on a very different culture such as ours. Kent Beck guesses that the biggest disadvantage for XP in Brazil is exactly the lack of commitment to deadlines (even when they might be exceeded because the team is having fun) [10]. Our experience shows that this is not the case.
Developing high quality software, on time and on budget is a must if one plans to survive in this context. As such, the first author was invited to help introduce XP in a start-up enterprise, Paggo, trying to get into the credit card business. From the beginning, many challenges were present; we believed that the two most difficult were going to be the heterogeneous aspect of the team, composed of developers with different skills, from interns with little or no experience programming to seniors accustomed with their own way of programming, and the fact that our coach could not be present full-time because of the limited budget. We had high hopes since adopting XP was a suggestion from a team member and everyone in the team accepted the challenge with no knowledge of the difficult times ahead.
We have successfully trained our team in all of XP practices and consider the project to be a success. This paper will briefly outline the 6 months in which we trained our team in the practices and in most technologies they would need to use, describing changes encountered along the way and how we coped with them. We will then consider the adaptations we performed for XP practices and lessons learned in the experience. We will list some other valuable techniques implemented during the project and some special practices we believe are the result of the cultural and social aspects of Brazil. We will then conclude with some remarks that might be of value to similar attempts in developing countries.
2 Project Evolution
Paggo is a start-up venture in the credit card business. It attempted to go into a very competitive market and its bets were in a new business model based on new technologies and implementing an agile method so the enterprise could have functioning software quickly, to secure more investments by reducing timeto-market. Our main objective was to have an XP proficient team ready to be independent from the coach within 6 months.
The software to be developed was cutting-edge, using technologies such as J2ME and J2EE and free and open source frameworks such as VRaptor, Hibernate and JBoss. The project had many aspects, from a credit transaction handler with high performance requirements, to mobile technology to be embedded in cellular phones, and a dynamic Web site where customers could sign up for credit cards and check their monthly balance.
The development team was really heterogeneous, skills ranged from interns with almost no programming or OO knowledge to senior developers with years of experience, we believed this would be a real obstacle to installing XP. How to get everyone on board and at the same time address individual difficulties? Even though every member was willing to work hard on implementing XP, there were clear tendencies from some developers to be CowboyCoders [11] and many did not yet have the skills necessary to do XP. In our favor one of the founders of the company played an excellent in-house customer. A part-time consultant was hired to mentor the less skilled in the team in topics ranging from Java programming, OO, and the frameworks and technologies to be used in the project and also coach the team in XP. In the beginning of the project another parttime consultant was hired to help with the new technologies. By the end, two more developers were hired as well, adapting quickly to our XP environment and writing production code within one week of beginning work, contributing with very relevant code already in the second week. This was due to the team being comfortable with XP by the time they were hired and the fact that one of them took an undergraduate course in XP [14].
We decided to implement all of XP practices as proposed by Beck[9] at once, knowing that some would take more time to reach a mature and acceptable level. We managed to go through 12 releases, using mostly two week iterations. We produced four applications, successfully implementing 269 stories out of an original 340, of which 42 were later discarded or deemed unnecessary by the customer. From a technical point of view, we delivered 90% of wanted functionality, fully tested and free of bugs. From a business perspective, the project was such a success that the company was sold for a good value and restructured to focus on software development with the same XP team.
During the first two months we fully explored all of XP practices but tread lightly into practices that demanded more knowledge such as test-first design and refactoring. In the next 4 months we trained the team in some OO patterns and in the open-source frameworks used. As the team became more comfortable with patterns and advanced OO techniques so did our testing and refactoring practice evolve. After attending a local XP conference, the coach introduced some new practices, most importantly the retrospective technique suggested by Linda Rising[12] and analyzed in detail in [2]. We decided to use a slightly modified version of the KJ method [13] using colored post-its grouped in positive and negative findings by the development team. The introduction of this new practice also had some unexpected results as discussed in Section 4.1. At the end of the 5th month, the company had to cut expenses because it had not yet secured a new investment. By this time the coach was satisfied with how our
XP practices were being followed and it was decided that he would leave the team. He then proceeded to help ensure that the team would be able to keep on going without him as detailed in Section 4.4. Recently, an investment has been secured and the company now plans to double its development team, we plan to document this new effort in a future paper.
3 Adaptations to XP Practices
Customer Always Present. We were really lucky to have an inside customer who wrote stories and was very much in favor of XP and enthusiastic about the agile practices. He wrote acceptance tests and executed all of them after each release. The customer was also available for our daily stand-up meetings (actually running some of them when the coach could not be present) and re-prioritized stories as time went by. This was very productive, as our team was learning to estimate development effort, some estimates were really blown but, in the end of a iteration, only stories that were not really important for the customer were left out. In our experience a committed customer is essential, especially if the team is composed of less skilled interns and can still let bugs escape tests and badly estimate some stories.
Coding Standards. Coding standards were easy to implement, due to the fact that most of the team was learning Java at the time. Standards were discussed in meetings, mostly suggested by senior members of the team, and put on a poster on the wall called "Team Arrangements". It was straight forward to teach and impose the standards through pair-programming. We believe calling the standards arrangements, and being flexible about their adoption made them easier to absorb by less experienced team members.
Continuous Integration. We had problems with continuous integration due to the fact that most were learning how to use tools for version control. There were a couple of times were code was actually lost during complicated merges. As the team became more comfortable with these notions they suggested we adopt Cruise Control, which we did to many benefits. Through our retrospective meetings, we identified problems with this practice and took concrete actions that helped us improve, such as having quick stand-up meetings when difficult merges were about to happen.
Metaphor. We had no trouble to implement metaphor. This is mostly due to our customer being available to give daily business explanations to the team and, during planning games, agreeing on common metaphors. The fact that team members were also helping each other learn OO concepts and frameworks helped. Eg., as the team would learn about a particular pattern, we could easily incorporate this abstraction in our metaphor.
Test Driven Development. In the early months of the project it was difficult to write good tests that covered our demo application completely. Most developers did not know how to write automated tests and we were dealing with relatively hard technology to test (eg., J2ME applications or serial device communication). Part of the team did not have enough OO know-how for us to use techniques such as MockObjects, so in the beginning we only had the customers manual acceptance tests for feedback.Our coach decided to pair with developers whenever he could to teach testing techniques. We had difficulty with the less skilled developers, especially the interns lacking OO knowledge, but a lot of resistance was also encountered from the senior developer, who could not see benefits in having automated tests for his code. After a couple of iterations and some failed releases the team understood how important it was to have a full test suite, covering all production code. What happened then was a truly "test-infected" scenario, developers suddenly saw tests as an excellent tool and strived to excel in this practice. We kept daily metrics for the number of tests created and they started growing exponentially. It helped that the new developer, with previous XP experience, was quick to develop intimacy with the team, and felt courageous enough to rewrite all tests for a J2EE project when the customer saw the need to code new features for it. At the end of the sixth month period, the team was looking into technologies to automate the customer acceptance tests, this was again an initiative of their own. We learned that teaching testing can be difficult, especially with heterogeneous teams like ours, but having test metrics helped everyone to be conscious about the problem.
Refactoring. Refactoring was also one of the hardest techniques to teach. In the beginning, we did some minor refactorings to get the team to understand their value, mostly cleaning up class and method names. During the project we introduced agile modeling techniques[15] that were useful for us to discover areas of our applications that could go through more extensive refactorings. We held design meetings and used the white board to draw UML diagrams and decided, as a team, where we should refactor. The senior developers were eager to refactor but we found that the interns and junior developers did not want to refactor as much, for they had not yet had time to grasp some more complex OO concepts. It was helpful to have a tool such as Eclipse that would automate refactorings. It made them easier to learn and gave the team more courage to execute them.
Small Releases. The project had 12 releases, most taking 2 weeks. If the customer was not satisfied with the acceptance tests we had special 1-week "bug-fix" releases . This was specially true in the beginning of the project when we did not have enough tests and the developers were learning the technologies. We developed an automated deployment system, composed of a development server, a homologation server and a production server. After a release was tagged, it would be automatically updated on the homologation server, which kept a recent copy of the production server's database. The acceptance tests were run in this server and, if the client was satisfied, the release would be manually deployed on the production server.
Planning Game. We had good planning games, the customer had interest in commenting on previous releases and did not hesitate to change his mind. We divided a work day into 2 individual working hours and 3 pair-programming sessions, estimating stories in terms of these sessions. If a story was estimated in less than 1/4 of a session or more than 6 sessions it would be rewritten. The client prioritized and grouped stories. As we were developing a couple of applications simultaneously, we wrote stories for all of them, developers liked being able to move from one project to another. As most of our releases had a 2-week duration, we built a special calendar on the wall, where 10 days were represented. After the planning game, we would place stories along the days for the two weeks, starting with the highest customer priority, and fitting next stories according to estimates of stories already on the board and our developer resources. It was also used daily when we would review what stories we had left, assign them to pairs and eventually re-manage other stories. We found this to be a very efficient way to assign stories and keep track of progress. Latter we used this board for our retrospective technique as described in Section 4.1. Feedback from our retrospectives lead us to introduced some "studying stories" where developers could take a few sessions to dedicate themselves to studying new technologies as described in Section 4.3.
Sustainable Pace. This was a hard practice to follow, mostly due to economic reasons. In Brazil, people are willing to work extra hours (without payment) and this was not any different in our team, we counted with a couple of extra hours per developers weekly. The fact that interns and trainees were not present full-time encouraged this, as they were eager to put in extra, unpayed, hours.
Pair Programming. In a economy were developer turnover is high, our customer did not want any production code created individually, so he instated pair programing as a rule. Pair programming was very valuable to teach developers testing and refactoring techniques, and our coach wished he had more time to be able to pair even more with the team. Less skilled developers also benefited from a hidden pair, Eclipse, it helped them to learn the language with it's rapid feedback about syntax mistakes and compilation problems. We encountered resistance from the most senior developer, accustomed to working alone, he had a passionate reaction to being forced to pair and others avoided pairing with him. We also found that, although it was good to pair more experienced coders with beginners for mentoring, sometimes it was more productive to let the less experienced pair program on tasks that seniors found repetitive and boring.The biggest advantage we found with pair programming was when hiring new developers, when they pair-programmed we were quick to identify if they would adapt to the company's structure and philosophy.
Simple Design. Simple Design was not trivial, but, as we were also teaching developers how to design, we did accomplish a satisfactory simple design. Having modeling meetings, as proposed by the agile modeling community, made it easier to teach and discuss simple design, proposing refactorings upon the design that had evolved so far.
Collective Code Ownership. As we had a set of coding standards that was working, it was easy to implement collective code ownership. We found that the senior developers were more comfortable with this practice, especially when they were refactoring code produced by interns.
4 Other Practices
4.1 Retrospectives
We found retrospectives to be really valuable and greatly improved our communication. We used the same story board from our planning game to pin red or blue post-its on the days we encountered nice or bad things to say about our practices, at the begging of each week we would collect the post-its from the previous one and have a retrospective meeting to discuss them.
Discussing our process and techniques helped developers to identify problem areas and suggest solutions. In the beginning, we held weekly retrospectives and came up with really good suggestions to fix problems. After some time, however, the need for these meetings was lessened because we were good at fixing problems, this has been pointed out by Cockburn [16].
Due to the proximity developed because of pair programming and the increase in communication needs, the retrospective technique as it was done at Paggo started to be used for personal differences. At some point in time the team even took a cold shoulder approach to some of the developers. They did not want to pair program with some specific members anymore. The rest of the company realized that something was going on. In the meantime, a real paper war developed on the board, with red notes flying in all directions, even posted by people in the company outside of the development team. Our retrospective technique had turned into an enormous gossip board, as brazilians, reacting according to our hearts had shown it's downside. The result was the invention of a practice we call "dirty laundry meeting"
4.2 Dirty Laundry Meeting
After seeing that things were going astray with the team, the customer decided to hold a meeting in which everyone was supposed to resolve their conflicts. This meeting was called "dirty laundry meeting" because it was a chance for everyone to say what was on their mind about others and walk away with a clean slate.
Team members, as expected by their brazilian culture, had grown closer, making our work relationship almost a family one. This made this meeting very emotional and intense, a couple of people even cried. It was a strange experience we believe happens more often in countries like Brazil, derived from our social and cultural inclinations. In this meeting we found a place to put our personal differences in check and wash away everything that was bothering us. It resolved most issues but was a very extreme practice and we do not advise that it should happen frequently. Sometimes it is necessary, producing nice results, if people are willing to be frank and share their feelings. We believe that certain personal differences that affect productivity can stay hidden for long periods of time in most corporations, but will surface very fast with XP. These will have to be resolved or will affect production, and dirty laundry meetings are an interesting solution.
4.3 Specialists and Study Time
Given the heterogeneous nature of our team it was clear that some people had a lot to learn that others could teach. We came up with the concept of specialists, not in the sense that they would do all stories related to their field of expertise, they were people that the team could count on, knowledgeable about latest advances on their field and capable of solving hard problems encountered in stories related to their areas. The need for specialists arose from our retrospective meetings. Developers said that they were more motivated to work on things they liked and they would like time to learn more and research. So we instituted some special "research stories". The specialists could take these stories and have a break from pair programming in a couple of study sessions when they would research technologies of interest and program spikes.
The specialists brought some fresh air into the team and reduced the burden of everyone having to study all new technologies. They did not have special rights to stories in their areas. In fact they were discouraged from taking these stories at all. They were available to pair program when someone had trouble in their areas of research and also conducted seminars to teach the rest of the team what they were learning.
4.4 Coach of the Week
Approaching the end of the sixth month the company no longer needed the presence of the external mentor to play the role of coach any more. Most developers were comfortable with the process and had mastered the technologies and techniques used. As such the coach started to plan his leave, the team had to be able to do XP on their own. The coach started a practice where the team would elect a developer to play the role of the coach for a week. After a couple of weeks most of the team had been in the role of coach (with the mentor's supervision) and were ready to walk on their own.
5 Conclusions
The chaotic economy and culture of Brazil have impacts on implementing XP. We have successfully used all of XP practices, adopted most of them and even came up with some unique practices of our own. XP helped us adapt quickly to the constant changes in the economic reality of a developing country. Even though our team was very heterogeneous and had many lesser skilled developers, we managed to help them evolve and fit in to the team. By promoting everyone's participation, XP can help all to successfully learn practices and technologies due to an open, motivating and friendly environment. In a market were teams have to grow quickly to be competitive, companies can suffer from hiring the wrong people. XP helped us welcome newcomers, and find out quickly if they were going to fit in. We believe XP is harder to implement when the team is heterogeneous as ours, but it is possible to do with patience and brazilian passion. When constantly refining one's practices through retrospectives, politics and personal conflicts can not go unnoticed for long, this allows a company to take quick measures to maintain productivity. We believe other developing countries could benefit from our experience.
References
1. A. Fuqua and J. Hammer, "Embracing Change: An XP Experience Report", XP 2003, Lecture Notes in Computer Science, vol. 2675, pp. 298-306. Springer, 2003.
2. O. Salo, K. Kolehmainem, P. Kyll¨onem, J. L¨othman, S. Salmij¨arvi, and P. Abrahamsson, "Self-Adaptability of Agile Software Processes: A Case on Post-iteration Workshops", XP 2004, Lecture Notes in Computer Science, vol. 3092, pp. 184-193. Springer, 2004.
3. H. Svensson, "A Study on Introducing XP to a Software Development Company", XP 2003, Lecture Notes in Computer Science, vol. 2675, pp. 433-434. Springer, 2003.
4. T. Mackinnon, "XP - Call in the Social Workers", XP 2003, Lecture Notes in Computer Science, vol. 2675, pp. 288-297. Springer, 2003.
5. T. Bozheva, "Practical Aspects of XP Practices", XP 2003, Lecture Notes in Computer Science, vol. 2675, pp. 360-362. Springer, 2003.
6. W. Ambu and F. Gianneschi, "Extreme Programming at Work", XP 2003, Lecture Notes in Computer Science, vol. 2675, pp. 347-350. Springer, 2003.
7. Y. Kuranuki and K. Hiranabe, "XP "Anti-Practices" : anti-patterns for XP practices", presented at The Agile Development Conference, Salt Lake City, Utah, 2004.
8. K. Lui and K. Chan, "Test Driven Development and Software Process Improvement in China", XP 2004, Lecture Notes in Computer Science, vol. 3092, pp. 219-222. Springer, 2004.
9. K. Beck, Extreme Programming Explained, Embrace Change. Addison Wesley, 2000.
10. K. Beck in Extreme Programming Aprenda como encantar seus usu´arios desenvolvendo software com agilidade e alta qualidade by V. Teles. Novatec, 2004.
11. "Cowboy Coder" online at http://c2.com/cgi/wiki?CowboyCoder
12. L. Rising and E. Derby, "Singing the Songs of Project Retrospectives: Patterns and Retrospectives", Cutter IT Journal, pp. 27-33, September 2003.
13. R. Scupin, "The KJ Method: A Technique for Analyzing Data Derived from Japanese Ethnology", Human Organization, vol. 56, pp. 65-72, 1996.
14. F. Kon, A. Goldman, P. Silva, and J. Yoder, "Being Extreme in the Classroom: Experiences Teaching XP", Journal of the Brazilian Computer Society, 2004.
15. S.W. Ambler, Agile Modeling. John Wiley & Sons, 2002.
16. A. Cockburn, Agile Software Development. Addison Wesley, 2002.
17. S.B. de Holanda, Ra´ızes do Brasil. Companhia das Letras, 1995.
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SECURITIES AND EXCHANGE COMMISSION Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934 Rel. No. 54722 / November 8, 2006
Admin. Proc. File No. 3-12245
In the Matter of the Application of
RAGHAVAN SATHIANATHAN c/o S.T. Allen & Co. 336 Bloomfield Avenue Montclair, NJ 07042
For Review of Action Taken by
NASD
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDING
Unsuitable Recommendations
Discretionary Trading Without Written Authorization
Associated person of member firms of registered securities association made unsuitable recommendations to customers and exercised discretion in the account of a customer without written authorization. Held, association's findings of violation and the sanctions it imposed are sustained.
APPEARANCES:
Raghavan Sathianathan, pro se.
Marc Menchel, Alan B. Lawhead, Carla J. Carloni, and Brant K. Brown, for NASD.
Appeal filed: March 22, 2006
Last brief received: July 10, 2006
I.
Raghavan Sathianathan, formerly associated with Salomon Smith Barney Inc. ("Smith Barney") and Morgan Stanley DW Inc. ("Morgan Stanley"), NASD member firms, appeals from NASD disciplinary action. NASD found that Sathianathan made unsuitable recommendations to two customers in violation of NASD Conduct Rules 2310 and 2110, and exercised discretion in the account of one of those customers without the customer's written authorization in violation of NASD Conduct Rules 2510(b) and 2110. NASD barred Sathianathan from associating with any member firm in any capacity for his violations of NASD's suitability rule. NASD also assessed costs, but declined to impose additional sanctions for Sathianathan's unauthorized discretionary trading. We base our findings upon an independent review of the record.
II.
The facts in this matter are largely undisputed. Smith Barney hired Sathianathan in its Little Falls, New Jersey, branch office on August 24, 1998. In November 1998, Sathianathan passed the general securities representative examination and became registered with Smith Barney. He voluntarily left Smith Barney on February 16, 2001, and joined Morgan Stanley at its office in New York City. Sathianathan resigned from Morgan Stanley in February 2002.
Sathianathan's sales practices came into question almost immediately after he started with Smith Barney. During Sathianathan's first year with Smith Barney, his supervisor became concerned that Sathianathan's dealings with his customers had not "shown a consistent pattern of . . . acceptable behavior." On September 27, 1999, the supervisor issued Sathianathan a "warning/probation letter" placing him on probation for four months and instructing him to adhere to a list of seven guidelines. One of the guidelines was entitled "proper portfolio management" and defined this term to include limited or no use of margin, proper asset allocation and diversification, and elimination of any excessive trading or commissions.
The violative conduct at issue in this proceeding occurred from September 2000 through June 2001. Sathianathan made recommendations alleged by NASD to be unsuitable to two of his customers, Anjan Venkatramani and Srikar Srinath, who were twenty-eight-year-old engineers with Juniper Networks, Inc. ("Juniper"), a California company specializing in telecommunica tions equipment. In mid 1999, Juniper engaged in an initial public offering and, between that time and the time of the recommendations at issue in this proceeding, the stock experienced significant price volatility. Venkatramani's and Srinath's compensation packages included Juniper stock options.
Class A and Class B Shares of Mutual Funds
The suitability issues in this proceeding include Sathianathan's recommendations to Venkatramani and Srinath that they purchase Class B shares of various mutual funds. Typically, Class A shares differ from Class B shares with respect to their cost structure. Class A shares usually include an initial sales charge, or front-end load, a fee that is levied upon the purchase of mutual fund shares, while Class B shares do not. Class A shares include breakpoint discounts, which reduce the front-end load incrementally in the event that the investor invests specified amounts in the fund. At each breakpoint, the representative's commission rate is reduced. Most mutual funds waive front-end loads for investments in Class A shares of more than $1 million. Many mutual fund families also permit investors to aggregate their investments in multiple funds within the same family when calculating whether the investor has reached a breakpoint.
Unlike Class A shares, Class B shares usually include a contingent deferred sales charge ("CDSC"), or back-end load, which is a fee that is levied upon the sale of mutual fund shares. Typically, the CDSC is reduced with each year that the investor holds the fund shares, phasing out entirely after a certain number of years, and at some point afterward the Class B shares convert into Class A shares. Since there are no breakpoints for Class B shares, there is no reduction in the commission rate for larger investments in Class B shares. This means that, for investments at or above the breakpoint levels, the representative receives a larger percentage commission for Class B shares than for Class A shares.
A mutual fund's expense ratio measures the fund's total annual expenses expressed as a percentage of the fund's net assets. The expense ratio includes asset-based sales charges, such as charges permitted under Investment Company Act Rule 12b-1, 1/ that are taken from the mutual fund's assets to pay to market the fund and distribute its shares. The expense ratios for Class B shares often are up to 75 basis points higher than the expense ratios for Class A shares.
Sathianathan's Recommendations to Venkatramani
In or around April 2000, Venkatramani opened an account with Smith Barney at its Menlo Park, California, branch office. He deposited into the account 13,500 shares of Juniper stock that he had acquired through the exercise of stock options. The account application contained a section entitled "Risk Tolerance" that indicated Venkatramani had a moderate risk tolerance (out of a choice of aggressive, moderate, or conservative). The application also indicated that Venkatramani's investment objectives did not allow for speculation and that he had no investment experience.
In May 2000, after meeting Sathianathan through Sathianathan's younger brother, Venkatramani moved his account from the Menlo Park branch to Smith Barney's Little Falls branch office so that Sathianathan could serve as his financial consultant. In contrast to the account application completed in connection with Venkatramani's Menlo Park branch account, the account application that Sathianathan filled out and that Venkatramani signed in May 2000 when he opened the account with Sathianathan listed Venkatramani's risk tolerance as "aggressive," indicated that his investment objectives allowed for speculation, and stated that he had been investing in stock since 1995. However, Sathianathan testified that Venkatramani had informed him that Venkatramani's investment objective was the preservation of capital.
Sathianathan also knew that Venkatramani had no prior investment experience and that "his level of sophistication was almost zero." Although Venkatramani was not interested in aggressive or speculative investing, Sathianathan marked the account form to indicate that Venkatramani's risk tolerance was aggressive and that he was interested in speculative investing because, according to Sathianathan, without doing so, Smith Barney would not allow the customer to engage in certain hedging strategies.
Primarily as a result of the increase in value of Juniper shares and Venkatramani's exercise of additional Juniper stock options, the value of Venkatramani's account increased from approximately $2 million as of June 30, 2000, to over $10 million in September 2000. In August and September 2000, Sathianathan contacted the Smith Barney Global Equity Derivatives department, which specialized in hedging strategies, to price potential ways to diversify Venkatramani's concentrated equity position in Juniper. The Global Equity Derivatives Department proposed several alternatives and recommended a program entitled "Enhanced Equity Monetization Securities," which consisted of private contracts between eligible investors and Smith Barney. According to Smith Barney, these contracts allowed investors to monetize a portion of their equity position without realizing a taxable event. Sathianathan rejected the Global Equity Derivatives Department's proposal. Instead, he recommended that Venkatramani hold his Juniper shares until early 2001, at which time they would be eligible for long-term capital gains treatment, and diversify his holdings by purchasing mutual fund shares on margin using the Juniper shares as collateral.
On September 26, 2000, consistent with the strategy proposed by Sathianathan, Venkatramani purchased $200,000 of Class B shares in each of fourteen different mutual funds, none of which was in the same fund family. Sathianathan also recommended that Venkatramani invest $500,000 in the Smith Barney Spectrum Fund, a new Smith Barney fund, because Sathianathan claims he felt pressure to put some of Venkatramani's assets into a Smith Barney product. Sathianathan stated that he "didn't want to buy Smith Barney funds, but [he] felt obliged to buy one, so [he] bought a new one [for Venkatramani's account], a brand new one with no bad record or whatever." Venkatramani's Smith Barney account was non-discretionary, and each of the mutual fund purchases was made based on Sathianathan's recommendation. Venkatramani invested a total of $3.3 million, and all of the purchases were effected on margin using Juniper stock, which closed at $230.50 per share on September 26, 2000, as the margin collateral. At the time that Sathianathan made his recommendations to Venkatramani, the account was erroneously credited with additional shares of stock he did not own, and this resulted in the account being overvalued by approximately $3 million for a total account value of approximately $13 million. Sathianathan received $66,600 in commissions as a result of Venkatramani's purchases.
Sathianathan testified that he had little experience with mutual fund investments at the time that he made his recommendations to Venkatramani. In preparing his recommendations, Sathianathan reviewed the funds' information from Morningstar and the funds' three-year performance records, but did not compare the funds' securities holdings to determine whether Venkatramani could have achieved appropriate diversification by using fewer funds or funds within the same fund family. Sathianathan also recommended that Venkatramani purchase Class B shares of the recommended mutual funds to avoid the front-end sales charges levied on the purchase on Class A shares. Sathianathan specifically recommended that Venkatramani purchase $200,000 in each fund because he knew that many investment companies prohibit purchases of Class B shares, rather than Class A shares, in larger amounts. Sathianathan also stated that he was focused not on breakpoints but on obtaining commissions and increasing the amount of assets under his management.
Also on September 26, 2000, Venkatramani invested, on Sathianathan's recommendation, $1 million in index warrants issued by Smith Barney. The prospectus for the index warrants stated that the warrants involved "a high degree of risk" and that purchasers "should be prepared to sustain a total loss of the purchase price of their warrants." Venkatramani purchased the warrants on margin, and he used Juniper stock as the collateral for the margin loan. Sathianathan received a six percent commission for the purchase of the warrants.
During the three months that followed the purchases described above, the price of Juniper shares fell from a closing price of $230.50 per share on September 26, 2000, to a closing price of $123.12 per share on December 22, 2000. On December 26, 2000, pursuant to Sathianathan's recommendation, Venkatramani invested $200,000 in each of three different mutual funds which were in different fund families, none of which Venkatramani previously had purchased. Venkatramani purchased these funds on margin using Juniper stock as the margin collateral.
Juniper's stock price continued to decline into early 2001. In February 2001, when Juniper's stock price had fallen below $100 per share, Venkatramani's account began to become subject to margin calls. On February 8, 2001, based on Sathianathan's recommendation, Venkatramani sold the Smith Barney warrants for approximately $925,000 to cover a margin call resulting in a loss of approximately $75,000. On February 14, 2001, Venkatramani sold approximately $470,000 in shares of the Smith Barney Spectrum Fund resulting in a loss of almost $30,000. Two days later, on February 16, 2001, Venkatramani redeemed $75,000 in each of 17 different mutual funds for a total redemption of $1,275,000. The price declines in the Juniper collateral, and the resulting margin calls and liquidations of the mutual funds, caused Venkatramani to incur a loss of approximately $680,000, as well as approximately $44,000 in CDSCs.
On February 16, 2001, Sathianathan voluntarily left Smith Barney and joined Morgan Stanley. Nevertheless, Venkatramani's assets continued to be sold to cover the margin balance at Smith Barney. By mid April 2001, Venkatramani was forced to redeem all of the mutual funds and sell a portion of his Juniper stock. Ultimately, Venkatramani paid over $100,000 in CDSCs and a little over $193,000 in margin interest.
Sathianathan Purchases Juniper Stock for Venkatramani's Account
On April 12, 2001, the approximately $2.6 million in Juniper stock that remained in Venkatramani's Smith Barney account was transferred to Morgan Stanley. That same month, Sathianathan recommended that Venkatramani sell 25,000 Juniper shares at a time when the stock price had rebounded from a low of $30 per share to over $50 per share. Two days later Venkatramani sold an additional 8,000 shares of Juniper stock at Sathianathan's urging. Venkatramani was unhappy with the price at which the shares were sold, and he and Sathianathan subsequently discussed a trading strategy to recoup some of the losses Venkatramani had incurred. According to Sathianathan, the basic plan was "to sell [Juniper stock] when the price of the stock was high and then to buy it back when it was lower and to do this over the next few years (if need be) by trying to time the market rallies in summer and January."
In May 2001, Venkatramani sent Sathianathan an e-mail in which he relayed a rumor that Juniper would be added to the S&P 500. Sathianathan believed that, if the rumor proved to be correct, Juniper's stock price would increase. Based on the strategy they had discussed earlier and on this rumor, Sathianathan decided to buy back a portion of the 33,000 shares of Juniper stock that Venkatramani had sold in April. On May, 29, 2001, while Venkatramani was out of the country and Sathianathan could not reach him, Sathianathan purchased 13,000 Juniper shares for Venkatramani's account for approximately $47 per share. On June 8, 2001, Sathianathan purchased an additional 10,000 shares of Juniper stock for Venkatramani's account for approximately $38 per share.
On August 2, 2001, Venkatramani sent an e-mail to Sathianathan, in which he indicated that he had not authorized the purchase of 23,000 Juniper shares and that the unauthorized trades had resulted in $400,000 in losses. In response, Sathianathan represented that his decision to purchase the 23,000 Juniper shares was "purely based on what I thought was a strong family relationship that you and I have through the fact that one of your best friends is my brother."
Sathianathan's Recommendations to Srinath
In late May or early June 2000, Srinath met with Sathianathan. After that meeting, Srinath transferred his existing Smith Barney account to the Little Falls branch office so that Sathianathan could serve as his financial consultant. When Srinath first discussed his account with Sathianathan, he informed Sathianathan that his objectives were to diversify his holdings and to protect his net worth. Sathianathan also was aware that Srinath had little previous investment experience and "minimal" experience with mutual finds. Srinath's account opening application, however, indicated that his risk tolerance was aggressive and that his investment objectives included speculative investments. By December 2000, Srinath had transferred, at Sathianathan's urging, all of the assets in his other Smith Barney accounts to his account at the Little Falls branch office.
In December 2000, Sathianathan recommended that Srinath purchase $1,750,000 in Class B shares of different mutual funds. Although Sathianathan recommended that Srinath purchase these shares using a margin loan with Juniper stock as collateral, Srinath decided against using margin loans to fund the purchases. Instead, Srinath instructed Sathianathan to sell a portion of his Juniper stock to pay for the mutual fund purchases, and Srinath purchased $150,000 of Class B shares in each of nine stock mutual funds. Srinath also instructed Sathianathan to invest a portion of his assets in two bond funds. Sathianathan purchased for Srinath $200,000 in each of two bond mutual funds; none of the funds was in the same fund family. Sathianathan admitted that he performed no independent analysis of the funds he recommended to Srinath. Rather, he selected a subset of the mutual funds that he had recommended to Venkatramani three months earlier.
Procedural History of NASD Disciplinary Action Against Sathianathan
In late 2001, NASD began an investigation of Sathianathan following Smith Barney's filing of an amended Uniform Termination Notice for Securities Industry Registration ("Form U-5") that disclosed a customer complaint by Venkatramani involving Sathianathan. An NASD Hearing Panel (the "Hearing Panel") conducted a two-day disciplinary hearing in July 2004. On November 30, 2004, the Hearing Panel issued a decision that found that Sathianathan had violated NASD Rules 2310, 2510, and 2110. The Hearing Panel dismissed an allegation that Sathianathan committed fraud. The Hearing Panel barred Sathianathan from associating with any NASD member firm in any capacity for the suitability rule violations and did not impose a separate sanction for the unauthorized discretionary trading.
Sathianathan appealed the decision of the Hearing Panel to NASD's National Adjudicatory Council ("NAC"). On March 7, 2005, and on March 10, 2005, he filed motions to adduce additional evidence on appeal. In addition, Sathianathan submitted a letter dated May 11, 2005, to NASD's Office of the General Counsel containing two exhibits. The NAC treated portions of this letter as a further motion to adduce additional evidence. The subcommittee of the NAC assigned to hear the case considered all three motions and, in a letter dated July 8, 2005, issued its ruling admitting one of the exhibits and denying the motions to adduce with respect to the other exhibits, but including the exhibits in the record before us on appeal. On June 23, 2005, and on June 29, 2005, Sathianathan again sought leave to adduce further additional evidence, and the subcommittee denied the motions as untimely in a letter dated July 20, 2005. All of the subcommittee's rulings regarding Sathianathan's motion to adduce additional evidence were affirmed by the NAC.
With respect to the allegations against Sathianathan, the NAC, in a decision dated February 21, 2006, found that his recommendations were unsuitable in numerous ways and that he was motivated by his own interest and financial gain. The NAC determined that Sathianathan's violations of the suitability rule and numerous aggravating factors warranted a bar under the relevant Sanction Guidelines.
Sathianathan appealed NASD's decision to the Commission on March 26, 2006. After submitting an amended initial brief on May 25, 2006, and a reply brief on July 10, 2006, he submitted a motion to adduce additional evidence on August 25, 2006. Sathianathan attached to the motion the twenty-two additional exhibits he sought to adduce. One of the exhibits already has been admitted by the NAC upon Sathianathan's motion. Another exhibit is a BNA article from 2005 containing a quantitative analysis of a portion of NASD disciplinary decisions over a four-year span.
Seventeen of the documents had been included in Sathianathan's motions to adduce evidence before the NAC. Sathianathan has not shown with particularity that the additional evidence he seeks to introduce is material and that there are reasonable grounds for his failure to adduce the evidence previously as he is required to do by Rule 452 of the Commission's Rules of Practice. 2/ Nevertheless, as a discretionary matter, we will admit these seventeen documents into evidence in this proceeding.
The remaining three documents Sathianathan seeks to adduce are descriptions, handwritten by Sathianathan, of documents that he asked NASD to compel from Smith Barney and Morgan Stanley. These documents are Srinath's account application from his account at Smith Barney's Menlo Park office, Srinath's January 2001 Smith Barney account statement, and an e-mail that Sathianathan alleges Venkatramani sent to an associated person of Morgan Stanley in May 2001.
NASD denied his request to compel the account application and the account statement as untimely. With respect to the e-mail, the subcommittee of the NAC noted "recent press reports" that indicated that Morgan Stanley might have access to e-mails to which it earlier had denied having access. The subcommittee determined not to remand the case to the Hearing Panel given the amount of time that had elapsed since the conduct at issue. Rather, the subcommittee determined to "credit [ ] Sathianathan's contention regarding a May 2001 e-mail" and provided him "an opportunity, in writing, to state his recollection as to the contents of the e-mail." There is no evidence in the record that Sathianathan made such a submission.
Sathianathan cannot move to adduce these three documents because he does not have them in his possession. Therefore, we are construing his motion to adduce these documents as an argument that NASD erred in refusing to compel them. NASD Procedural Rule 9252 enables respondents to request that NASD invoke Rule 8210 to compel production of documents in disciplinary hearings. Rule 9252, however, requires respondents to make such a request no later than 21 days before the scheduled hearing date in the underlying proceeding. Sathianathan did not file his request until after the Hearing Panel issued its decision. Moreover, NASD Procedural Rule 9346 requires a respondent who seeks to adduce additional evidence on appeal to demonstrate good cause for failing to introduce the evidence before the Hearing Panel and to show that the evidence is material.
Sathianathan has not established good cause for his failure to introduce the account application and account statement before the Hearing Panel. Sathianathan also has failed to establish that the documents are material. He states that the account statement "will refute the NASD's attempt to draw a parallel between my recommendations to [Venkatramani] and my recommendations to [Srinath]." However, the contents of Srinath's account statement are not material given that Sathianathan admitted that he performed no independent analysis of the funds he recommended to Srinath and instead selected them from a subset that he had recommended to Venkatramani. He states that the account application "refutes NASD's unsubstantiated allegation that [he] made misrepresentations on Srinath's account application form." NASD, however, did not charge Sathianathan with making misrepresentations on the account statement. In addition, Sathianathan makes no argument concerning NASD's ruling providing him with the opportunity to state his recollection of the alleged May 2001 e-mail or his failure to make a submission stating his recollection of the contents of that e-mail as provided by NASD. Given these facts, we cannot conclude, as Sathianathan would have us do, that NASD committed error in refusing to compel the three documents at issue.
III.
Unsuitability
NASD Conduct Rule 2310 requires that, in recommending a transaction to a customer, a registered representative "shall have reasonable grounds for believing that the recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such customer as to his other security holdings and as to his financial situation and needs." 3/ As we have frequently stated, a broker's recommendations must be consistent with his customers' best interests. 4/
Sathianathan's Recommendations to Venkatramani
The recommendations that Sathianathan made to Venkatramani were unsuitable in numerous ways. Sathianathan knew that Venkatramani's investment objectives were to preserve his newly acquired wealth and to obtain moderate growth, and that he had no prior investment experience. Sathianathan even sought pricing models from Smith Barney's Global Equity Derivative Department on various hedging strategies intended to protect Venkatramani's wealth which was concentrated in one highly volatile stock. The Global Equity Derivative Department responded with several alternatives and a recommended strategy. Sathianathan rejected the
3/ See Maximo Justo Guevara, 54 S.E.C. 655, 662 (2000), petition denied, 47 Fed. Appx. 198 (3d Cir. 2002) (Table); Rafael Pinchas, 54 S.E.C. 331, 341 (1999).
4/ Wendell D. Belden, Exchange Act Rel. No. 47859 (May 14, 2003), 80 SEC Docket 699, 704; Jack H. Stein, Exchange Act Rel. No. 47335 (Feb. 10, 2003), 79 SEC Docket 2276, 2280; Daniel Richard Howard, 55 S.E.C. 1096, 1100 (2002), aff'd, 77 Fed. Appx. 2 (1st Cir. 2003).
Department's recommendation and instead recommended that Venkatramani increase the leverage in his account by purchasing approximately $4 million in seventeen different mutual funds and the Smith Barney fund, in eighteen different fund families, and $1 million in speculative warrants on margin using the highly speculative Juniper stock as the sole collateral.
Sathianathan's recommendations that Venkatramani invest in Class B shares in seventeen different mutual funds (in addition to shares in the Smith Barney fund), all in different fund families, were unsuitable because they were designed to maximize his own commissions rather than to establish a suitable portfolio. When breakpoints are available, Class B shares, while maximizing the commissions paid to the account representative, often entail greater fees and expenses than Class A shares. Yet Sathianathan recommended that Venkatramani purchase $200,000 in each fund because Sathianathan was aware that many fund companies prohibit purchases of Class B shares in larger amounts. He admitted he structured the purchases to avoid these limitations and to prevent the fund companies from requiring that the purchases be made in Class A shares. He admitted that his recommendations were based, at least in part, on his desire to maximize his commissions.
Moreover, by recommending that Venkatramani purchase Class B shares in seventeen different fund families and shares in the Smith Barney fund, Sathianathan ensured that Venkatramani's purchases would not be aggregated to qualify for Class A share breakpoint discounts and the resulting lower commissions. Although Sathianathan claims the purpose of his recommendation of so many different funds was to diversify Venkatramani's account, he admitted that he gave no serious consideration to whether he could have achieved appropriate diversification in Venkatramani's account while allowing him to take advantage of breakpoint discounts offered on Class A shares. Rather, Sathianathan recommended that Venkatramani structure his mutual fund purchases in plain disregard of the mutual funds' policies, expressed through the dollar limits on the purchase of Class B shares, that it would be more advantageous for an investor making a large investment to purchase Class A shares, and in disregard of NASD's directions to its members to consider all of the expenses charged, and discounts offered, by a mutual fund in determining whether the purchase of that fund's shares is suitable. 5/
Sathianathan's recommendation that Venkatramani use margin for his purchases also was unsuitable given that his investment objectives were moderate growth and the preservation of capital, and that he had no prior investment experience. Using a margin loan with the highly
5/ Wendell D. Belden, 80 SEC Docket at 704-06; see also Suitability Issues for Multi-Class Mutual Funds, NASD Regulatory and Compliance Alert (Summer 2000) ("[M]embers generally should not recommend Class B or C shares to investors who seek to purchase in large amounts and who would incur significantly lower sales charges for Class A share purchases due to the availability of breakpoints, rights of accumulation, or letters of intent."); NASD Notice to Members 95-80 (Sept. 1995) (reminding members that, in determining whether a fund is suitable for an investor, a member should consider the fund's expense ratio and sales charges as well as its investment objectives).
speculative Juniper stock as collateral failed to manage the risk posed to Venkatramani by his concentrated holdings in that stock. Moreover, the margin purchase added an additional source of volatility to the portfolio, and required Venkatramani to pay interest charges on the margin loan, adding to the cost of maintaining the account and increasing the amount by which his investment had to appreciate before realizing a net gain. 6/ The recommendation to use margin to purchase Class B mutual fund shares also failed to take into account the possibility that Venkatramani would have to pay CDSCs if, as ultimately happened, he had to sell Class B shares in order to cover margin calls prior to the expiration of the CDSC period. Sathianathan admitted that he failed to consider the consequences if a margin call were to occur, likening the event to the chances of "a meteorite hitting New York City tomorrow."
Sathianathan's recommendation that Venkatramani invest $1 million in speculative Smith Barney warrants also was unsuitable given Venkatramani's stated investment objective to preserve his newly acquired wealth by diversifying his holdings. The warrants could potentially expire worthless, and the prospectus stated that the warrants involved "a high degree of risk." Sathianathan has not articulated a reason as to why he believed the purchase of the warrants would further Venkatramani's investment goals or was consistent with an investment strategy of moderate growth and preservation of capital.
Sathianathan's Recommendations to Srinath
The recommendations that Sathianathan made to Srinath also were unsuitable. Sathianathan's recommendations that Srinath invest in Class B shares in nine different mutual funds in nine different fund families resulted in unnecessary costs. Sathianathan's mutual fund recommendations to Srinath, like those he made to Venkatramani, were designed to maximize his own commissions, and they failed to account for the fact that by aggregating Srinath's purchases into fewer funds and fewer fund families and by purchasing Class A shares rather than Class B shares, Srinath could have qualified for breakpoint discounts available with Class A shares and could have paid less in fees and expenses.
6/ See Stephen Thorlief Rangen, 52 S.E.C. 1304, 1307-08 (1997) (finding the use of margin to be unsuitable for unsophisticated investors who were seeking income producing investments and did not wish to speculate). To avoid the use of margin to purchase the mutual funds, Venkatramani would have had to liquidate part of his position in Juniper stock and incur capital gains taxes, which may have been more costly than paying margin interest. However, Sathianathan does not claim, and nothing in the record indicates, that he weighed the suitability of paying margin interest instead of incurring capital gains taxes or that he analyzed the impact of the choice of whether to liquidate Juniper stock or to use it as collateral on the total risk to Venkatramani's position.
Sathianathan's Arguments
Sathianathan provides several reasons why he believes the recommendations that he made were suitable. Sathianathan maintains that it is wrong to assume that Class B shares were unsuitable given the amounts invested by Venkatramani and Srinath. He contends that the fact that many mutual fund companies restrict Class B share purchases to amounts at or below $250,000 is a "strong signal that Class A shares are more profitable than Class B shares for the mutual fund companies." He argues that, accordingly, recommending Class A shares to his customers would have violated "basic expectations of the workings of free markets . . . that what is more profitable for the mutual fund family is more costly for customers."
Sathianathan offers nothing in support of this proposition. To the contrary, he admits in his brief on appeal that a customer investing over $1 million in mutual funds can benefit from the breakpoint discounts offered on Class A shares. Moreover, he admitted that, prior to making his recommendations, he failed to perform any calculations or to consider hypothetical scenarios to determine which class of shares would be more beneficial to the customers in the long run. Sathianathan cites to "academic studies conducted by Nobel prize winning economists" that he asserts show that investors generally prefer not to pay initial sales charges even if they have to pay more in deferred charges. He also refers to "basic financial theory that more diversification is better."
There is no evidence, however, that Venkatramani and Srinath ever manifested a preference to avoid up-front charges. More fundamentally, a general preference "not to pay initial sales charges" does not address whether Class B shares, with their lack of up-front sales charges but higher costs and commissions, were suitable for these customers. While Class B shares may be suitable for some investors, particularly those who cannot take advantage of breakpoint discounts, Venkatramani and Srinath were investing millions of dollars and would have qualified for breakpoint discounts had they invested in Class A shares in fewer fund families. In addition, a general preference to avoid initial sales charges does not address the risk that Venkatramani would have to pay CDSCs if he had to sell Class B shares in order to cover margin calls prior to the expiration of the CDSC period. Moreover, the assertion that more diversification is better is beside the point; Sathianathan could have achieved appropriate diversification while obtaining the lower costs available when purchasing Class A shares had he recommended that Venkatramani and Srinath select mutual funds from fewer mutual fund families.
Sathianathan argues that NASD made an incomplete analysis of the cost of concentrating mutual fund purchases into a small number of mutual fund families in order to purchase lowercost Class A shares. Specifically, he claims that, as an associated person of Smith Barney, he would have been forced to purchase Smith Barney funds, which he contends were poorperforming and expensive and, therefore, unsuitable. Without accepting Sathianathan's conclusions with respect to the performance of Smith Barney funds, this argument is based on
the faulty assumption that the only alternative to Sathianathan's unsuitable recommendation was to invest all of his customers' assets in Smith Barney funds.
Sathianathan argues that various applications for accounts opened by Venkatramani at Smith Barney and at other firms establish that Venkatramani's investment objective was growth and that he was interested in aggressive and speculative investing. He further argues that it is incorrect to infer, as he claims NASD did, that Sathianathan made material misrepresentations on the account application that he filled out for Venkatramani. However, the application that Sathianathan completed was inconsistent not only with Venkatramani's earlier Smith Barney application that indicated his risk tolerance was moderate rather than aggressive and that his investment objectives did not allow for speculation, but also with Sathianathan's testimony that Venkatramani had informed him that Venkatramani's investment objective was the preservation of capital and that, as Sathianathan stated, "his level of sophistication was almost zero." Sathianathan's testimony and Venkatramani's first Smith Barney application establish that Venkatramani's investment objective was to obtain moderate growth and preserve his wealth, and Sathianathan's recommendations were unsuitable given these objectives.
Sathianathan argues that NASD did not consider his entire recommendation to Venkatramani. Sathianathan claims that he originally recommended that Venkatramani hedge his concentrated position in Juniper stock and that this recommendation was suitable. However, even if he did so, the fact that Sathianathan originally may have made a suitable recommendation does not change the fact that his subsequent recommendations, the ones on which Venkatramani acted, were unsuitable. Sathianathan also claims that NASD failed to consider that he made a calculation of the "return versus risk tradeoff that turned out to be incorrect due to a historic stock market collapse" and Smith Barney's error in crediting Venkatramani's account with additional shares at the time of his September recommendations. However, neither the overall performance of the stock market nor Smith Barney's error change the fact that Sathianathan's recommendations were unsuitable because they involved unnecessary costs and were too risky given the investment objectives and investment experience of his customers. In addition, while Sathianathan appears to argue that the amount of margin that Venkatramani assumed was suitable given Smith Barney's overvaluation of his account, the issue is not the amount of margin but whether the use of margin collateralized by a highly speculative security was suitable for an unsophisticated investor seeking moderate growth. As we conclude above, under the circumstances presented here, Sathianathan's recommendation that Venkatramani use margin was unsuitable.
Accordingly, we find that Sathianathan's recommendations to Venkatramani and Srinath were unsuitable in violation of NASD Conduct Rules 2310 and 2110. 7/
Unauthorized Trades
NASD Conduct Rule 2510(b) prohibits a registered representative from exercising any discretionary power in a customer's account without prior written authorization from the customer and written acceptance from the member firm. Conduct Rule 2510(d)(1) provides that these requirements do not apply to "discretion as to the price at which or time when an order given by a customer" to purchase or sell a "definite amount" of a "specified security" will be executed. 8/
Sathianathan exercised discretion in Venkatramani's account when he purchased 23,000 shares of Juniper stock while Venkatramani was out of the country. It is undisputed that Venkatramani did not know of these trades at the time they were made, and he did not provide Sathianathan with written authorization to make the transactions. Sathianathan argues that he had price and time discretion to make the trades in accordance with Conduct Rule 2510(d). However, Sathianathan's testimony and his e-mail communications with Venkatramani show that the two men discussed a general strategy whose "basic plan was to sell [Juniper shares] when the price of the stock was high and then to buy it back when it was lower and to do this over the next few years (if need be) by trying to time the market rallies in summer and January." Sathianathan and Venkatramani did not agree on specific amounts for each of these purchases. When Sathianathan purchased the 23,000 Juniper shares, he did so pursuant to this general strategy and a rumor that Juniper might be added to the S&P 500. These general strategy discussions, however, did not include specific orders for the purchase of a definite amount of Juniper stock. Moreover, Sathianathan admitted that his decision to purchase the 23,000 Juniper shares was not based on an order to purchase a definite amount of Juniper stock, but instead was "purely based on what I thought was a strong family relationship that you and I have through the fact that one of your best friends is my brother." We find that Sathianathan violated NASD Conduct Rules 2510(b) and 2110 by exercising discretionary authority over Venkatramani's account without prior written authorization.
7/ NASD charged Sathianathan with violating Conduct Rule 2110, which directs registered representatives of NASD member firms to conduct their business in accordance with just and equitable principles of trade. It is well established that a violation of a Commission or NASD rule or regulation constitutes a violation of Conduct Rule 2110. See Stephen J. Gluckman, 54 S.E.C. 175, 185 (1999).
8/ Conduct Rule 2510(d)(1) was amended effective January 31, 2005. See NASD Notice to Members 04-71 (Oct. 2004). We have analyzed Sathianathan's conduct under the rule in effect at the time of his alleged misconduct.
IV.
Sathianathan makes a number of arguments that, taken together, generally contend that NASD's disciplinary proceeding was deficient on procedural and due process grounds. These various claims can be grouped into three general categories: (1) that Sathianathan is a whistleblower and therefore cannot be subject to this disciplinary proceeding by NASD; (2) that he is the victim of selective prosecution by NASD; and (3) that the NASD proceedings were unfair and tainted by bias.
Sathianathan argues that NASD instituted this proceeding in retaliation for what he claims is his whistleblowing to federal and state enforcement authorities about "criminal activities by leading NASD member firms Smith Barney and Morgan Stanley" with respect to an arbitration proceeding that Venkatramani filed regarding Sathianathan's conduct. He states that, because this disciplinary action was brought in retaliation for his alleged whistleblowing, federal whistleblower statutes protect him from being sanctioned. Sathianathan cites to Section 1107 of the Sarbanes Oxley Act, which added paragraph (e) to Section 1513 of Title 18 of the United States Code, the federal criminal statute that protects a witness, victim, or informant from retaliation. It establishes criminal penalties for a person who knowingly, with the intent to retaliate, takes an action harmful to a person for providing to law enforcement truthful information about the commission or possible commission of a federal offense. Sathianathan also relies on Sections 241 and 242 of Title 18 which establish criminal penalties for conspiring to injure, oppress, threaten, or intimidate any person in the free exercise of a right or privilege provided by the Constitution or the laws of the United States.
As an initial matter, we note that although Sathianathan raises the argument that he is a whistleblower numerous times throughout the record, he never clearly identifies the allegedly criminal activities about which he allegedly informed enforcement authorities beyond the general classifications of "material perjury" and "fraudulent activities." Even assuming, however, that Sathianathan had knowledge of unlawful activity about which he informed federal or state authorities, the statutes that Sathianathan cites do not provide him with immunity in this disciplinary proceeding. Sections 241, 242, and 1513 of Title 18 are federal criminal statutes directed at punishing prohibited retaliatory action by a party against a person who has provided to law enforcement truthful information about the commission or possible commission of a crime. They do not purport to provide a defense in a disciplinary action or to estop NASD from taking disciplinary action consistent with its rules. As such, these provisions are not relevant with respect to this disciplinary proceeding and do not provide Sathianathan with an affirmative defense or immunity from sanction for his misconduct.
Sathianathan also argues that he has been selectively targeted by NASD as a result of his whistleblowing and his refusal to assist Smith Barney in the Venkatramani arbitration proceeding. To establish a claim of selective prosecution, a petitioner must demonstrate that he was unfairly singled out and that his prosecution was motivated by improper considerations such as race, religion, or the desire to prevent the exercise of a constitutionally protected right. 9/ No such showing was made here. The record is clear that this proceeding resulted from an investigation by NASD in response to Smith Barney and Morgan Stanley amending Sathianathan's Forms U-5 and U-4, as they were required to do by NASD rules, to reflect Venkatramani's customer complaint and, later, his arbitration claim. Moreover, NASD conducted its own investigation and prosecuted the case based on the facts in the record and there is no evidence that NASD gave any consideration to any alleged whistleblowing by Sathianathan with respect to Venkatramani's arbitration.
Sathianathan argues that the amendment to his Form U-5 that Smith Barney filed to reflect Venkatramani's customer complaint establishes that this action was motivated by improper considerations. Sathianathan claims that Smith Barney's amendment of his Form U-5 was retaliatory and defamatory. Even were it true that Smith Barney acted with improper motives, this does not establish that NASD's investigation and prosecution were motivated by improper concerns. Moreover, Sathianathan has failed to establish that Smith Barney acted with retaliatory motive, given that Smith Barney was required to report the customer complaint pursuant to NASD By-Laws. 10/
Sathianathan further asserts that prosecution based on improper considerations can be inferred from the fact that the NAC claimed that the investigation was triggered when Smith Barney amended his Form U-5 on November 16, 2001, to reflect the filing of an arbitration claim by Venkatramani, but that Venkatramani did not file for arbitration until February 7, 2002. This contention is baseless. The NAC erred in stating that the November 16, 2001, Form U-5 that triggered the investigation was based on the filing of an arbitration claim rather than a customer complaint, but this error does not establish retaliatory motive.
Sathianathan also asserts that NASD's proceedings were unfair and biased. Among other things, he contends that he was prevented from communicating with officers of NASD and from referring to or reviewing his exhibits while testifying. Our review of the transcript of the hearing indicates that the Hearing Panel attempted to confine the record to relevant evidence and to ensure that NASD's procedures were being followed. We see no evidence of bias or that Sathianathan was treated unfairly in any way. The record indicates that Sathianathan was given wide latitude to present evidence and make arguments. The Hearing Officer allowed Sathianathan to file a forty-two page single-spaced pleading that the Hearing Officer admitted as a post-hearing brief, even though the Hearing Panel had not requested post-hearing briefs. We
9/ United States v. Huff, 959 F.2d 731, 735 (8th Cir. 1992); see also Maximo Justo Guevara, 54 S.E.C. 655, 665 (2000); Richard J. Puccio, 52 S.E.C. 1041, 1046 (1996).
10/ NASD By-Laws, Art. V, Sec. 3(b).
conclude that Sathianathan had a full and fair opportunity to present his case and defend himself against the charges alleged by NASD. 11/
V.
Exchange Act Section 19(e) provides that we may cancel, reduce, or require the remission of a sanction if we find that it imposes an unnecessary or inappropriate burden on competition, or if it is excessive or oppressive. 12/ NASD Sanction Guidelines recommend imposition of a monetary sanction of between $2,500 and $75,000 for unsuitable recommendations and a suspension for a period of ten business days to one year, and, in egregious cases, consideration of a longer suspension (of up to two years) or a bar. 13/ Using these Guidelines, NASD found that Sathianathan's unsuitable recommendations warranted a bar.
We conclude, as did NASD, that Sathianathan engaged in repeated violations of the suitability rule. He recommended multiple purchases of Class B shares of mutual funds to Venkatramani and Srinath that were unsuitable because they were designed to maximize his commissions rather than to establish an appropriate portfolio in that his customers could have invested in lower-cost Class A shares given the large amounts that they intended to invest. His recommendations that Venkatramani purchase the mutual funds and warrants on margin using his concentrated position in Juniper stock as collateral were unsuitable because they entailed too much risk given Venkatramani's investment objectives and experience. He recommended that Venkatramani purchase speculative index warrants that were unsuitable given his investment objectives of moderate growth and preservation of wealth and given his lack of investment experience. Sathianathan's numerous violations of NASD's suitability rule warrant serious sanctions.
NASD also identified numerous aggravating factors. Sathianathan's misconduct resulted in substantial losses to his unsophisticated customers and resulted in his own monetary gain. His misconduct occurred after he had been placed on probation by his supervisor and after he had been instructed specifically to limit his use of margin, to ensure proper asset allocation and diversification, and to eliminate excessive trading or commissions. He has sought to shift the blame for his violations to others, repeatedly blaming his supervisors, the firms with which he was associated, and general market conditions for his violative conduct. His statement that "instead of blaming customers [Venkatramani] and [Srinath], I have been pro-investor by
11/ Rita H. Malm, 52 S.E.C. 64, 74 (1994) (respondents in self-regulatory organization disciplinary proceedings are entitled to a full and fair opportunity to present their case and defend themselves against charges).
12/ 15 U.S.C. § 78s(e)(2). Sathianathan does not claim, and the record does not show, that NASD's action has imposed an undue burden on competition.
13/ NASD Sanction Guidelines 99 (2006).
blaming my former employer [NASD member] firms" reveals a troubling inability to accept accountability for his own conduct. Sathianathan's arguments to us have demonstrated a fundamental lack of understanding of his duties as a securities professional in general and his responsibility to provide his customers with suitable recommendations in particular. Under the circumstances, a bar from association with any broker or dealer serves to protect the investing public from further harm.
Sathianathan contends that the sanctions imposed upon him are too severe when compared with sanctions imposed in other NASD disciplinary proceedings. The appropriate sanction, however, depends on the facts and circumstances of each particular case. 14/ Moreover, one of the two cases cited by Sathianathan is a settled case. 15/ We have repeatedly stated that pragmatic considerations may justify lesser sanctions in negotiated settlements. 16/ In the other case, an NASD hearing panel imposed a one-year suspension and a fine of $25,000 for what it concluded was a "serious" violation of its suitability rule, but the dollar amounts invested were significantly smaller than those invested here. 17/ Sathianathan also points to the fact that NASD imposed two bars, one for the unsuitable recommendations made to Venkatramani and the other for the unsuitable recommendations made to Srinath, as evidence that NASD treated him differently than other associated persons, and asserts that NASD has never before imposed multiple bars on one applicant. His assertion is factually incorrect: NASD has imposed more than one bar on a single applicant when a complaint includes multiple causes of action that the adjudicator determines warrant separate sanctions. 18/ Therefore, we reject his
14/ See Butz v. Glover Livestock Comm'n Co., 411 U.S. 182, 187 (1973); Jonathan Feins, 54 S.E.C. 366, 380 & n.36 (1999); Christopher J. Benz, 52 S.E.C. 1280, 1285 (1997), petition denied, 168 F.3d 478 (3d Cir. 1998) (Table).
15/ See NASD Regulation Censures and Fines Stifel, Nicolaus & Company, and Two Individuals for the Unsuitable Sale of Class B Mutual Fund Shares, NASD Notice to Members - Disciplinary Actions 318 (May 2001).
16/ See, e.g., Anthony A. Adonnino & Thomas Cannizzario, Exchange Act Rel. No. 48618 (Oct. 9, 2003), 81 SEC Docket 981, 999, aff'd, 111 Fed. Appx. 46 (2d Cir. 2004); Richard J. Puccio, 52 S.E.C. 1041, 1045 (1996).
17/ See Dep't of Enforcement v. Fantetti, (Hearing Panel decision, July 18, 2005).
18/ See, e.g., Guang Lu, Exchange Act Rel. No. 51047 (Jan. 14, 2005), 64 SEC Docket 2639 (sustaining two separate bars, one for failure to obtain written authorization before transacting trades in discretionary accounts and the other for providing a false answer on Form U-4), aff'd, No. 05-1153 (D.C. Cir. May 9, 2006)
claim that the sanctions imposed on him are disproportionate to those imposed in other cases. For all the reasons stated above, we do not find the sanctions imposed by NASD to be excessive or oppressive.
Accordingly, we sustain NASD's findings of violation and the sanctions it imposed against Sathianathan. An appropriate order will issue. 19/
By the Commission (Chairman COX and Commissioners ATKINS, CAMPOS, NAZARETH and CASEY).
Nancy M. Morris Secretary
19/ We have considered all of the contentions advanced by the parties. We have rejected or sustained these contentions to the extent that they are inconsistent or in accord with the views expressed in this opinion.
UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 54722 / November 8, 2006
Admin. Proc. File No. 3-12245
In the Matter of the Application of
RAGHAVAN SATHIANATHAN c/o S.T. Allen & Co. 336 Bloomfield Avenue Montclair, NJ 07042
For Review of Action Taken by
NASD
ORDER SUSTAINING DISCIPLINARY ACTION TAKEN BY REGISTERED SECURITIES ASSOCIATION
On the basis of the Commission's opinion issued this day, it is
ORDERED that the disciplinary action taken by NASD against Raghavan Sathianathan, and NASD's assessment of costs be, and they hereby are, sustained.
By the Commission.
Nancy M. Morris Secretary
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Action Items Arising from January 23, 2013 PEIHSF Board Meeting
1. ACTION ITEM: Shirley will provide more detailed information Directors Liability Insurance, including quotes, so that, at the next meeting, we can decide whether this is required and within our means.
2. ACTION ITEM: All directors will provide feedback from local associations and regions on the Welcome to Kindergarten program before the next meeting.
3. ACTION ITEM: Shirley Jay will ensure that the survey deadline is added to the Parent Engagement Survey.
4. ACTION ITEM: Peter Rukavina agreed to draft a resolution calling for enhanced engagement with Department of Education and Early Childhood Development committees, and a resolution calling for cross-appointments from the ELSB and Health PEI boards.
5. ACTION ITEM: Owen Parkhouse agreed to draft a resolution on changing the regional directory boundaries to match the family of school boundaries.
Prince Edward Island Home and School Federation Inc.
Board of Directors Meeting – January 23, 2013 Three Oaks High School Library, Summerside
Call to Order
The meeting was called to order by President Pam Montgomery at 6:33 p.m.
In attendance were: Pam Montgomery (President), Owen Parkhouse (Past-President), Shelley Muzika (Treasurer), Peter Rukavina (Secretary), Ken Williams (Region 1 Director), Joanna Stewart (Region 2 Director; arrived 6:45 p.m.), Lee Gauthier (Region 3 Director), Ricardo Angel (Region 3 Director; arrived 6:45 p.m.), Karla Thompson (Region 4 Director), Michael Pendergast (Region 4 Director) and Shirley Smedley Jay (Executive Director).
Also in attendance was Anastasia DesRoches, representing Fédération des parents de l'Î.-P.-É., the organizational peer of the PEIHSF, representing local associations at schools in the La Commission scolaire de langue française.
Regrets were received from Lisa Geldert (Vice-President) and, following the meeting, from Raeann Kinch (Region 1 Director).
Peter Rukavina acted as recording secretary.
Welcome to Anastasia DesRoches
Pam Montgomery began the meeting by welcoming Anastasia DesRoches to the meeting, and spoke of the importance of cooperation between the French and English parents' organizations, a sentiment that Anastasia echoed. Ken Williams recommended a reciprocal offer to attend meetings of the Fédération des parents de l'Î.-P.-É.
Approval of Agenda
MOTION: The agenda be approved as presented, with the addition of an item to discuss realignment of PEIHSF regional directorships with "family of schools" boundaries. Moved by Shelley Muzika. Seconded by Lee Gauthier. MOTION CARRIED.
Minutes of the November 15, 2012 Meeting
It was noted by Peter Rukavina that the November 15, 2012 meeting was not regularly constituted, and thus the minutes would not require approval; with this in mind, the minutes were informally reviewed and action items discussed.
MOTION: The salary increase for the Executive Director take effect as of Nov. 15, 2012. Moved by Shelley Muzika. Seconded by Ken Williams. MOTION CARRIED.
Shelley Muzika reported that Jean Davis had been hired to take on the Parent Engagement Coordinator. Jean will be working on a part-time contract basis, and we will thus not be responsible for making payroll remittances. Karla agreed to work with Shirley to confirm that this arrangement does not contravene CRA regulations.
Peter Rukavina reported satisfaction at information provided by Shirley Jay about telephone costs, and agreed that the matter could be dropped.
Liability insurance for directors was discussed, and Shirley agreed to research.
ACTION ITEM: Shirley will provide more detailed information Directors Liability Insurance, including quotes, so that, at the next meeting, we can decide whether this is required and within our means.
Financial Update
Shelley Muzika provided a brief review of the PEIHSF financial situation as of December 31, 2012:
* Current Account: $27,981.60
* GIC 1: $73,030.30 matures October 1, 2013
Shelley then summarized the revenue and expenditures for the 2012 calendar year:
* Revenue: $81,143.74
* Expenses: $62,418.49
* Net: $18,725.25
Shelley reported that in previous years 20% of "Parent Engagement" funds had been allocated to the main budget recognizing that there is a contribution of staff time, resources, office, etc. to parent engagement activities. Her research has shown the actual contribution is closer to 40%, so this is what will be allocated in future.
It was noted that Jean Davis and Cherie LeMoine both began their contracts on January 7, 2013 and these will run to June 28, 2013.
MOTION: The Financial Report be accepted as presented. Moved by Shelley Muzika. Seconded by Lee Gauthier. MOTION CARRIED.
Presidents Report
Pam Montgomery presented a report on recent activities:
* January has been a busy month for the PEIHSF, and 2013 ahead looks to be equally busy.
* The 60th anniversary planning committee is underway planning for the March event; more on this later in the meeting.
* Pam attended the Elm Street School "Welcome to Kindergarten" award reception, and was asked to provide feedback on the program to the Department, as developing a
less expensive locally-operated and resourced replacement program is being considered; directors were asked for their feedback on this.
* The School Calendar Committee meeting has been moved to February 4, 2013. It was noted that School Assessment dates will be added to the published calendar in future years.
* A brainstorming session for local presidents will be held at Harmony House on January 29th.
ACTION ITEM: All directors will provide feedback from local associations and regions on the Welcome to Kindergarten program before the next meeting.
There was considerable discussion following Pam's report on the various committees at the Department of Education and Early Childhood Development and how they have not met for some time. Several directors spoke to the importance of good parent representation on these committees. No conclusions were reached.
Executive Director's Report
Shirley Jay presented a written report of her activities since the last meeting.
Parent Engagement Report
Owen Parkhouse updated the board on the Parent Engagement file.
The Parent Engagement Survey has been published and responses are coming in, 434 to date, which is an encouraging reply rate. An interim news release to encourage more parents to reply, especially in areas where fewer replies per capita have been submitted, will go out this week.
It was noted that the deadline for filling in the survey is not on the survey itself.
ACTION ITEM: Shirley Jay will ensure that the survey deadline is added to the Parent Engagement Survey.
Owen agreed to be the "point person" on all survey-related media enquiries.
Two projects for Parent Leadership Grants have been approved under the fall deadline. Anastasia DesRoches expressed appreciation that these were being made available to home and school associations in La Commission scolaire de langue française schools.
60th Anniversary Committee Report
Lee Gauthier led a discuss of the celebration of the PEIHSF 60th anniversary in 2013. Lee is chairing the organizing committee, which consists of Shirley Jay, Pam Montgomery, Lori Linkletter, Vicki Allen-Cook, Owen Parkhouse and Sue Williams
The 60th anniversary celebration will be held on March 2, 2013 at the Confederation Centre of the Arts.
Art canvases (18" x 24") are going out to all schools, and will be on display, representing each school, at the event.
Prominent individuals (Premier Ghiz, etc.) will be asked to provide their own art creations for a silent auction at the event.
Invitations have been sent to 6 choirs across the province to attend; 3 have confirmed. The "all school" and "teacher" choirs will also perform.
50 minutes of show time are committed now; 40 minutes are still be be planned.
4 pieces of written material will be read.
A standup reception will be held at 6:00 p.m. for invited guests (local presidents, invited guests, etc.) This will be followed by the concert proper. We can sell up to 800 tickets, and sales will be managed by the Confederation Centre box office.
The total cost for the Confederation Centre will be $5600, which includes space, technicians, tickets, etc.
Telus Project
Pam Montgomery and Lee Gauthier reported on the application to Telus for an antibullying-related project; this will be submitted to Telus by the end of February.
Ricardo Angel noted that Future Shop has a generous grant available for technologyrelated items and Lee noted that Rogers also has a program, currently being used by Boys & Girls Club in Summerside, for technology purchases and support.
Shirley Jay suggested we consider establishing a bursary in celebration of the 60th anniversary. No conclusion was reached on this.
IT Advisory Committee
Peter Rukavina reported that the Minister's Advisory Committee on CIT had not met since the last meeting.
Peter recommended that, as his term as secretary is ending at the AGM, that Ricardo Angel take his place at the committee, and Ricardo agreed, and they will plan to attend the next meeting together.
Other Business
Shelley Muzika agreed to attend the first meeting of the English Language School Board, which conflicts with our "brainstorming" session on January 29th.
The possibility of holding workshops at the Annual General Meeting, in the afternoon, was discussed and agreed to in principle. Proposed workshops were:
* "How to get along with your school principal"
* "An Introduction to TeacherNet"
* "Online Lunch Ordering"
Other topics will be considered, especially at the brainstorming session, and preregistration will be requested. The workshops would take place after lunch, starting at 1:30 p.m.
Shirley reported no resolutions have been received for the 2013 Annual General Meeting yet, although some may be in the works.
ACTION ITEM: Peter Rukavina agreed to draft a resolution calling for enhanced engagement with Department of Education and Early Childhood Development committees, and a resolution calling for cross-appointments from the ELSB and Health PEI boards.
There was discussion of the alignment of our regional directors with the "family of school" boundaries.
ACTION ITEM: Owen Parkhouse agreed to draft a resolution on changing the regional directory boundaries to match the family of school boundaries.
Shirley reminded directors to watch for the Extra Mile award ballots shortly by email.
Lee Gauthier recommended that, in future years, the second "Extra Mile" award be awarded to a school rather than an individual.
There was a general discussion of issues related to alcohol and drug abuse, bullying, the Colonel Gray police office position, etc. Lee Gauthier reported that on Feb. 12, 2013 at Bluefield High School there will be, in parallel with "meet the teacher night," sessions on University/College prep, Mental Health, Study Habits and Getting Engaged. Directors were invited to attend. A similar session will be held at Three Oaks on May 6, titled "Student Awareness Advocacy Expo."
It was agreed to send letters of support to the SHAPES project and to the Women's Network Cyberbullying project.
Discussion of lice was tabled.
The meeting adjourned at 9:29 p.m.
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The Story of...
Silent Word Ministries
Silent Word Ministries PO Box 889 - Trenton, GA 30752
MB00 – Story of SWM
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Meet The Founders
Ted & Carlene Camp
Missionary/Evangelist Dr. Ted Camp began preaching in June, 1963. Since that time, he has served as pastor of three churches and was on staff for twenty years at the Bill Rice Ranch in Murfreesboro, Tennessee. In 1977, he was one of the first men to receive an honorary doctorate degree because of his literature and ministry to the deaf world. In 1993, the Lord led the Camps back to their roots in Trenton, Georgia, to continue SWM. The Camps were married in 1958 and have two grown children and two grandchildren. They are an unusual missionary couple serving both deaf and hearing people. Their goal is to "Tell the Deaf more about Jesus."
I. SWM was founded by missionaries Ted and Carlene Camp in 1966 to fulfill the Great Commission through evangelism to the Deaf world. It is a nonprofit 501(c) 3 organization. SWM is an Independent Baptist ministry. Their goal is to reach the Deaf world for Christ; to help establish Deaf ministries in fundamental churches; to win people to Christ worldwide; to help build established ministries; and to strengthen both Deaf and hearing into Christian maturity with a literature program.
II. SWMission Board and SWM International were established to help hearing and deaf missionaries with a like calling and burden for the deaf world. SWM serves as headquarters for missionaries and provides accountability to the local churches, their supporters, and IRS. SWMission Board is unique in that it specializes in reaching the deaf world for Christ. The goal is to help each missionary reach his/her fullest potential for the Lord. If you are interested, contact: Jon Barr email@example.com
Visit SWM Web Site: www.SilentWordMinistries.org
Story of Silent Word Ministries
As Told by Dr. Ted Camp, Founder
"As they ministered to the Lord… the Holy Ghost said, Separate me Barnabas and Saul for the work whereunto I have called them"(Acts 13:2). "But the Lord said unto him, Go thy way: for he is a chosen vessel unto me, to bear my name before the Gentiles, and kings, and the children of Israel" (Acts 9:15). Paul knew he was called and sent to the Gentiles. Paul always remembered his original calling to the Gentiles on the Damascus road.
In 1966, the Lord called and sent Ted & Carlene Camp to minister to Deaf people. God chose them and built His ministry, a ministry that would preach the Gospel, teach the Bible, and evangelize the Deaf world. The name Silent Word was created for the "The Silent Word" newspaper. Even in the early days, God was preparing SWM to reach the Deaf worldwide. As the Deaf Bible Institute, tracts, and literature were printed and distributed to the Deaf, SWM slowly became the Silent Word Ministry. The ministry continued to grow and is now Silent Word Ministries, Inc. – Many ministries, reaching the Deaf World for Christ.
The Story of Silent Word Ministries… Usually, when people first meet me, they ask, "How did you start working with the Deaf? How did Silent Word Ministries begin?" This is the story of how God led us into the exciting, unique ministry of the Deaf World.
It all began in the summer of 1966 when Clifford Smith, missionary to the Deaf, was scheduled to speak at our church, Beulah Chapel Baptist of Flat Rock, Alabama. On the afternoon of his appointment, he visited our community and found three Deaf families. That night these families attended the services with him. We were very surprised to have Deaf people in our church and also to learn that they lived in our community. This was our first
contact with Deaf people. Clifford presented his work, and for the first time, we saw how Deaf people could worship with hearing people. Clifford's wife, Helen, interpreted as he preached his sermon. He told us how the Deaf were being overlooked in the field of Christianity. The missionary left, but the burden remained. In one service, Mrs. Edna Earnest came forward and told the church she felt a desire to work with the Deaf. We had to start a deaf ministry. Then I had to visit the Deaf to see if they would attend our church. How could I make them understand? I wrote on a large poster card, "If we learn Sign Language, will you come to our church?"
Then, I visited Deaf people. The first home had a big dog in the yard. I don't like big dogs, and they don't like me. I slowly walked to the door. Looking through a window, I noticed the Deaf lady inside. I knocked on the door. Nothing happened. I knocked again. She was just inside the door. I knocked again. Dumb, stupid me! The Deaf can't hear you knock on a door. I didn't know that. Finally, I walked over to the window. I could see the lady, but I did not know how to let her know I was outside. I began to wave to her through the window. When she finally saw me, she screamed. It was a sound I had never heard before. It sounded like a wild person. That startled me, and I turned to leave. The big dog grinned at me, so I stayed. Cautiously, I went back to the door and waited. She came to the door and stared at me in fright. I knew that I had to do something quickly, so I used the only sign I knew. I smiled!
I smiled and smiled, and then pointed to the card. I kept smiling as she walked away. I was left alone wondering if she would return or if I should go into the house. She returned with her Deaf husband. I waved and smiled. I showed them the card and smiled. He smiled; she smiled; we all smiled. They motioned for me to come into the house. I smiled and entered the home. Again, I showed them the card. The three of us read the card about five times. Finally, I pulled out a pen, and they signed the card promising to come to church. I shook their hands and smiled. I had smiled so much my cheeks were hurting. It worked! All the Deaf in the area promised to come to church. We had our worker and the Deaf people promised to come to church. Next, we needed to learn Sign Language.
Learning Sign Language - I was referred to Highland Park Baptist Church in Chattanooga, Tennessee, because they had a good deaf ministry. I went to the church, and they referred me to Dr. J.R. Faulkner who introduced me to Don Cabbage, a student at Tennessee Temple Schools. I later learned that Don Cabbage was the son-in-law of Dr. Bill Rice who founded the Bill
Rice Ranch (a camp for the Deaf) in Murfreesboro, Tennessee. Don Cabbage was well qualified because his wife, Betty, was Deaf. I thought, "He had to know Sign Language to communicate with her." Don agreed to teach his first Sign Language class in our church.
He taught classes for one week as he was a working student. He taught three hours each night for one week. As he left, he said, "Lord, you need to help those poor people, because I can't." The Lord did! We had our beginning.
Our First Deaf - The deaf people came to our church so we needed interpreters and a teacher. Hugh Earnest was the teacher and I assisted. One Sunday I taught about Noah. I was shocked to learn that many of our deaf people did not know who built the Ark. They were also amazed to learn it had never rained before Noah's time. It touched my heart as I helped them understand the Bible. This was the same as a mission field.
Carlene's First Time to Interpret - When Don Cabbage taught the sign language class, Carlene was expecting our son, Greg. She attended the class but was only interested in the baby being born. She also felt awkward around the deaf.
Carlene had learned a few signs but she avoided the deaf people. If they came one way, she would go the other way. She sat away from them in church. Then one night the interpreter did not come to church. The deaf people had no interpreter. They tried to get Carlene's attention by using her sign name and pointing to her. She saw her name being used and looked the other way. Finally, their eyes locked and the deaf people motioned for her to come over with them. She had to be a good pastor's wife, so she went. The deaf all pointed to her and said, "You interpret." She almost fainted as she said and signed, "Who...me?" Carlene said that she could not stand as her knees were knocking and all strength was gone. She slowly signed a few words and then was amazed as the deaf people accepted her and helped her with signs. She would spell a word, and they would show her the sign for the word. Very little was interpreted that night, but something happened that changed her life.
Carlene said, "That night I fell in love with the deaf people. I learned that they were not strange and weird, but kind and sweet people."
Deaf People in Other Cities - It was not long until knowledge of our ministry grew. One night we were contacted by J.C. Johnston and J.P. Ashworth in Chattanooga, Tennessee. They had found a deaf couple while on visitation and wanted us to come and help witness to them. We visited them and learned that they were already Christians.
As I traveled home that night, thoughts of reaching other deaf troubled me. I was burdened for the deaf, not only for those nearby, but the Deaf people everywhere. How could I better reach them for Christ? What could I do?
Silent Word Ministries Born - One night in September, 1966,
during our church service, Alvin Spurgin, a deaf man, signed a song, "More, more about Jesus, more, more about Jesus." I watched and wept as I thought of all the deaf who needed to know more about Jesus. God used this deaf man to touch my heart. As Alvin sang in Sign Language, I promised the Lord that I would help deaf people know more about Jesus . I prayed and thought of the best way to tell the deaf "more" about Jesus. The Lord impressed upon my heart to reach the deaf through and with the printed ministry . I would write and print literature in their language and culture to reach them. At the same time Harry Price a member of our church told me the Lord had laid upon his heart to buy us a used ABDick mimeograph machine. He then sadly said, "I will need to sell my bird dogs."
From the beginning, my burden has always been to reach the deaf with a worldwide printing ministry. I realized that I could not personally visit all the deaf, but I could personally reach many with a publication ministry. After only three months of being in the deaf ministry, we printed our first (small) newspaper, "The Silent Word." Deaf people could not hear, but they could read. It worked! Deaf people listen with their eyes! We sent the silent Word into the silent world. I learned quickly that the Word of God produces the Work of God. Since the beginning I have always felt that when I write, I please the Lord.
August 1967 - First visit to Bill Rice Ranch - Carlene and I, along with others from the church, went to the Bill Rice Ranch in Murfreesboro, Tennessee, for a refresher course in Sign Language. Cathy Rice taught us to "think deaf."
While at the Bill Rice Ranch, I promised God I would do all I could to help the Ranch during their two deaf weeks. These folks have been an inspiration and invaluable help in our work with the deaf, as well as to the deaf ministry throughout America.
January 1968 – We resigned Beulah Chapel Baptist Church and moved to pastor New Bethel Baptist Church in Rome, Georgia. We wept as we were leaving the place that we loved deeply. During this transition, God amazingly increased our church ministry and ministry to the Deaf. We began printing teaching materials for other deaf ministries. At that time there was no literature to help deaf ministries. By faith, we ventured into a new area of ministry. I promised the Lord if He would open doors, we would give every penny above my church salary to the deaf ministry. I promised that, by faith, these materials would be sent free as the Lord provided. We continued to minister to the deaf as I pastored the church. The Lord blessed both the ministry of the church and the ministry to the Deaf. Both ministries prospered and grew.
Deaf School Ministry - The Lord opened a door at Georgia School for the Deaf which was only twenty miles from our church. Every Sunday morning we taught about 300 deaf children. This improved our Sign Language and understanding of the Deaf. We entered a new world of deaf culture. We learned as we taught. We learned that the deaf needed visual aids and repetition to retain. The methods we learned during those years has continued to be very valuable in our ministry. We slowly learned to visually preach and teach. The Deaf loved it!
First Church Supporter - Pastor John Schrimshire of Piney Grove Baptist Church in Trenton, Georgia, saw our work and the need of support. He presented this need to his church, and we had our first supporter. We were on our way to a new ministry. He stated, "I hope this will encourage other churches to support this good ministry to the Deaf."
Dr. Bill Rice Endorses SWM Ministry
- Our ministry continued to increase with Bible courses, books, tracts, Bible lessons and other literature. It seems that the Lord always gave us the right people and opened doors at the right time. Dr. Bill Rice , founder of the Bill Rice Ranch , in Murfreesboro, Tennessee, had been observing our Deaf ministry.
Dr. Bill Rice contacted me and then promoted our literature ministry in the Ranch's newspaper, The Branding Iron. The Bill Rice Ranch then sent all inquiries for deaf literature to our ministry for response. With the Bill Rice Ranch's endorsement, our ministry reached another level. We needed many volunteers to help us weekly with the ministry.
First Staff Members - Keith and Jane Ford from Kansas told us that they had read The Silent Word and God had burdened them to come and help us in the deaf ministry. They left Kansas and brought all their belongings to live in a small house trailer in Rome, Georgia. They received no salary, but lived totally by faith in the Lord. With their help, we were able to expand in our printing ministry. Keith ran the presses, and Jane typed the mailing labels. They also helped build our local deaf ministry. Keith drove a van about 60 miles to bring deaf to our church services. I was amazed that God gave us a family whose only thought was to serve the Lord.
Bible Courses Founded - We saw the need to teach deaf people the Word of God by mail, so we started a correspondence Bible program for the deaf with Bible courses. This ministry also grew rapidly and went nationwide. The Bible courses required grading. God gave us another volunteer staff member, Ruth Bennett. She was perfect for the position. It was exciting to see hundreds of deaf people being saved through this ministry. One of the greatest joys was going daily to our mail box and seeing what the Lord was doing. We received much mail almost every day. Some wrote telling us we were the only church they had. They may be deaf, but they can read.
1973 - 1993 - SWM Merges with Bill Rice Ranch - As the ministry continued to grow, Dr. Bill Rice, founder of the Bill Rice Ranch in Murfreesboro, Tennessee, asked me to consider joining the Bill Rice Ranch staff, to help establish a literature program for the Deaf. In 1973, we joined the staff of the Bill Rice Ranch as missionaries to the deaf world. These were good years of learning and preparing for a worldwide ministry to the deaf. We learned soul winning and establishing new deaf ministries from Don Cabbage.
We learned the importance of a heart for the deaf from Dr. Cathy Rice. Dr. Bill Rice became my spiritual father, advisor, and mentor. He personally trained and taught me the importance of platform preaching and teaching. Dr. Bill Rice often said, "Anyone can take a message and make it deep, dull, and dry, but great preaching is taking a deep message and making it simple so everyone can understand it." I learned to use this same principle in preaching and in writing. Later, Dr. Bill Rice III taught me Bible principles that will remain with me all my life. I will always be indebted to the BRR for their investment in my life and my ministry.
During this time, I was presented an honorary Doctoral degree from Faithway Baptist College in Michigan for recognition of my many writing publications for the deaf world. We will always be grateful for the twenty years at the Bill Rice Ranch which opened the doors of opportunity for our present ministry.
1993 - SWM Reorganized. After twenty years of service at the Bill Rice Ranch, we decided to relocate SWM to our home town in Trenton, Georgia. After being away for over 30 years, we returned home to the place where I was saved, baptized, married, called to preach, ordained, and sent as a missionary.
A Time to Soar - I told Carlene that it was time for us to "soar as the eagle." Carlene gave me a new beginning gift of a painted picture of a soaring eagle. She also inscribed a plaque "The Year of Renewal" with Isaiah 40:31. This plaque and picture still remain on my office wall with many other " eagle " gifts from many friends. The eagle is also a "logo" of SWM.
A Local Deaf Ministry - Although there were no local deaf in Trenton, Georgia, we knew the move was of the Lord. The ministry continued to grow beyond our expectations and dreams. When we began in our home church, Calvary Baptist Church in Trenton, Georgia, there were no deaf people. One day a deaf man, Joseph Cabrera, came to visit our church. He asked, "Can I come to church and bring my friends?" I told him that if the deaf would be faithful for three months, then we would start a deaf ministry. Eventually, deaf people started moving to our small town, and now a good deaf ministry has been established.
The deaf people teach their own class, preach in a separate deaf chapel and are involved in the total church ministry. I am still amazed how God sent deaf people to Trenton. It was a small miracle! (It is amazing but we have always had deaf people with us since 1966.)
Seasonal Friends - During these early years, a business and ministry friend was touched of the Lord to help us financially in restarting our ministry. He personally paid off all our existing debts and then promised $650 monthly support until we were able to raise our support level. It seemed the Lord always gave us the right people at the right time. I called these seasonal friends because they were "there" for a season in our ministry.
Fantastic Saturdays - As the ministry grew, we saw the need of helping more local deaf ministries. I asked myself the question, "If Paul worked with the deaf, what would he do?" Most deaf leaders were working people who knew some Sign Language, but had no formal training or knowledge of how to build deaf ministries. I promised I would help them help the deaf.
New Outreach Ministry - I saw the need to teach and train other Deaf ministries in America. I traveled to major cities and invited area Deaf and Deaf ministries to come to us for a oneday seminar. It worked! We were conducting more than twenty "Fantastic Saturdays" and "D-Days" in major cities.
First Staff Family in Trenton - From a "Fantastic Saturday," a family stated that God had called them to serve with us in the ministry of "Helps." Bob & Trisha Hicks joined with us to take care of mailings, printing, and office needs. God provided another family at the right time and the right place. Our ministry expanded with the help of this family.
Fall 1995 - The Silent Word Newspaper - I have always wanted to send a Christian newspaper to the deaf worldwide. I discussed the need of a newspaper with Eddy Gifford, the publisher of our local newspaper, The Dade Sentinel. He said, "Why don't you publish a 'real' newspaper?" He said, "You can do it, and I will help." Eddy Gifford personally prepared and printed the first few issues. We sent 5,000 newspapers to deaf people and deaf ministries.
For years, I had a desire to publish a Christian newspaper to the Deaf. Now, for the first time, I held "it" in my hands. At last, The Silent Word Newspaper, was born. To God be the Glory!
1998 - Mission Board Established - During a "Fantastic Saturday," Allen Snare, a deaf pastor, talked to me privately. He signed, "The Lord impressed me to become a missionary and join Silent Word Ministries." I quickly told him, "No way!" It was all we could do to take care of our present ministry, and we could not expand any more. As I returned home from the meeting, the Lord did it again. He used a deaf man to open my heart to another new ministry. After much prayer, we finally founded SWMission Board. As Reed Condra read our Mission Board policies, with tears in his eyes, he said, "Can I join?" Our new mission board now had three missionaries.
SWM Becomes Incorporated - When the Silent Word Mission Board was established, it was also necessary to become an IRS 501(c)(3) nonprofit ministry. This would permit SWM to receipt gifts and be a clearing house for SWM missionaries. We incorporated and installed a Board of Directors that would advise and be involved in helping with their different areas of their expertise to help build other areas of the ministry.
Spring 2000 – At this time the ministry was operating from our home and in our two-car garage (picture). In a board meeting in our living room Carlene stated, "I want my home back." One of our board members agreed and took us to see some prized land. He then asked me to step off how much land I needed. I did and he did . He donated the land for our office. We now had the land but needed someone to help to build our new office. In a special businessman's luncheon I spoke about our ministry. A man, Leon Spurgin , said, "God has touched my heart to help you." I asked, "What can you do?" He said, "I have a team that builds churches."
I excitedly asked, "Will you build an office building?" He agreed to help us and they did. The Men of Action (Church of God mission team from Cleveland, Tennessee), led by Leon Spurgin (brother of Alvin), donated labor to construct the office building in only one week. "The Alvin Spurgin Memorial Building" was built. Carlene got her house back!
January 2001 - Jon Barr, a SWM missionary, was appointed by Ted Camp to be the president of SWM. He is a graduate of Bob Jones University and a certified interpreter. He brought his expertise in Internet, videos, filming, computers, Sign Language and Deaf ministries. He is also the Director of Officer Operations. Diane, his wife, is the bookkeeper, assists in the office, and serves on the Executive Operating Board. Jon Barr is well qualified to continue the operations of SWM. Contact: firstname.lastname@example.org
May 2004
- SWM International Born - David Bennett, a veteran missionary to the hearing and deaf in Brazil for over twenty-five years, joined SWM to establish an International ministry outreach. For the first time, foreign missionaries could seek application with SWM International to serve in other countries. SWMI leads mission teams to serve in worldwide
deaf events. Contact: email@example.com.
October 2004 – The second phase. The Case-Warren Annex (two board directors, Larry Case and John Warren). was completed. Again the Men & Women of Action and local volunteers did the work. It houses the Gifford print shop, the Baker (Don & Tylie Baker) studio, Tate library, and an upstairs office. It was also built in five days for material cost of about $55,000 . Churches and friends responded to meet the need. Deaf people listen with their eyes. Preaching and teaching videos in Sign Language and voice would be an effective tool in evangelizing and teaching the Deaf world. A church in Decatur, Alabama also donated funds for needed studio equipment to convert VHS into DVD. The Lord did it again!
June 2007 - The third phase of the building program was built , again, by the team of Men & Women of Action and other local
volunteers. It was also built in five days, and the Lord provided the funds necessary. This building houses a fellowship hall, classrooms, kitchen, rest rooms, and an upstairs dorm. It also houses the "Merrill Chapel" named in honor of a deafblind couple, William and Helena Merrill (Grand Rapids, Michigan) who left a gift in a will to SWM of almost $54,000 which was used to build the chapel. It still amazes me that a deaf-blind couple who had the
Silent Word Newspaper signed into their hands by a Deaf friend Gilbert Branagan of Grand Rapids, Michigan. They provided the need to complete this new building. We were again debt free. The Lord did it again!
2007 - Jim Bracelin, a SWM missionary, was appointed by Ted Camp to be vice president of SWM. Jim has a Bible college degree and he was also a senior pastor. In 1999, during a meeting with Ted Camp, God touched Jim's heart to serve the deaf. He is also Director of SWM Northeast with headquarters in Pennsylvania. Jim is the Director of SWM Outreach Ministries . He also serves on the SWM Executive Operating Board. He assists Ted with in raising financial funds and assists Jon with SWMission Board. He and his wife, Terry, minister to the deaf and deaf ministries in the Northeast and also assist at SWM. They are a great addition and asset to the ministry. Contact: firstname.lastname@example.org
January 2016 - As we look back over these past 50 years of Deaf ministry, we are amazed at what God has done. I continually say, "To God be the glory. Great things He hath done!" The ministry has reached far beyond our expectations. We have seen thousands of Deaf and hearing people saved through our varied ministries. It is hard to believe that all this could have started from such a humble beginning. There have been heartaches, but the joys of reaching a Deaf world have been much greater.
In 1966, God put a love and placed a burden in our hearts for the Deaf world, and it still continues today. I now realize that God only called me once, and I have just sought to be faithful to that one calling. From the beginning, we never sought the ministry, but it sought us. We have lived by faith these many years and every need has been met. As He guides – He provides. We have learned it is His ministry. We are just His stewards, managers, and overseers.
In 2016 – SWM continues to be a unique ministry that specializes in reaching the Deaf for Christ worldwide. SWM has greatly expanded with evangelism outreach ministries on the Internet (SilentWordMinistries.org). Also at this printing SWM has 14 families on our worldwide mission board. The Deaf ministry is still a frontier ministry and there is always much more that needs to be done. We still need more laborers to help us build the body of Christ, especially in the deaf world. We are still going where no man has ever gone before. I often say, "We are not great; we just don't have any competition."
Now, when someone asks me, "How do you start a deaf ministry?" I simply reply that you need to get a large poster card and write on it, "If our church learns Sign Language will you come to church?" Then visit the Deaf and knock really loud on the door. As they come to the door, show your card and smile. Keep smiling until it hurts. When they finally agree to come to church you are ready to start a deaf ministry.
In Closing… There was a time when Alvin Spurgin, while he was on his death bed, signed to me, "TC, promise me that you will never stop helping the Deaf." I wept as I prayed in Sign Language and promised Alvin and the Lord that I would never stop helping the deaf "Know more about Jesus." And never stop, quit, or give up – Never!
This is our story...How God used two common people from the small town of Trenton, Georgia, and gave them a worldwide Deaf ministry. It is amazing how God can use ordinary people to do extraordinary things. If the Lord can do it with us, He can do the same for anyone. Come and see what the Lord hath done!
The story continues… Ted Camp, SWM
Silent Word Ministries, Inc.
Non-Profit Organization 501(c)3 58-2430412
Executive Operating Board
Founder/Director: Dr. Ted Camp
Director of Operations: Jon Barr
Director of Outreach Ministries: Jim Bracelin
Assistants: Carlene Camp – Diane Barr – Terry Bracelin
SWM, Inc. Board of Directors
Founder: Ted Camp
President: Jon Barr – V.President: Jim Bracelin
Don Baker - Jack Case - Larry & Louise Case Ray Clifford - Lee Clemmons - Bill Gearrin Jerry Grisham - Luther & Janie Joiner Mike Tate - Dr. Reggie Rempel - John Warren Ray Clifford - Frank Rasmussen
Spiritual Advisor Pastor Kenneth Walters, SC
Friends - Consulants
Danny & Ginger Bradford - Anthony Dugan Henry Smith – Eddy Gifford
Special Friends
Derrell & Patsy Gaddis
SWM Mission Statement "But we will Give Ourselves... to the Ministry of the Word
--- to the Deaf" ~ Acts 6:4
Silent Word Ministries International Director: David Bennett
SWMI Executive Committee
Pastor Kenneth Walters – Jack Thompson Jack Beaver – Mark Coleman Pastor Bill Egerdahl – Frank Rasmussen Dr. Ed Frampton – Bob Reed – Bill Bennett Pastor Brent Baughman
Invest in Our Unique Ministry To the Deaf
Your tax-deductible gifts will help the Deaf to hear in Heaven. Please consider SWM in your will or insurance policy, or special giving. Our goal is to maintain a debt-free ministry and only build or expand as the Lord provides. Thank you for reading about our ministry. We hope it has made you more aware of the deaf world. SWM Baptist Articles of Faith and SWM Guidelines, and policies available: SilentWordMinistries.org.
Because they have lost their hearing, they do not need to lose their souls.
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Go, Sign to Them for Me
Master, "What shall I do today? Where shall I go for thee?" And He pointed to the deaf people "Go Sign to Them for Me." "Oh no, not there!" No one will notice and see. I must learn Signs - - no, it isn't fair. Oh no, not the deaf world for me. As He spoke I begin to understand, "Search your heart and use your hands, I died for you on Calvary. So, go sign to them for Me."
By Ted Camp, SWM
I CANNOT HEAR
Now in this life I cannot hear, One day I will, for Jesus cares. I cannot hear the birds that sing, I cannot hear the bells that ring. I've never heard a baby cry, Or heard the thunder in the sky. Sometimes I'm lonely and I cry. I have to brush the tears from my eye. For in this life I cannot hear, But one day I will, for Jesus cares.
I thank my God that He saved me. I may be deaf but I've been made free. I have God's word in Heaven I'll be, With Him for all eternity. There I will praise the Lord and sing, There I will hear the bells that ring. My deafness gone forever more, I'll sing with Him, my dear Lord. I'll sing with angels and happy be, With Christ my Lord through eternity.
For in this life I cannot hear, One day I will, for Jesus Cares!
(Written for our foster deaf daughter)
By Ted Camp
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The Sad Theory of Isostasy
Isostasy is a theory that the crust and upper layers of mantle are in gravitational equilibrium, or "isostasis." In my latest papers on plate tectonics and continental drift, I have thrown a few more passing spears at isostasy, though not by name. Specifically, I mentioned G. B. Airy again, and his ridiculous theory of reverse mountains. I hit that theory the first time in my long paper on the unified field equations, where I also made passing commentary on Pratt and Vening-Meinesz, two other big names of early isostatic theory. Here I will extend my comments on isostasy, showing that it is one of the saddest longstanding errors of geology.
In researching my plate tectonics paper, I started by reading the fourth edition of Wegener's The Origin of the Continents and Oceans from 1929. There he mentions isostasy and the competing theories of Pratt and Airy. These two theories go back even further, to the middle of 19 th century. Which means no progress on this question has been made in about 150 years. The current page at Wikipedia has almost nothing to add to these extremely old theories. Nor have we found a way to choose between them, although they contradict one another. They can't both be right. Nonetheless, modern geology keeps both in order to have a fallback if one or the other fails in a specific problem. In fact, we have now resurrected a third old theory, the flexural model of Vening-Meinesz, from 65 years ago. Although it contradicts Pratt and Airy, it is used to fill further holes. As with physics, geophysics likes to stack contradictory theories and then ignore the contradictions.
The biggest contradiction in isostasy is the Himalayas, which contradict all three theories. The Himalayas are not in isostatic equilibrium, as Wikipedia admits. But if so, what problem is isostasy trying to solve? If the lithosphere is not in fact in equilibrium, why do we need a theory of equilibrium? It is sort of like having three theories to explain the existence of seven-headed dragons.
This sad state of affairs goes all the way back to Airy, who was trying to explain in the 1850's why mountains don't deflect a plumb-bob. But the only problem was the expectation they would. Only physicists who misunderstood the gravity field would expect a deflection from mountains.
Kossmat, running the normal gravity equations of the time (which are still current), found that the Himalayas should deflect a plumb-bob 58 seconds. The actual experiment showed no appreciable deflection, or perhaps a deflection of less than 1 second. Several theories were then invented to explain this crushing negative data, which theories we will look at below. But Kossmat's solution was wrong because it was based on a misunderstanding of the gravity field. The expectation of 58 seconds of deflection at Kaliana (Ganges plain, 56 miles from base of mountains, blue dot in map above) was a false expectation. Let me run a simplified version of the equations for you, to show you the method. Then I will show you how it goes wrong.
We start by recognizing that the deflection is 90 degrees from the normal direction of gravity. The Earth is pulling down and the Himalayas are pulling at a tangent to that, or 90 degrees. Therefore, given the acceleration of the Earth of 9.8 and the prediction of 58 seconds of deflection, the solution is predicting an acceleration from the Himalayas of .00175 m/s 2 . The mountains are causing .0179% of the angle, therefore they must be providing that percent of the total force. Now, if we take the center of the Earth as the point from which its force emanates, we must take the center of mass of the Himalayas also. But once we start calculating a center of mass, we have to include the entire Tibetan Plateau, most of China, Mongolia, southern Russia, Kyrgyzstan, Tajikistan, etc. Just as a start, the Tibetan Plateau has an average elevation of almost 15,000 ft. So relative to Kaliana at 5,000 ft, the entire plateau must act like a huge mountain. In fact, everything in that direction that is above Kaliana should be included, especially any elevation which is above the Indian plateau which is pulling our plumb-bob in the other direction. Again, that would be anything above about 5,000 ft.
The reason this is important is because it pulls our center of mass far to the north, affecting our equation. The red dot in the map below is where I estimate the center of mass would be for this area. It puts us about 950 miles from Kaliana. Which—by the equation a = GM/r 2 —gives us a mass of about 6.16 x 10 19 kg for the deflecting mountains.
Can that be right? That's about 97,000 times less mass than the Earth as a whole. What's the approximate volume of that patch? Well, from the distance scale printed on the map, it looks like about 9 million square kilometers or 3.5 million square miles, with, say, an average elevation 5,000 ft above Kaliana. 4.88 x 10 17 cu. ft. or 13.7 million km 3 . That is 1/79,000 the volume of the Earth, which is off our previous calculation by only 1.23x. I have pretty much matched the old solution, with just a few rough estimates.
My assumptions were roughly the historical assumptions. What is wrong with them? What is wrong is that this rather large area is being taken as the cause of two separate forces. When we calculate the acceleration of the Earth 9.8, this patch is part of that force. It is part of the mass of the Earth, therefore it is part of that sum and part of that center of mass. So in a way, our math is implying that this patch is pulling the plumb-bob both down and to the side. Does that make any sense? No.
You will say, "So just subtract it out of the Earth's force. It is only 1/100,000 th of the volume, so it won't change 9.8 by much. It won't affect the number 58 at all." But that isn't the question. The question is whether the kinematics and dynamics makes any sense. I think anyone can see that it doesn't. You can't just "subtract it out" to suit yourself. The force from that patch either has to cause a force down or a force sideways. It can't cause both. And in other problems, it causes a force down. How can we make it cause a force sideways here? If we go stand on the top of Everest, the force is down. It can't be sideways at the same time. Geologists and physicists have just assumed that gravity can work like this, but we have no evidence it does. In fact, the negative data from plumb-bobs and mountains is very strong evidence that gravity does not work like this. I can't think of evidence that would be more clear or convincing to me.
The reason gravity does not work like this is that gravity is a field. That was true for both Newton and Einstein. At any point in space, there is a gravitational field. That field creates both an acceleration and a force. But that force and acceleration are both vectors, and vectors can only point one way at a time. The gravity field of a mountain cannot point down and to the side at the same time.
You will say, "Sure, why not? It is just a vector addition. If the two vectors are orthogonal, the total vector will be somewhere in between, as you just showed in your math above."
Yes, that is obviously what has been assumed all along, but the plumb-bob disproved it. It doesn't work that way. Why? Because when we do a vector addition, the two vectors have to be independent. We don't have that here. The Himalaya vector is already part of the Earth vector, so it can't be separated out like that. The Himalayas are part of the Earth. They are not a separate entity, like a giant mountain range from another planet that just landed here or a small moon that just touched down. The mountain range has no separate existence from the Earth, and this is crucial. The lithosphere may have some degree of motion relative to the athenosphere, but for the most part its major motions are determined by the motions of the Earth. A mountain range isn't even as independent as you or me, and we also get our major motions from the Earth (major motions like orbiting the Sun, for instance).
If you still don't see what I mean, it may help to reverse all the vectors, as I did in my early expansion papers. I have now offered other explanations for the cause of gravity, but we will always be allowed this vector reversal by the equivalence principle (see Einstein), and it has been very useful in the past for visualizing the way gravity works. Simply take every gravity vector in the universe and reverse it, simultaneously. According to Einstein, nothing would change in the math, and we would notice no change. Instead of a pulling force, the vector now implies that everything is expanding very fast, but at the same relative rate. Since the Earth gets twice as big and I get twice as big also, I don't see the Earth getting bigger. It stays the same size relative to me. But this expansion explains the apparent force of gravity.
At any rate, if we make this switch, we can see why the old explanation for the Himalayas fails. The
Earth is expanding, so every point on the surface of the Earth is moving straight up, away from the center of the Earth. So the Himalayas are moving up, and if you are holding the plumb-bob at Kaliana, so are you and the plumb-bob.
So far so good. But you will tell me the Himalayas are also expanding to all sides, which is true. Therefore, there should be a sideways vector between them and the plumb-bob. Not so fast! The ground between the plumb-bob and the Himalayas is also expanding, at the same rate as everything else. And this expansion of the ground in between actually negates the sideways vector. The plumbbob and the Himalayas are NOT getting closer to one another, therefore there is no sideways vector. Once we reverse the gravity vectors like this, all the vectors are representing real motions, not forces. So if we have no real motion of the plumb-bob and Himalayas toward eachother, we have no vector.
In this way we see that there is no vector addition. And we see that the reason there is no vector addition is that the Himalayas act as if they are part of the Earth. They are firmly attached to some position in the gravity field of the Earth, and are not free to move independently. The same can be said of you and the plumb-bob, standing there at Kaliana. Since you are fastened to that spot (by friction or inertia or the centrifugal force—however you wish to explain it to yourself, it doesn't really matter here), you are also acting as part of the Earth. Your gravity field is determined by the Earth, and there are no vector additions involved.
Now, if we could unfasten you from the Earth somehow, by negating those forces that are holding you there, then yes, we could do the vector addition and find lateral forces. But that isn't the case.
If we reverse all the vectors back to the way they were, we return to old physics where gravity is a pull. But we return to that old physics with a better understanding of the kinematics of the gravity field. You should now understand that the Himalayas must act either as part of the Earth's field, or as their own field. They cannot do both simultaneously. If we try to do a vector addition like Kossmat and Airy, we must be assuming that the Himalayas can act as if they are simultaneously producing two fields. I have shown that they can't. The 1 degree of deflection found was either a margin of error or it was caused by something else.
Those who haven't read all my papers will dredge up Cavendish here, and send me to play with a modern Cavendish device, which would be intended to show me I am wrong. But these readers are recommended to my paper on the Cavendish device and historical experiment, where I show that it has been misread in precisely the same way the plumb-bob has been misread. I unwind the equations and the experiment, showing that gravity is not causing lateral forces between small objects like apples or stones. What is causing the motions in the Cavendish device is charge.
But I haven't needed to bring charge into the picture in order to show how the old math and theory fails with the gravity of mountains. Even using current equations I can show what I want to show, without going into new unified field theory. What I want to show is that old geologists couldn't do applied math, that new geologists can't either, and that physicists have been no help in spotting this mistake. Like thousands of other fairly simple problems, it has been sitting right out in the open for a century and a half.
How could that happen, you may ask? It happened because all the top mathematicians quit looking at mechanical problems around 1830. They got diverted by Gauss and Lobachevsky and Bolyai, then by Riemann and Klein and so on. None of the top guys and gals have sullied their eyeballs by looking at simple algebra or straightforward kinematics since before Maxwell. They were no help to Airy and they are no help to geophysicists now. At the present time, they are too diverted by the eleven dimensions of string theory, virtual particles, gauge math, symmetry breaking, borrowing from the vacuum, and so on, to be of any help to geologists or geophysicists. Remember, Airy was partially responsible for the Tay Bridge disaster, miscalculating the forces there by a large margin. And contemporary geophysicists still don't go into the field because they are math whizzes. Math whizzes go into math or particle physics or something. Geophysicists have never specialized in gravity, and they especially don't now. Even physicists don't specialize in gravity, and haven't for hundreds of years. About the closest thing we now have to a gravity specialist is a Relativist, but since Relativity is said to have been finished with Einstein, almost no one goes into it. It is a closed field with almost no living practitioners. And these few living practitioners of General Relativity are also poor at Newtonian math, since they were taught it had been superseded. So they are useless when it comes to these straightforward geophysical problems.
But the problem of isostasy crashes way beyond the math. To "solve" this problem created by bad equations, Airy then proposed reverse mountains underneath the visible ones. This was supposed to create a "mass deficit" that would counteract the pull from the visible mountains. A simple diagram will show that this is also absurd.
To avoid the complexity above concerning the Tibetan Plateau and so on, we will return to the original simplification, where only the nearest mountain is affecting the plumb-bob. The vertical center of mass of our mountain would be about 1/3 of the way up, let us assume, due to more mass low in the mountain (the tops of the Himalayas are limestone, clays, and silt, rather than granite and marble and so on). If so, then the reverse mountains would also have a center of mass 1/3 of the way down. Let us be generous and call that 10,000 ft, up and down. Roughly two miles, in other words. If we use the old given distance of 56 miles at Kaliana, we still have to include the distance to center of the mountains, which—let us say—is 100 miles, giving us a total of 156 miles from center of mountain to plumb-bob.
Taking the inverse tangent, we get an angle of 1.5 o at the plumb-bob, doubled to 3 o top and bottom. Perhaps the diagram can make you see that the reverse mountain doesn't help us at all, since it doesn't keep the plumb-bob from being deflected. In fact, it would double the deflection by doubling the total mass of the mountain. By the given and current rules of gravity, we would just re-calculate a center of mass, which would be right on line with the plumb-bob, negating the angles we just found. If Kossmat originally calculated 58 seconds of deflection, he should calculate 116 with Airy's reverse mountains. Airy's proposal actually makes the problem worse.
As I said in my previous paper, the only reverse mountain that would help us is a reverse mountain behind the plumb-bob:
That reverse mountain would solve the problem, since the plumb-bob is now at the center of mass of the two mountains. The deflection forward would be offset by the deflection backward. I would once have assumed that proposal is too absurd for physicists or geologists to make, but I am now no longer sure. I have some fear that the above diagram will soon end up in Scientific American or the Journal of Geophysical Research.
Almost equally absurd was Pratt's theory that mountains and sub-mountains are less dense than other areas of the lithosphere, due to pulling or decompression. After studying my diagrams, you can see that this theory also utterly fails to address the plumb-bob problem, which it was designed to answer. The only density that would serve here is a density of zero: otherwise we should still see deflection of the plumb-bob by the current equations and assumptions. Or, rather, with a measured deflection of 1 second, Pratt needs to show that the Himalayas weigh 58 times less than thought, which means they need a density 58 times less than thought, which means they need a density of about 3 lb/ft 3 . That's about 1/5 th the density of bark mulch or cork. It is 1/10 th the density of powdered milk.
Even Wegener gets confused when he starts talking about isostasy. On p. 40 he says,
It has been shown that the gravitational force measured at the surface of the oceans has about its normal strength in spite of the obviously large mass deficit represented by the ocean basins.
But wait, how is the ocean basin a mass deficit? If we are measuring gravity in a boat on the ocean, the ocean basin is below us, just as the mass of the Earth normally is. How is that a deficit? The only mass deficit is in the water, which has a density deficit compared to earth and rock. Salt water is about 2.7 times less dense than a combination of rock and earth. But since the oceans are only 4,000m deep compared to a radius of the Earth of 6,380,000m, the difference is negligible. That's 1 part in 1,600. And we now know that the ocean basins are about 1.07x denser than the continental basins. Since the oceanic crust is 100,000m thick, that density more than offsets the density loss from the oceans. So you see, the ocean basins aren't mass deficits, they are mass surplusses. If they add to the gravity estimate, they can't be gravity or mass deficits.
As an example of the contradictions created by all this, we may look at a prime example from Wikipedia, under the subheading "Isostatic effects of plate tectonics":
When continents collide, the continental crust may thicken at their edges in the collision. If this happens, much of the thickened crust may move downwards rather than up as with the iceberg analogy. The idea of continental collisions building mountains "up" is therefore rather a simplification. Instead, the crust thickens and the upper part of the thickened crust may become a mountain range.
You may ask yourself, "If continental collisions create mountain ranges, shouldn't this collision add to the density in the area? The sentence above tells us that 'the crust may thicken.' Isn't a thickening a density increase?" If not, why not? Normally pressure and collisions cause compression, which cause greater densities. Why would pressure on the lithosphere create "thickening" as in a spreading out, but not thickening as in a greater density? It is both counterintuitive and counter to all previous evidence to propose that the leading edges of colliding plates or continents are not compressed. If mountains are created on the leading edges of collisions, they should be compressed, and therefore should be the most dense, not the least dense.
To say it another way: if we apply pressure from both sides to a compressible material, it should compress. If it compresses, it has gained density. If anything it is capable of applying large amounts of pressure, it should be continents colliding. The leading edge of this collision must be compressed, and it must be compressed the most. Quod Erat Demonstrandum: higher density.
Likewise, if the Himalayas have been and are being created by the northern movement of the Indian plate, shouldn't that movement increase density? And yet the two leading theories of isostasy—Airy and Pratt—tell us that mountains are less dense than surrounding areas. That is what is called a theoryending contradiction.
To read more on this subject, you may go to my next paper, on the Schiehallion experiment, where I analyze an earlier Scottish experiment on deflection of a plumb line.
For more indication my theory is correct, you may visit my recent paper on Canada's gravity deficit, where I show that these gravity maps are best explained not by convection or ice sheets, but by charge recycling through tectonic plates. In short, gravity is measured to be lower in Canada because Canada is at the center of a plate, and plates are thinner at their centers.
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Contents lists available at ScienceDirect
Journal of Contextual Behavioral Science
journal homepage: www.elsevier.com/locate/jcbs
Research – Basic Empirical Research
Baseline eating disorder severity predicts response to an acceptance and commitment therapy-based group treatment
Adrienne Juarascio n , Stephanie Kerrigan, Stephanie P. Goldstein, Jena Shaw, Evan M. Forman, Meghan Butryn, James D. Herbert
Department of Psychology, Drexel University, 3141 Chestnut Street, Philadelphia, PA, USA
Article history: Received 9 April 2013 Received in revised form 21 August 2013 Accepted 16 September 2013
Keywords:
Acceptance and Commitment Therapy
Eating disorders
Residential treatment
The present study investigated whether more severe baseline eating pathology (e.g. baseline symptomatology, previous hospitalizations, and low weight in anorexia nervosa) moderated the effect of an Acceptance and Commitment Therapy (ACT)-based group treatment. Participants were 140 women who were admitted to an inpatient facility for eating disorders. Women were categorized as anorexia nervosa spectrum or bulimia nervosa spectrum at intake and completed measures of eating pathology. All participants received comprehensive treatment, and those in the treatment-as-usual plus ACT condition received twice weekly ACT group treatment. At post-treatment (i.e., at discharge from the facility), participants completed measures again. Severity of self-reported eating symptomatology moderated treatment such that those with more severe symptoms at baseline showed greater improvements in eating disorder symptomatology in the ACT condition than in the treatment-as-usual condition. Additionally, trends showed similar patterns for those with more previous hospitalizations and those on the anorexia nervosa spectrum who had lower body weights. The magnitude of differences was modest, but indicates that an acceptance-based treatment may be a beneficial for patients with more severe eating disorder pathology.
& 2013 Association for Contextual Behavioral Science. Published by Elsevier Inc. All rights reserved.
1. Introduction
Eating disorders, particularly among adult patients with a long course of illness, are exceptionally difficult to treat. Patients presenting for admission to inpatient treatment centers frequently have a long course of illness, are more symptomatic (compared to patients presenting for outpatient treatment), and have previously been hospitalized (Vrabel, Rosenvinge, Hoffart, Martinsen, & Rø, 2008), all of which predict poor treatment outcome (Vandereycken, 2003). More than half of patients still meet criteria for an eating disorder up to 5 years following discharge from a residential treatment facility (Rø, Martinsen, Hoffart, & Rosenvinge, 2004; Vrabel et al., 2008) and nearly half have another hospitalization during that same follow-up period (Vrabel et al., 2008).
Cognitive Behavioral Therapy (CBT), particularly versions specific to eating disorder symptomatology, is the current treatment of choice for eating disorders. Among patients with bulimia nervosa (BN), CBT-BN (a targeted CBT treatment for BN) and CBT-E (an "enhanced" CBT for eating disorders which builds on CBT-BN by including optional modules for hypothesized maintenance factors such as perfectionism, low self-esteem, and interpersonal de fi cits) both produce large reductions in binge eating, purging, and other compensatory behaviors ( Fairburn et al., 2009 ; Fairburn, 2008 ; Treasure et al., 1994 ) that tend to be well maintained over time ( Waller et al., 1996 ). Despite this, a large subset (30 – 50%) of patients remains symptomatic following treatment ( Fairburn, 2008 ; Wilson, 2005 ). In the case of anorexia nervosa (AN), Family Based Therapy (FBT) is effective for adolescences with a relatively short duration of illness, but an effective treatment remains to be seen for adults ( Lock, 2011 ; Fisher, Hetrick, & Rushford, 2010 ). Brief manualized CBT appears to have little ef fi cacy for AN ( McIntosh et al., 2005 ; Wilson, Grilo, & Vitousek, 2007 ); CBT-E appears to be only moderately more successful ( Fairburn et al., 2009 ). In two recent studies of CBT-E, only 60% of underweight patients agreed to engage in treatment and, of those, 50 – 60% showed a response to treatment ( Bryne, Fursland, Allen, & Watson, 2011 ; Fairburn et al., 2009 ).
n Corresponding author. Tel.: þ1 443 801 8093. E-mail address: email@example.com (A. Juarascio).
Identifying patients who are likely to benefit from specific treatments can allow clinicians to choose the treatment approach most likely to be effective. Only recently has the field begun to examine how patients with more severe eating pathology may respond differentially to treatment. Grilo, Masheb, and Crosby (2012) reported that among patients with binge eating disorder (BED), those with low self-esteem, negative effect, and overvaluation of shape and weight at baseline improved more in CBT compared to medication (Grilo et al., 2012).
However when examining CBT alone, Castellini et al. (2012) found that patients with BED who had a lower frequency of binging, lower impulsivity, and greater emotional stability improved more with CBT than patients with more severe pathology. Butryn et al. (2006) found that patients with BN who have greater weight suppression (difference between premorbid and pretreatment weight) showed poorer post-treatment outcomes. Other studies have found that baseline symptomatology, course of illness, prior hospitalizations, and weight at baseline put patients at high risk for treatment failure from existing treatment approaches (Vandereycken, 2003; Vrabel et al., 2008). Much of the evidence suggests that CBT is most effective for patients with less severe eating pathology. Overall, although CBT has been shown to result in statistically significant reductions in eating pathology for some, there remains much room for improvement, particularly for patients with more severe pathology.
A growing body of research indicates that Acceptance and Commitment Therapy (ACT) may be an effective treatment option for patients with eating disorders. Several pilot studies of acceptance-based therapies such as dialectical behavioral therapy (Safer, Telch, & Chen, 2009), mindfulness-based cognitive therapy (Kristeller, Baer, & Quillian-Wolever, 2006), and functional contextual treatment (Anderson & Simmons, 2008) have demonstrated initial success in treating BED and BN. Similarly, a series of case reports have indicated that patients with treatmentresistant AN may benefit from ACT (Berman, Boutelle, & Crow, 2009). Though few, the studies conducted on ACT for eating disorders have been promising (Berman et al., 2009; Heffner & Eifert, 2004; Juarascio, Forman, & Herbert, 2010; Juarascio et al., 2013; Timko, Zucker, & Merwin, 2012).
ACT may particularly benefit those patients with more severe eating pathology. Given the ego-syntonic nature of eating disorder pathology, many patients, particularly those who are more severe, are reluctant to engage in treatment (Fairburn, 2008; Schmidt & Treasure, 2006). Eating disorders are characterized by high experiential avoidance (Cockell, Geller, & Linden, 2002; Keyser et al., 2009; Mizes & Arbitell, 1991; Orsillo & Batten, 2002), and the degree of experiential avoidance is cross-sectionally related to eating disorder symptom severity (Butryn et al., 2012). Cognitive rigidity, frequently seen in more severe cases of AN, has also been shown to be related to severity of disordered eating behaviors (Masuda, Price, Anderson, & Wendell, 2010). The focus on increasing psychological flexibility during an ACT-based treatment may help to decrease this rigidity, thereby allowing patients a greater ability to engage in values-based behavior change. Overall, there is a strong theoretical link between ACT-based treatment and eating disorders, particularly in more severe and treatment refractory cases. However, no studies have examined the moderating effect of eating disorder symptom severity on acceptance-based treatment outcomes.
2. Current study
The current study utilized data from a recently published report that investigated treatment-as-usual (TAU) compared to TAUþACT for eating disorders at an adult residential facility (Juarascio et al., 2013). Patients at this facility tended to be in the more severe range of eating pathology, although the degree of severity varied widely in terms of length of illness, severity of disordered eating behaviors, and weight at admission. Prior research has found that most patients undergoing TAU at this facility experienced large improvements in disordered eating by post-treatment but remained partially symptomatic and often relapsed by six month-follow-up, leaving significant room for improvement (Juarascio et al., 2013; Lowe, Davis, Annunziato, & Lucks, 2003). Thus, researchers added twice weekly ACT groups for eating disorders to TAU and compared improvements in those receiving ACT þ TAU to TAU alone. Standard ACT exercises were modi fi ed to make the protocol more speci fi c to eating disorders (see contextualscience.org for manual). The initial report demonstrated that although both conditions showed large improvements from pre- to post-treatment, ACT þ TAU trended towards faster and larger improvements in eating pathology ( p ¼ .07), shape concern ( p ¼ .07), and weight concern ( p ¼ .09; Juarascio et al., 2013 ). Using this database, we assessed how patients with more vs. less severe eating disorder symptomatology responded to ACT þ TAU vs. TAU alone.
Moderators for the current study were chosen based on previous literature. Because patients with higher symptomatology may be at higher risk for treatment failure from standard behavioral treatments (Vrabel et al., 2008), we hypothesized that baseline symptom severity would moderate the effect of treatment condition, such that the advantage of ACTþTAU would be more pronounced among those endorsing more severe symptomatology. Furthermore, previous hospitalizations and weight at baseline have both been identified as risks for treatment-resistance and poor outcome (Vandereycken, 2003). We hypothesized that patients entering treatment with a prior hospitalization and lower weight at baseline (among AN patients) would show greater improvements in ACTþTAU compared to TAU.
3. Methods
3.1. Participants
The study took place at a residential treatment facility for women with eating disorders in the Mid-Atlantic region of the United States (The Renfrew Center in Philadelphia, Pennsylvania). All participants had a diagnosis of AN, BN, or eating disorder not otherwise specified in the AN or BN spectrum, based on the criteria from the Structured Clinical Interview for DSM Disorders (SCID; First, Spitzer, Gibbon, & Williams, 2002). There were no other exclusion criteria, and patients with co-morbid disorders were included in the study. A total of 140 women consented to take part in the study. The average age of the sample was 26.74 years (SD¼9.19), with a range of 18–55. The sample was predominantly Caucasian (89.3%), with small proportions of other racial groups (African American¼3.6%, Asian¼2.1%, Hispanic¼2.9%, Other¼1.4%). The sample had a relatively long eating disorder history (M¼10.75 years since onset, SD¼9.08) with an average age of onset at 16.43 years (SD¼5.5). We grouped individuals with EDNOS into AN-spectrum (i.e.,o85% of their ideal weight; n¼66, 47.1%) or BN-spectrum (i.e., Z85% of ideal weight and exhibited binge eating and/or compensatory behaviors; n¼74, 52.9%) diagnoses, based on recommendations from prior studies (Fairburn & Walsh, 2002; Walsh & Garner, 1997).
Twenty women did not return pre-treatment questionnaires after providing informed consent because they were no longer interested in participating (n¼18) or because they left the unit due to difficulty obtaining insurance coverage (n¼2). Retention was high throughout the study, with 111 (92.5%) completing post-treatment questionnaire packets for eating disorder outcome variables (ACTþTAU¼58, TAU¼53). ACTþTAU participants attended 4.75 (SD¼2.51, range 0–11) group sessions on average. Treatment completers, defined as those attending 3 or more group treatment sessions (n¼56, of whom 52 completed post-treatment measures; 93%), were equivalent to non-group completers on demographic and baseline variables, with only length of stay differing between the two treatment conditions (group completers: 28.83 days, SD¼10.24, non-group completers: 19.00, SD¼8.36, t(64)¼2.86, po.01). The results described below used the completer samples (ACTþTAU: 52 patients who completed at least three groups and main outcome post-treatment measures, TAU: all 53 patients who completed main outcome post-treatment
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Bix and Assendon Parish Council
Clerk - Mrs. Jane Pryce, 56 Galsworthy Drive, Caversham Park Village, Reading, Berkshire RG4 6PP Tel: 01189 475915 Email: firstname.lastname@example.org
The minutes of Bix and Assendon Parish Council meeting held on 2 nd July 2018
Parish Councillors present:
Ms. Lisbeth Thiesen (Chairman), Mrs. Ina Chantry, Mr. Robert Walmsley and Mr. William Murdoch (Vice-Chairman).
Oxfordshire County Council councillor David Bartholomew South Oxfordshire District Councillors David Nimmo-Smith
Also present: Mrs. Jane Pryce (Clerk) and 13 members of the public.
Key: BAG – Bix & Assendon Grapevine alert email service to residents.
CIL – Community Infrastructure Levy
OALC – Oxfordshire Association of Local Councils
053/18 Apologies for absence
Matthew Beesley emailed his apologies.
054/18 Members declarations of personal and prejudicial interests
None.
055/18 Confirmation of the minutes of 14 th May 2018
The minutes of 14 th May 2018 were declared true and signed by the chairman.
056/18 OCC Report from Cllr. D. Bartholomew
GENERAL OCC REPORT
The full report can be found attached to the minutes and was emailed to councillors before the meeting.
SPECIFIC REPORT FOR BIX & ASSENDON
DAMAGED/OBSCURED SIGNS AND FALLEN TREE ON DUAL CARRIAGEWAY
I have had extended contact with officers in relation to these matters. The sign repairs have been costed and it has also been concluded the repairs will necessitate closure of one lane. Vegetation cutback will occur at the same time. I am pressing for a firm date. With regard to the fallen tree, the Tree Officer has deemed that it does not create any safety issues but does provide a habitat for wildlife; there are therefore no plans to remove it.
DOBSONS LANE
As previously advised, I was contacted by residents with regard to the poor state of the lower part of Dobsons Lane, in contrast to the top part which has been repaired. After extensive investigation, it became clear that maintenance may have been overlooked because of confusion in respect of the county boundary and inconsistency of road naming on different maps. These matters have now been resolved and I can confirm the lane has been added to the list of roads requiring
BIX AND ASSENDON ND
PARISH COUNCIL MEETING 2 JULY 2018
substantial repairs. I cannot give a timescale for this, but any pressing defects should be reported via FixMyStreet.
NATTRAN/SE/S247/2954 - STOPPING UP OF HIGHWAY AT MAYFLOWER COTTAGE
Residents may be bewildered that the Appeal Inspector has allowed the cottage owners to incorporate part of the highway into their garden, purely because there were no substantial planning grounds for objection.
GRASS CUTTING SCHEDULE
All vision splays should be completed within two weeks (weather depending). Rural cuts (outside 30mph limits) will start later in July and be finished by end of September. The current programme is on the public website here: Grass verge cutting programme | Oxfordshire County Council which includes a link to a map showing the areas.
COUNCILLOR PRIORITY FUND
As advised in earlier reports, I have a £15k fund for Highways works, which I will allocate across my nine parishes in relation to parish size. In respect of Bix & Assendon, I will provide match-funding of up to £1k. This means that if the PC identifies projects costing a total of £2k, I will meet half the cost from my fund. If the works are costed via OCC Highways and undertaken by them, all that is needed is my agreement to proceed; if works are costed and undertaken by third-parties a form will need to be completed followed by a simple OCC approval process
David Batholomew asked a question from the clerk about another OCC grant but was assured it was referring to same one.
Any news for the clerk's quote request for white lining as per your Highways Grant? Jon Beale did say he would get paperwork/plans for white lining from Mark Francis. (email 28/6/2018). This request for white lining was made initially a year ago. David Batholomew was copied on this and would check back.
A couple more white 30 circles in road from Lower Assendon to Middle Assendon were requested from councillors/public as vehicles believe they have entered a de-restricted stretch of road (less than a mile between hamlets).
White Lane had had a visit from the dragon patcher (potholes) was noted. Fawley Bottom Lane had not been patched.
Funding for potholes had been increased and the huge number of potholes, from the winter weather and now very hot weather, had been fixed.
The missing bollards for the large grass triangle in Lower Assendon were requested to reported again, to be replaced as a layby had been created.
057/18 SODC Report from SODC Cllrs David Nimmo-Smith
A report was emailed before the meeting to councillors and will be attached to the minutes.
I have a councillor grant too which I will advise when open.
The District Council is going through an internal review of the Local Plan before the public consultation. This will not affect this area. But may affect the number houses
ultimately required in Henley but numbers may go down. Henley have quite a number of houses in the pipeline due to Henley Neighbourhood plan. But majority of building will be closer to businesses as in the Oxford, Wallingford and Thame areas. There was talk about houses close to the Reading boundary but no councillors want that. This would give more weight for the bid for the 3 rd Reading bridge.
I agree with the concerns about Mayflower Cottage stopping up and about no concern shown about loss of amenity space.
The clerk had been asked to complete the grant report for grant money spent last year but the software for it is not written but the nag email has. The clerk wanted to assure the councillor that the grant had been spent and expressed thanks for this.
058/18 Clerk's Report
Grass cutting – although the large grass triangle off the A4130 at Lower Assendon was being mowed now by Henley Town Council, Dobson's Lane triangle was not agreed by HTC to be cut as well. All quotes previous obtained were for both areas. For larger contractors this was deemed too small a job. For small contractors – too big. But I have suggested if the area was cut by OCC then upkeep from a better starting point might be manageable. HTC cuts have been 4 and I have stated to keep to 3 cuts. But HTC seem unsure of when it is being cut so they have suggested a fee of £300 for 3 to 4 cuts. This was acceptable to council. Other areas in Middle Assendon should be added and these will be mapped out for quotes. Also a refund/rebate needs to applied for from OCC for any work carried out that they have not done.
Path clearance – the pavement (tarmac) from Bix to the woods heading to Nettlebed on A4130 (north side) has been cleared. A grant of £500 specifically for this was given by SODC. VAT of £83.33 was charged on this invoice which was gross £500. As the grant was for the path, it was decided to use it for path clearance nearby.
Speed Awareness – PCSO Janice Smith and colleague Mark demonstrated a SID (Speed Indictor Device) to the clerk. It is very large flat screen on a tripod showing the speed of the car and was set up in Middle Assendon. As very visible there was no speeding except a horse nearly bolted and cycles failed to set it off. The process of logging speeding cars was very complicated. Details need to written down were time, vehicle registration, make and colour of car and sex of the driver (if possible). This data then had to been given to the police within a week. The cost of the device is likely to be £2,600. Which will be proportioned out amongst willing parishes. Parishes that join will not pay a rental fee and will have priority booking. The proposal was accepted in principal but needed volunteers. A request for Traffic Monitoring devices to be installed in the meantime to judge the problem. Two devices were agreed at a cost of £240 (£40 VAT) for Middle Assendon.
The external audit 2017/18 has been submitted. Jane Pryce thanked Chris Chantry for updating the website with all the necessary paperwork involved with this.
A 'fix-my-street' was issued and parish council liaison number used to get trees and hedges cut back on Old Bix Road. But this has not been carried out. The clerk would forwarded the details to David Bartholow.
The new Model Standing Orders are still not issued after the previous one had been cancelled for additions.
059/18 Allotment Report
All allotment rents have been paid but plot 6 has decided to give up. The plot was deemed too large anyway and the clerk will get it halved.
The padlock code has been changed.
060/18 Planning
a) Applications received
P18/S2039/FUL
Halfacre, Bix RG9 6DB
"Variation of condition 2 - Approved Plans on application P16/S3421/FUL. The demolition of existing dwelling and redevelopment to form two dwellings." BAPC response required by 13.7.18
……………………………………………………………………………………………
P18/S1978/HH
14 Bix Common, Bix RG9 6BS
Erection of two storey side, front and rear extension.
BAPC response required by 12.7.18
A large number of residents attended the meeting to complain about this proposed application. The parish councillors will take into consideration their comments in their response to SODC.
b) BAPC Recommendations
P18/S1704/HH
Chalk Hill, White Lane, Middle Assendon RG9 6BD
"Double storey porch / bedroom extension, window replacement, drive alteration, external decoration work, internal revisions, and external revisions"
BAPC - OBJECTS - comments - windows on first floor facing north and east overlook another property - removes privacy as trees screening property have been removed.
SODC Target Decision Date: 13th July 2018
The parish council was invited, by the owner, to view the view from inside of the house to assure them that there was no loss of privacy to the adjacent property. This was agreed to.
……………………………………………………………………………………………
P18/S1247/HH
The Rickyard, Section off B480, Through Middle Assendon RG9 6AP
"Construction of an extension in the form of a barn to the rear of the property. Extension and installation of glazing along the existing rear facade. Single storey extension at first floor level on the north facade to create two new bedrooms.
Swimming pool in the rear garden. New entrance in the form of pillars and gates."
BAPC OBJECTS- comments - over-sized extension relative to history and the site.
Questions over choice of roof materials. Overdevelopment of site. Inappropriate in size for village surrounding. Zinc roof not in keeping with surrounding slate and tile
roofs
BIX AND ASSENDON ND
PARISH COUNCIL MEETING 2 JULY 2018
SODC Target Decision Date: 15th June 2018
The owner of the property came to speak about his proposals. Before submitting the application, he had used the SODC pre-planning advice service. As the parish council had already responded to this application, the SODC decision would be awaited.
……………………………………………………………………………………………
P18/S1125/HH
Old Manor Farm Cottage, Bix RG9 6BY
"Demolish existing breakfast room and utility and erect an extension to the kitchen together with a new double garage."
BAPC OBJECTS comments - Over-development of the site.
Will damage the keeping/historic as part of the village.
This cottage is at the centre of the village and should project the image of the village.
This size of development, particularly, the garage is disproportionate and inappropriate.
SODC Target decision date: 14th June 2018
c) SODC Decisions
P18/S1168/HH
14 Bix Common, Bix RG9 6BS
Erection of two storey side, front and rear extension.
BAPC 'NO OBJECTIONS WITH COMMENTS' - Extension much larger than previously recommended - apparently over double original area (ref. policy H13) SODC - GRANTED
Resubmitted – see above.
……………………………………………………………………………………………
P18/S1112/FUL
Land adjacent to Foxwell Cottage, Bix RG9 6DB
Erection of two storey 2-bedroom dwelling
BAPC - NO STRONG VIEWS
SODC - GRANTED
……………………………………………………………………………………………
P18/S1066/FUL
Benwells Farm Barn, Land adjoining Benwells Farmhouse, Bix RG9 4RT
Conversion of existing barn to residential use
BAPC response - NO STRONG VIEWS
SODC decision: GRANTED
……………………………………………………………………………………………
P18/S0480/HH - Amendment No. 1
The Fables, Wallingford Road, Bix RG9 6DB
Erection of detached timber garage building (repositioned closer to house as shown on amended site plan received 24th May 2018)
BAPC - NO OBJECTIONS
SODC - GRANTED
061/18 Broadband update
The cabinet known as Henley P37 which will covers premises in the Bix & Assendon parish, currently has an anticipated completion date of the end of July. Whereas this has been targeted for an end of June completion, there has been a delay in securing permission for works on Broad Plat Lane.
This work is now scheduled for the next few weeks with a targeted go-live date for the
cabinet of end July.
062/18 Correspondence
None
Footpath Report
There is no report this month as the new Chiltern Society Representative has only just come on board – it is Jane Aitken.
063/18 Finance
a) Cheques for payment
Clerk's wages and office rent for June/July 2018 = £470.68
Parish council expenses (paid by the clerk):
OALC course: £96 (VAT £16)
Cheque Total =£566.68
NJ Vincent Groundworks to path clearance at Bix village to wood heading west.
Cheque total: £500 (£83.33 VAT)
b) Payments received
Allotment rent £72
VAT reclaimed£422.24
Bank balance £ 17,281.60
064/18 Village Hall Report
Lisbeth Thiesen and Jackie Walker.
Jackie Walker (chairman of the village hall committee) emailed the clerk for a BAG to be put out for a plead for a secretary for the village hall. This was also picked up by the Henley Standard. It was suggested to also put on the village hall website and Facebook page.
Also mentioned was the salt box (by the village hall car park) which the clerk confirmed was parish council property. The drilling of holes to let out the water had been advised. The suggestion that is be moved closer to road was also discussed but was put there for use of the nursery school. This item will be discussed again at the next meeting. The trees had been removed that were growing up by the electric cable and wall. The guttering is still to be fixed.
The floor in the hall was going to be addressed and still to be decided. And exterior painting would be done in time for the War Memorial day.
The Bix & Assendon parish website and the village hall website will be merged. Popup adverts were appearing on the VH site as the software to write it was free and so carried this penalty.
065/18 Any other business
A USB stick was handed to Lisbeth Thiesen to have an off-site backup of minutes and accounts. This would be forward at every meeting with an up-to-date second USB stick.
The inspection log lists all parish assets that the parish council looks after and insures. The clerk had inspected the milestone and the allotments so the current (Nov to May inspection) was complete but Dobson's Lane Triangle Bridge had not been reallocated in time after the resignation of Robert Aitken. Robert Walmsley agreed to all the assets to be allotted to him. The Dobson's Lane Triangle Bridge is inaccessible at present due to the overgrowth. The new updated (May to November) inspection log was handed to Jane Pryce.
A course for Robert Walmsley 'Roles and Responsibilities' has been booked for 19 th September 2018.
Robert Aitken submitted a report on Townlands. This report would be available on the website.
A summary of the report was read out by Lisbeth Thiesen:
Robert Aitkin, previous vice-chair of the Parish Council, is on the Townlands Steering Group (TSG) representing the parish. Robert has provided a written update for the Parish Council.
Since the opening of the hospital the role of TSG has changed to monitoring and promoting the development of the new hospital and continuing to protect the interests of the residents within its catchment area regarding matters related to its site & services. The new Townlands facilities in general are working well and patient satisfaction is high.
The full report will be available with the minutes on the website.
066/18 Public Comments
Next Meeting – Monday 3 rd September 2018 at 7.30pm.
The meeting ended at 9pm
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A regular meeting of the Town of Victor Planning Board was held on January 9, 2018 at 7:00 p.m. at the Victor Town Hall at 85 East Main Street, Victor, New York, with the following members present:
PRESENT:
Ernie Santoro, Chairman; Joe Logan, Vice Chairman; Heather Zollo, Al Gallina, Rich Seiter
OTHERS: Wes Pettee, Town Engineer Consultant; Kim Kinsella, Project Coordinator; Cathy Templar, Secretary; Councilman Dave Tantillo, Town Board Liaison; Kate Crowley, Conservation Board; Dante Gullace, Gordy Phillips, Marsha Senges, Patrick Liberti, Lisa Brotsch, Wayne Brotsch, Julie Doyle, Chauncy Young, David Hahn, Fred Rainaldi, Scott DeHollander, Elliott DeHollander, Babette Huber, Ann Aldrich, Douglas Fisher, Scott Morell, David Nankin, Jean McCreary, Greg Franklin, David C. Nellis, Ken Curry, Tom Zaso, Ruth Nellis, Jean Laitenberger, Gerald Birmingham, Edwin Rueda, Lee Wagar, Jeff Knapp, Dan Duprey, Kate Crowley, Bejan Bahan, Mary Neelin, Fran & Monica Murphy, John C ?, George Beckinghausen, Andrew Spencer, Ralph Antetomaso, Tom Hooker, Bob Schlueter, David McLaughlin, Maura Hayward, Brian Emelson, Nancy & Gene Pratt, Kevin Christman, Suzy Mandrino, Bob Lowenthal, Steve Maybeck, Bill Mendick, Carla Biuse, Mick McHugh, Maureen D-Frazer, David Frazer, Mason James & Luba, Ryan McElhiney
CORRESPONDENCE RECEIVED
-
Jean Laitenberger re: Gullace project
- Marsha Senges re: Gullace project
-
Ken Curry re: Gullace project
- Greg Franklin re: Royal Carwash
APPROVAL OF MINUTES
On motion of Joe Logan, seconded by Al Gallina
RESOLVED that the minutes of September 26, 2017 be approved.
Ernie Santoro
Aye
Joe Logan
Aye
Heather Zollo
Aye
Al Gallina
Aye
Rich Seiter
Abstain, not at meeting
Approved 4 Ayes, 0 Nays
On motion of Al Gallina, seconded by Heather Zollo
RESOLVED that the minutes of October 11, 2017 be approved.
Ernie Santoro
Aye
Joe Logan
Abstain, not at meeting
Heather Zollo
Aye
Al Gallina
Aye
Rich Seiter
Abstain, not at meeting
Approved 3 Ayes, 0 Nays
On motion of Joe Logan, seconded by Heather Zollo
RESOLVED that the minutes of October 24, 2017 be approved.
Ernie Santoro
Aye
Joe Logan
Aye
Heather Zollo
Aye
Al Gallina
Aye
Rich Seiter
Abstain, not at meeting
Approved 4 Ayes, 0 Nays
On motion of Al Gallina, seconded by Heather Zollo
RESOLVED that the minutes of November 14, 2017 be approved.
Ernie Santoro
Aye
Joe Logan
Aye
Heather Zollo
Aye
Al Gallina
Aye
Rich Seiter
Abstain, not at meeting
Approved 4 Ayes, 0 Nays
BOARDS & COMMITTEE UPDATES
CONSERVATION BOARD reported by Kate Crowley
- Andrew Phillips is new member
- Cash Blier will not be able to continue on Conservation Board which leaves an opening on the Board.
TOWN BOARD reported by Councilman Dave Tantillo
- Winterfest at Parks & Rec's facility – Saturday, February 10 th from 1:00 – 4:00
- Parks & Recreation master plan will be worked on. Last time was adopted was 2007. Ryan and the Citizens Advisory Committee put in an RFP. A resolution will be drafted on the 22 nd to hire the firm to do a town survey to update master plan.
- Organizational meeting – approval of the meeting schedule, rules of order, official town newspaper
- Route 96 Corridor Committee Update – TYLin is developing a draft report and other deliverables between January 15 th and February 2 nd . The Steering Committee will review it during February 5 th and 16 th . Then TYLin will put final report together and present to Town Board with the recommendations of Steering Committee and input from residents.
Mr. Logan stated he agreed to be the Liaison for the Planning Board and would like to get together with Rich Perrin to be updated. Councilman Tantillo stated the presentations are on line to review.
o Roundabouts are slotted through out the town and other connections
- Special thanks to the Highway Dept for the great job that they are doing with the road.
PLANNING BOARD reported by Kim Kinsella
- January 23, 2017 meeting
o PUBLIC HEARING
[x] Salsburg Subdivision at 1169 Cork Road – 3 lots
[x] Pi Craft Pizza – review the fence on the outdoor patio
APPLICATIONS
TABLED FROM 12/12/17
GULLACE PROJECT – PUBLIC HEARING HAS BEEN CLOSED
995 Co Rd 9
App No 19-SP-17
Owner – Lynaugh Road Properties, LLC
Acres – 17.13
Zoned – Multiple Dwelling
BME Associates on behalf of Lynaugh Road Properties, LLC is requesting site plan approval for 69 for sale townhouse condominiums in the Town of Victor to consist of a combination of 3 and 4 unit blocks for a total of 52 units on the eastern portion and 17 units on the western portion of town lands. The property is owned by Lynaugh Road Properties, consisting of approximately 17 acres and is zoned Multiple Dwelling.
Mr. Alan Knauf from Knauf Schoff addressed the Board along with Mike Bogojevski from BME Assoc.
Chairman Santoro made the announcement that the Gullace Project's public hearing had been closed but there would be a short amount of time at the end of the discussion for any "new" comments.
Mr. Knauf – Good evening. We were asked for some renderings so we do have a rendering showing a typical 3 unit townhouse building. Mr. Knauf passed out hard copies to the Board members.
Chairman Santoro – These are 3 units?
Mr. Knauf – Yes, the other garage is on the end (the elevations showed 2 garages). My understanding is that the engineers met and I believe resolved the issue with the hydrology and all. I think we've addressed all of the issues so we'd ask for a vote tonight. I've said it before, so I'll be brief, the project complies to zoning, it's far below what the allowed density is and we would ask that you approve it. If there are conditions such as landscaping and what not, we're happy to accept some reasonable conditions like that. But I think most of the people who are objecting don't like the zoning but it is zoned for a multi-family and this is well below what is allowed by code.
Chairman Santoro – You're not going to get a resolution tonight. We have some issues to go over that came up in the last few weeks.
Mr. Pettee – So LaBella Assoc did provide an updated memo regarding the groundwater investigation. Our memo is dated January 2, 2018. Initially, we had requested that the applicant provide a study or report to define the source of any underground springs and identify potential impacts to the groundwater source and impact to the surrounding properties as a result of the proposed development.
The applicant had their professionals provide us with a hydrogeological report and a subsurface exploration and geotechnical engineering report that basically describes some parameters on the groundwater and the hydrogeological conditions within the study area. In general we believe that the portion of the Gullace project that is most likely to impact the existing residences along the East Parkway is the portion that would be located within the Village, the single family home portion just because of the proximity to those residences.
There are some details like the surface water runoff and the proposed grades of the project that would lead us to believe that the Gullace project wouldn't really adversely affect the existing residences. I've asked our Senior Geotechnical Engineer from LaBella Assoc to join us tonight and he was able to help us review these reports that the applicant provided and maybe could give us more detail about the proposed project and some engineering methods that would be beneficial to the project.
Mr. Tom Zaso from LaBella Assoc – As Wes mentioned, I reviewed the reports prepared by the professionals. They provided data, they didn't provide conclusions necessarily. I think it would be somewhat difficult to get to definitive conclusions without a substantial significant effort that would take a large amount of time. The issue really is groundwater flow and you'd have to perform some more monitor wells in the ground and allow for time so that you could see the flow. It's a significant effort and I don't know that the value in doing that is there because there is not a lot of conclusive information that would come out of that necessarily.
I think the grading plan that was reviewed by the team really gets to dealing with the control of the water on the site. The water that is coming out of the air is going to infiltrate into the ground and generally will go away from those houses on the south side, go downhill away to the northeast and be picked up and you get stormwater control.
The grade goes downhill to the northeast and in general the groundwater is going to follow the grade. That's just how groundwater works predominately. The water will flow away from those houses to the south. Also there's going to be stormwater control, stormwater facilities placed on the site that is going to control any water that hits the hard surfaces, the roadways. Those will be controlled and carried by grade and pipe. One of things that happen is when you install the utilities, it helps to control the water, it keeps the site dry during grading and allows for the water to be controlled. There's going to be some piping that is going to act like fingers and drain the water downward and away from the residences on this side.
That's a summary of what we looked at. I think in general, the groundwater is going to be handled appropriately.
Mr. Pettee – Tom, could you point out where the field inlets are proposed in this project that are close to the residences on East Parkway, they're in the backyards.
Mr. Zaso pointed out the areas.
Mr. Zaso – Another thing that we discussed potential to help control water along this line is to install an interceptor drain in between those manholes or inlets. That will help also to keep any water that in general a lot of times the grading in the back of the houses are away from the house as a normal practice. If the water wants to drain this way, away from the back of the houses, a good idea would be to install an intercept drain on the back side of the property line.
Mr. Pettee – That stormwater infrastructure leads northward, right? (That's correct) Do those utility lines sometimes act as conduits for the groundwater to enter into those trenches?
Mr. Zaso – That's what I was trying to get to. Once those are installed, there's clean stone at the bottom of them that surrounds the pipe. If groundwater wants to come up, it will generally get caught in those lines and be conveyed away from the site.
Mr. Logan – Can you comment on how staging might affect the plan, the interim performance of this system. I don't recall whether the applicant is building the houses in the Village first or later. He's suggested that they will start on the eastern end of the new road off of Lynaugh, up to or near the intersection they are proposing in the site. So there will be a large swath that isn't touched in the first phase of the Town part and I don't know if that's done after the Village or simultaneously. Have you had a chance to look at staging?
Mr. Zaso – I have and general the first thing that we talk about when we make recommendations in Geotech reports is to install any drainage, just as I was mentioning those utilities as storm drains. If that can be done initially, that would be a big help to help drain the site and keep the ground water down and conveyed away from the adjoining properties. But if it's staged, I don't really know if that would really have an affect necessarily on the groundwater.
Mr. Logan – I guess I'm concern that once they start carving away at the road network or working on houses on the Village side, then where is that hard surface water going to go? It's supposed to be collected in the road and run to the system over to, I presume, the stormwater collection pond to the north east. Is that true Joe?
Mr. Picciotti – That I'm not sure of.
Mr. Logan – I guess I would like to see the developer discuss that.
Mr. Zaso – I think there could be some flushing out or some sequencing. So often times sequencing does have an effect on how things are graded and if the grading is done in a way that is appropriate then it's not an issue.
Mr. Logan – We're just seeing this thing done in stages, it could affect how water gets to that stormwater retention pond.
Mr. Zaso – Absolutely. Again, not to be redundant, if there is a way to encumber the entire stormwater system initially at the onset, that would be helpful. I'm not sure if that's possible but that's something that would alleviate you of that concern.
Chairman Santoro asked the rest of the Board members if they had any questions for Mr. Zaso.
Ms. Zollo – I was just going to ask the same thing that Joe did about the phasing of the project. We've had this happen in the past where projects are approved, everybody agrees the grading is good, the drainage is good, then we wind up with residents coming in here saying they have water pouring through their basement windows. So we want to avoid that at all cost. Can you guarantee that, can the developer guarantee that?
Mr. Zaso – I can't, that would be a question for his team.
Ms. Zollo – Okay, I just want to make that clear. Wes, in your memo, you said that the County Planning Board issued a Class 2 recommendation. Did you mean to say for "disapproval" because then you go on to say that this Board would need a majority plus 1 vote and the County comments did say, they recommend disapproval.
Mr. Pettee – That's on the October 2016 memo right? (Yes) Mr. Pettee read some of the language in the County comments. I wonder if that's a typo.
Ms. Zollo – I think it is.
Mr. Pettee – Cathy has the County Planning Board comments and you're right that should be a disapproval. Thank you for picking up on that.
Mr. Knauf – I think the initial memo might have been correct. The original recommendation was approval and then this year, the County Planning, I guess they couldn't find the traffic study and recommended against because they didn't have the traffic study. So I think they had conflicting recommendations. I guess we would request the Board ask, if you're not going to act tonight, to ask the County Planning to reconsider because we didn't really understand what happened. They didn't have the traffic studies that were done. It didn't make any sense to us.
Ms. Zollo – Yes, they say that they didn't get them.
Mr. Knauf – Yea and we did the traffic studies and they didn't have the traffic studies which made no sense to us so they voted no based on the fact that they didn't have the traffic studies that we thought they had. I don't know whose responsibility it is that the Town should have sent…I mean I thought the Town sent all of the material over with a full statement. But apparently they didn't have the traffic study. So I guess if you're not going to vote tonight, we would request that you do send it over and ask that the County Planner reconsider.
Mr. Pettee – That's an interesting point. I'm just seeing here that the County Planning Board minutes were from August 9, 2017 and our initial memo was dated August 21, 2016 so I think that's something that needs to get straightened out.
Ms. Zollo – Okay and their notes say that the Ontario County DPW has yet to receive responses to the comments and concerns outlined above and they had 16 items that they were looking for as part of the traffic reports.
Mr. John Turner, Village of Victor, DPW – There are several problems that I have with this. The first problem that I have is if the Town Planning Board does not approve this project, the Village portion cannot go forward with it because all of the stormwater management goes into the Town and that's the biggest problem that we have right now. That groundwater is all going to come to the Town anyhow so it's all going to come in your stormwater management.
The second problem I have is shared services. If you see the way they have it planned, you come down here and just like Jacobs Landing and not many people remember, but now we have to stop right here (referring to the Village/Town line) with water and sewer. The problem that we have right now is all of the sewer is going to go into Farmington. I'm not sure how we're going to bill all of these people (referring to the Village). That's a problem.
The next problem is we're going to do water that comes out of our district into the Town, do we bill our people and bill those people? That's another problem that I have.
The next problem is we provide lighting district that is paid by the residents. We stop right here with our lighting (referring to the Village/Town line), what's going to happen down here? I have a problem with that.
The next problem is we do garbage, then we've got to turn around and come back and then we have to do the other residents.
The next problem is with the Town, Mr. Years (Highway Superintendent), we plow to here and stop here (referring to the Village/Town line). We pick the plows up, turn around and we come back. Who's going to take dedication and who does what? This is not the original proposal, it was a cul-de-sac which would have made it simple on our end. It's not that I have anything against the Town, but it would make it simple.
So then we're going to have to have a PRV which is a meter pit for all of this stuff up here and then snowplow and maintenance. They had one proposal that this was supposed to be Town and this was supposed to be Village.
The water with your hydro, if you don't approve down here with your retention ponds, we can't build this because all of this drainage that will help out East Parkway is going to go down here, that's the way it's going, right to that pond. So if this is built or you don't approve it, we cannot build this.
Chairman Santoro asked Board members if they had any questions for Mr. Turner.
Mr. Logan – John, at what point did it get changed from a cul-de-sac to a continuing road?
Mr. Turner – 2005. It's been 3 or 4 different….the problem is they can't have that many homes in our zone so they had to reduce the density to make it work which is fine but to do this, we have problems right now with Jacobs Landing with shared services with Lynaugh Rd. We just got done with Monroe County and all that other stuff and trying to figure that out, it's just going to be a nightmare.
Mr. Logan- Have you and Mark Years gotten together to discuss this? You're asking questions about a finished project, if it gets all approved, who's going to plow and all of that, I would have assumed by now that you guys would have figured that out.
Mr. Turner – Right, but let's say this whole project is approved (referring to the Town portion). So what are you going to do here (referring to the Village portion)? So now you have a deadhead street, another deadhead street, a deadhead watermain, the sewer….
Mr. Logan - ….I can see one being conditioned on the other if you're going to rely on the linkage between the two.
Mr. Turner – Right if there is a linkage but if you don't approve this (Town section), my stormwater management for this whole section is based on the Town's approval. I can't pump the stormwater uphill. It's a big issue.
Mr. Logan- At one point it was a cul-de-sac.
Mr. Turner – The original was a cul-de-sac.
Mr. Logan – What was the treatment of that?
Mr. Turner – The treatment was supposed to come out of this backyard, over to the park and then to our pump station over in the corner.
Mr. Logan- A pump station for brown water or sewer?
Mr. Turner – Sewer. We have a pump station by that house so it was coming through the park. That's why Brian and I had to put everything on delay with upgrades to the park because the original plan was to come through there with a cul-de-sac and the Town is the Town and the Village is the Village. We do garbage so all of my garbage trucks come down here, go down the street, turn around, come up and pick up people.
Ms. Zollo – Can you clarify, the Village hasn't approved this yet either?
Mr. Turner – Our part? (Yes) I haven't seen anything in 3 or 4 years.
Ms. Zollo - Okay, just wanted to clarify.
Mr. Knauf – If I could just briefly address the comments. I think it seems to me that the groundwater issue for your purposes is resolved, we don't really have an issue. As far as the Village, whatever intermunicipal agreements or requirements, we're happy to work out. I think as the representative for the Town Board indicated, the snowplow stops at the municipal line and I assume they keep going, they don't put on the brakes. So if they have to go into Perinton or Pittsford or whatever here, you know if an agreement is worked out, we have municipal boundaries, that's the way it is. But we're happy to work out whatever reasonable accommodations or agreements and work with the Town and Village. As far as the phasing and stormwater; Mike Bogojevski from BME can address that.
Mr. Bogojevski – Good evening. Just to help with Joe's question about the pond construction and the phasing of the stormwater. The first thing that does typically go in is that stormwater management facility. Both existing and proposed runoff, like Tom had mentioned, does head to the north. So with the pond being constructed with Phase 1 basically, the continued construction of the storm sewers would only help to collect any additional stormwater runoff and convey it to the pond.
Mr. Logan- I'm going to have you rephrase that. Which is Phase 1, is it the Village or Town portion?
Mr. Bogojevski – Either one, the pond has to go in first.
Mr. Logan – But you're still going to have to carry that water to the pond through an uninitiated phase, if you will, because you're not planning on connecting the roads during phases 1 and 2, if 2 is the Village and 1 is the Town eastern portion.
Mr. Bogojevski – Either way the pond has to be constructed first.
Mr. Logan – Getting the water there is my concern, not that you're building a pond.
Mr. Bogojevski – The appropriate storm sewers would have to be constructed along with the phase.
Mr. Logan – So you're going along the road network, putting it in the ground, not necessarily building a road or maybe putting subbase in for the road without pavement?
Mr. Bogojevski – Initially they could be put in without any of the road.
Mr. Logan – So I guess one of my requests would be that for an approval from this Board, we would have to know that there are intermunicipal agreements worked out and in place for the eventuality of this project if that's the case and that your staging is going to be such that all of that stormwater infrastructure is built at the beginning of the project so that water is patrolled properly.
Mr. Knauf – We're only asking for approval in the Town.
Mr. Logan - But I'm not going to approve something that if the Village gets changed and the water has to go somewhere else or vice versa if the Village gets approved…..
Mr. Knauf -….The Village might never get approved. So we're asking for approval from the Town. If we don't develop in the Village, I don't understand….
Mr. Gallina - …If that's the case then we should treat this as a concept drawing for the Village portion and the design and site plan approval would be independent for the Town which means that could necessarily have a deadhead at the end of the road there. It would have to be built as a cul-de-sac on an appropriate design as an independent site plan.
Mr. Knauf – We do plan to develop in the Village but I can't…I mean it's a chicken and egg kind of thing…..
Mr. Gallina - ….No actually it's not. We're here to approve the Town portion of this proposal. (Right) So that would be approved independent of any eventuality of the Village portion.
Mr. Knauf – Right, we could do a contingency that if the Village is not approved, we could do the cul-de-sac or whatever.
Mr. Logan – What we don't have is a configuration that would support a cul-de-sac right now. There's not enough room with the housing that you're showing on that plan. Honestly, if you're looking at the hammerhead on the west side of it with a turn around for fire equipment and other maintenance, snowplows and things like that, I don't see room for anything like that on the eastern section.
Mr. Knauf – We can give you an alternate …..
Mr. Logan - ….You understand our dilemma right? What Al was saying and what I said about coordinating the two pieces, one or the other will have to happen first.
Mr. Knauf – Right and none of us have control over what the Village does, so….
Mr. Logan - ….But you still need to have an intermunicipal agreement in the eventuality that actually gets approved.
Mr. Knauf – Right, if it does get approved, we understand then we'd have to work out whatever…
Mr. Logan - ….the sewers and everything else….
Mr. Gallina - …..But then that would get conditioned that the Village would ----- contingent on the Village approval would be the intermunicipal and if they're not able to strike that agreement then the Village portion would not be approved.
Mr. Logan - So does your sewer design change with no Village piece attached to it? So it's basically gravity from the deadhead on that southern portion of the Town parcel through the rest of the development?
Mr. Bogojevski – That's correct, everything is heading north and east. The upstream dead ends within the Village side, just as you described.
Mr. Logan – How then would the runoff work if there were no Village portion….it's the same type of question. If you leave it fallow, you don't touch it….
Mr. Bogojevski – As far as stormwater runoff, it would still enter the Town portion. It would have to get picked up and directed to the pond.
Mr. Logan –So there is no impact to the residents to the south of the property if nothing gets done on the Village portion of the lot. I just want to make that clear.
Mr. Bogojevski – Definitely with stormwater heading to the north. There is no blocking off stormwater.
Mr. Knauf – Just so I understand. Are you saying…I mean we could give you an alternative if the Village was not approved.
Mr. Gallina – We have to assume there is no Village approval. Again, we need to treat this as an independent….
Mr. Knauf - ….Right, so you're asking for a hammerhead? I guess we could give you that as an alternative that we would put in the hammerhead. We'd probably have to make an adjustment, we would have to adjust the site plan a little bit so we could give you that to fit that in.
Chairman Santoro – Or you might put us in a position if we do approve this, to make it contingent upon the Village's approval.
Mr. Knauf – That would not be appropriate. I mean we have a right to develop our property complying to zoning. I understand your practical concern but it should not be contingent on the Village approval. We have a right to develop our property in the Town in compliance with the zoning law.
Chairman Santoro – Well also in compliance with other considerations as well.
Mr. Knauf – Right, you've already made a negative declaration. I understand your issue so we can resolve that, we can give you something on that. But it should not be contingent on approval of the Village because if we just don't develop, I mean that's the way it is now, I don't see how that's a reason to stop development in the Town.
Chairman Santoro – One other issue has arisen as well and that is Lynaugh Road and Church Street traffic calming and there has been a question about the definition of a collector road vs a primary road.
Ms. Jennifer Michniewicz – I looked into how Lynaugh, Church and Co Rd 9 are classified. NYS DOT classifies both of those roads as major collectors. From the Town traffic standards, they list AADT (Average Annual Daily Traffic) volumes as the threshold for determining the roadway classification and there is a 3,000 vehicle limit, if it's above 3,000 versus below 3,000. Whereas, NYS DOT is very prescribed, the Town traffic standards are a little bit not as clear, there's some flexibility in there I would say. There is some language in there that says a primary road dedicated used to carry greater than 3,000 vehicles and a collector is used to carry up to 3,000 vehicles.
Mr. Knauf – Where are you reading this from?
Ms. Michniewicz – This is from the Town of Victor Highway and Construction Standards Section 2.9.1 and .1 defines primary roads and .2 defines the collector roads. So the traffic study was done in 2013 and at that time, Lynaugh had just under 2600 vehicles which is below that 3,000 vehicle threshold. Co Rd 9 had just over 3200 so it's over that 3,000.
The issue that I'm struggling with is that it's not based on how the roadway functions, it's based purely on a traffic volume and if that traffic volume were to increase based on the Victor standards, the roadway classification changes. Where with DOT, it is what it is. I know that this has the issues with the setbacks and what the Planning Board and the zoning would require as far as the setbacks. I read through the minutes from the last meeting and you had said that whatever the Planning Board decides then you go with.
Mr. Knauf – Whatever the definition is. It would seem to me that whatever it is now is what….if it's a collector road or a primary today or at the time the vote was taken, that would be the standard.
Ms. Michniewicz – So the question for the Board is there has always been this traffic issue within the Town and planning for the "if come" versus the "now" and from a planning perspective what's the appetite of the Board?
Chairman Santoro – So this affects the setback issue.
Mr. Knauf – Right. I just think the definition is what it is today not what it could be.
Mr. Picciotti – The definition of the Town Traffic Standard which is the Town's Construction Standard, it says "used to carry". So it doesn't say as of build date or not. So the question is whether there is a discretionary issue there or not for the Planning Board. So it's not a standard similar to what you see in the DOT standards. So it's up to the Board whether they have discretion to make that determination. If in the foreseeable, they view these roads as carrying more vehicles than they do now in the foreseeable future, that's the issue. It's not as cut and dry in terms of if it's 3,001 vehicles than it's..….it's just not that clear.
Mr. Knauf – Are the projections that there above 3,000? Is there any scientific bases or engineering basis for that?
Mr. Picciotti – Again, it's up to the Planning Board.
Mr. Knauf – I'm just wondering if there are any studies or data…..
Ms. Michniewicz - …The growth rate within the Town is going up 1% - 2% so there is potential that it's going to grow. The issue is with the NYS DOT, both of those roads are classified as major collectors.
Ms. Zollo – And you said that based on the traffic studies that we're dealing with right now, that Co Rd 9 had greater than 3,000 which would make it a 50 ft setback, correct?
Ms. Michniewicz – The primary road, whatever the setback is according to the zoning.
Ms. Zollo – And Lynaugh because it was under 3,000 would have the 30 ft setback.
Ms. Michniewicz – I believe so yes.
Chairman Santoro asked for any other comments from the Board and there were none and stated this would be on our next available agenda.
Mr. Knauf - When does the County Planning meet again then? (It was noted they meet the day after the Planning Board).
Ms. Templar asked if Mr. Knauf was going to attend the County Planning Board meeting.
Mr. Knauf – My understanding was the Board had asked for them to reconsider based on the data, the studies that they weren't given. It seems kind of odd to me that they made the decision based on the fact they didn't have studies that I think this Board had.
Chairman Santoro – Did you send them and you found that out?
Mr. Knauf – I believe so. We'll follow up with them and get an explanation. Okay, so we're on for the next meeting?
Chairman Santoro – We'll see what happens.
Mr. Knauf – Thank you
Chairman Santoro asked the audience for any brief comments on anything that hasn't been heard before and there were no comments. The discussion ended.
The legal notice for the public hearings appeared in "The Daily Messenger". Post Cards were mailed to property owners within a minimum of 500 ft from location of each application along with "Under Review" signs being posted on the subject's parcels.
PUBLIC HEARING
Speakers are requested to limit comments to 3 minutes and will be asked to conclude comments at 5 minutes.
THE APPLE FARM
1640 St Rt 444 Appl No 38-SP-17 Owner – Pick Your Own Inc Acres – 142.70 Zoned – Residential SBL # 39.00-1-23.000
The Victor Apple Farm LCC is currently operating out of the storage/production building under a temporary building permit which expires January 23 rd . The applicant is requesting to continue in this location permanently. Along with utilizing the storage/production building, applicant is also asking for the approval of an 8ft x 16ft mobile kitchen to be placed adjacent to the temporary store facility. The owner of the property is Pick Your Own, Inc, consisting of 142.70 acres and is zoned Residential. This is the first time this application has been before the Board.
Mr. Bejan Bahai, owner and applicant addressed the Board.
Chairman Santoro – So you want to make permanent the location that you're presently using for sales, is that correct? (Yes) You are the owner of the Apple Farm, right? (Yes)
Mr. Bahai – I'm not sure what to do. I need to know how I should proceed given limited means. I was just a farmer and now I feel like I have to figure out how to be a property developer.
Chairman Santoro – Well, we have a resolution in front of everyone. Why don't we go right to that.
Chairman Santoro asked for public comment and there were none.
Mr. Logan – It sounds like he's unable to comply with certain requirements that have been put forward to the business in relation to a hardship.
Mr. Bahai – I'm working on some plans to dig out of a hole. But in the mean time I need to know what is permissible.
Mr. Logan – You need an extension of time with the condition that you're in using the configuration that you're proposing, I guess is the bottom line, correct?
Ms. Kinsella – We're trying to help him so that he can get through this season. He proposed this and it was a temporary measure. He had a temporary permit to operate until January 23 rd in which time we requested him to make site plan application to come back to the Board for a more permanent situation to help him until he can decide what he's going to do in the future, if he's going to rebuild or whatever his plan is. But to keep him operating, to do this through the Planning Board and then he would get a building permit.
Mr. Logan – So he's looking for an extension on the current condition. (Yes) Okay, I'm trying to get down to the bottom line.
Mr. Bahai – I think I need some kind of an extension so that I can have more time to figure out what needs to be done to make it more permanent.
Chairman Santoro – How long of an extension are you looking for?
Mr. Bahai – I don't know what is in the realm of possibilities, but…
Mr. Logan – Month to month….half year to half a year…year to year. There's a whole range that we can help you with. I certainly don't want to see your business fail, it's been a good one for a long time.
Mr. Bahai – I think 2 months will be enough time for me to have more of a plan figured out.
Mr. Logan – How about we give you 6 months, I wouldn't have a problem with that at all.
Mr. Gallina – I'd rather error on the side of longer so that we don't have to keep doing temporary fixes.
Mr. Logan – We're more than willing to work with you.
Mr. Gallina – My only concern is even on the interim temporary basis, the health and safety requirements are mandatory. I don't feel comfortable flexing on anything that is health and safety related. The dimension of the driveway and some of the other things, I'm comfortable being flexible but anything that the Fire Marshal and is health and safety related, we've got to make sure we're meeting those obligations.
Mr. Bahai – That's fair.
Mr. Logan – Is that something we can have them comment on?
Mr. Bahai – There was one question that I had about the outside storage (referring to the Fire Marshal's comments). I wasn't sure what that included as outside storage.
Chairman Santoro – Well back in 1983 you got a Special Use Permit to display and sell other farm related products and produce, homemade baked goods and preserves, natural foods, dairy products, eggs, maple syrup, honey, bedding plants, seeds, nursery stock and to have an area to display farm animals. That's what your special use permit was at that time. Is that still in effect? It was stated that it was still in effect. If there are other things that you want to do, you'll have to propose them and this will give you time to do that, if we give you an extension.
Mr. Logan – Most of that was generally during picking season except for the food which you had in the building. The animals were usually out there when you were doing the pumpkins and apples and everything else. But that doesn't really happen until later in the year or do you do events during the summer too?
Mr. Bahai – It's pretty quiet until the fall again.
Mr. Logan – So the 6 months which is what Ernie is saying will give you some time to contemplate that. Is that fair?
Mr. Bahai – That's fair.
Ms. Kinsella – I just want him to go away with clear clarification from the Board. That means you give the extension for 6 months, we expect him to come back in with the site plan application for whatever your building is going to be. I want you to understand…...
Mr. Bahai - …If I don't have a better clue in 6 months, then I have other problems.
Ms. Zollo – Then the Code Enforcement items that you have, some of which you can take care of readily working with 911, getting your numbers on your bldgs and that sort of thing. (Certainly) So just work through those points and the Fire Marshal's comments to make sure that you're getting everything worked out. (Okay)
Mr. Logan – I guess I would expect that you might come to the conclusion that it might take you awhile to do those things. I guess we'd want to see a plan for that and a start and end date to it, whether it's 3 or 6 months from start to finish or a couple of years. I don't know. It's a lot of money you might have to put in for roads and stuff like that. As long as we have an end date.
Chairman Santoro asked for any other comments and there were none. The public hearing was closed.
RESOLUTION
On motion made by Joe Logan, seconded by Heather Zollo
WHEREAS, the Planning Board made the following findings of fact:
1. A Site Plan application was received on October 23, 2017 by the Secretary of the
Planning Board entitled The Apple Farm.
2. Applicant is requesting a six (6) month extension of a temporary site plan approval to operate the retail aspect of the business from their storage and production bldg. Applicant is seeking temporary approval for a 16 ft x 30 ft store located within existing storage and production bldg. Applicant is also requesting temporary approval for an 8 ft x 16 ft mobile kitchen to be placed adjacent to existing bldg.
3. A public hearing was duly called for and was published in "The Daily Messenger" and whereby all property owners within 500' of the application were notified by U.S. Mail.
4. The Planning Board held a public hearing on January 9, 2018 at which time the public was permitted to speak on their application.
5. The application was deemed to be an Unlisted Action pursuant to Section 8 of the New York State Environmental Quality Review Act Regulations and a Short Environmental Assessment Form was prepared.
6. On May 18, 1983 a Special Use permit was granted to display and sell other farm related products and produce home-made baked goods and preserves, natural foods, dairy products, eggs, maple syrup, honey, bedding plants, seeds, nursery stock and to have an area to display farm animals.
WHEREAS, the Town of Victor Planning Board reviewed the Unlisted Action on January 9, 2018 and identified no significant impacts; now, therefore, be it
RESOLVED, that the project, The Apple Farm will not have a significant impact on the environment and that a negative declaration be prepared.
NOW, THEREFORE BE IT RESOLVED that the application of The Victor Apple Farm LLC, received by the Planning Board Secretary October 23, 2017, Planning Board Application No. 38-SP-17, BE APPROVED WITH THE FOLLOWING CONDITIONS:
1. That the Coordinated Fire Service Site Plan Review comments dated December 6, 2017 be addressed.
2. That the comments dated December 29, 2017 from the Code Enforcement Officer be addressed.
3. That a building permit for the new location and the mobile kitchen shall be obtained.
4. That Department of Health approval be obtained for the new location and the mobile kitchen.
AND, BE IT FURTHER, RESOLVED, that the Planning Board Secretary distribute the Planning Board's approval letter.
DISCUSSION
Chairman Santoro – So this is subject to your extension and doing all those things within that 6 month period.
Mr. Bahai – Okay
Mr. Gallina – Just one thing that is not clear. For the conditions, do they need to be met prior to utilization under the temporary approval or anytime during or after….there's just no time sense meeting those conditions.
Chairman Santoro – There's a 6 month time frame.
Ms. Kinsella – I think we would want him to address those prior to him getting a building permit.
Mr. Gallina – Okay
Ernie Santoro
Aye
Joe Logan Aye
Heather Zollo
Aye
Al Gallina Aye
Rich Seiter Aye
Approved 5 Ayes, 0 Nays
OMNITECH LOT AR-3B-
7670 Omnitech Place
Appl No 44-SP-17
Owner – MCA Group LLC
Acres – 8.40 Zoned – Light Industrial
SBL # 15.01-1-71.000
Applicant is requesting approval for the construction of a two phase +/- 44, 400 sf single story building with associated parking and utility improvements.
Mr. Andrew Spencer from BME Assoc addressed the Board.
Mr. Spencer – Good evening. With me this evening is the MCA Development Group, Bill Mendick and Carla and Ralph. They can answer some questions that I may not be able to answer for the Board. What we are looking for this evening is to get approval for another round on this particular lot of Omnitech Business Park. This Board has reviewed this particular lot on a couple of different occasions and have approved at least two different versions of site plan.
The first version of site plan was approved in 2008/2009 and it included two 30,500 sf bldgs on 2 separate lots. In 2011 a lot consolidation was approved by the Board and a single "L" shaped building was approved on this particular lot. What we're looking for today is approval for a building that will be constructed in a two phase process but it is a 44,000 sf building on this particular lot. There will be no subdivision that will be required. The applicant is looking for approval for a medical use on the property and a 22,000 sf building to the north of the property along with parking to service that particular portion of the building with two access points.
Phase 2 of the project will include the southern building along with its parking area and a third access point into the site.
Mr. Logan – I assume there's not going to be any need for large trucks and deliveries and things like that for this plan for that building? Delivery vehicles but nothing big.
Mr. Spencer – That is correct. Originally, when the site was developed it was developed as more of an area where you could pull in the large tractor-trailers and there were 3 access points from Omnitech Place in the original approval; one to the southwest, the center portion and this portion. The secondary approval reduced it down to 2 access point which was the southwest point and the northeast point. Now because of it being a duel phased project, we're looking for 3 access points out of Omnitech Place.
Mr. Logan – Are you looking to get all of your grading down for both bldgs in the first phase just to get it cleaned up without having to do a lot of extra grading?
Mr. Spencer – Yes, in essence this pad is build ready. It has been graded out for a building. We need to modify those grades based upon some of the soil conditions that exist today and modify a little bit of the grading for that additional curb cut onto Omnitech Place. But in essence, it is ready to go for building.
Another point to make to the Board; SEQR was completed during the full preliminary approval process for Omnitech Business Park. So no further SEQR needs to be completed by the Board.
Additional improvements for the site would include private connections to the public utilities that exist on Omnitech Place today. There is water service to the southwest, there is sanitary sewer that runs along Omnitech and the storm system was completed back in the origination of the project and installed just to the west of this property. All stormwater would be directed into that area.
One of the items that we are requesting of the Board is a reduction in the setback of the building. Originally, there was an 80 ft setback that was approved for the overall project. We are looking for a reduction of that to 69 ft which is for the Phase 2 portion of the building. The applicant has gone from two 30,500 sf bldgs for a total of 61,000 sf down to a 54,000 sf building down to now a 44,000 sf building. He's trying to make everything out of this property that he can. This is the bare minimum that he'd like to build for a reduction of the size of the bldgs and ask that the Board would consider reducing that setback. Because this was done under clustering provisions, Town Law 278, the Planning Board does have the ability to reduce that setback so no variances would be required.
We did receive comments from agencies as well as Town Staff. We did provide a letter of response to that dated January 5 th . The majority of the comments were technical in nature but
I would like to address a few of the non-technical aspects of the project. One being the architecture of the building. There were a few architectural questions. I just wanted to let the Board know that all the materials on this building are going to be consistent with the other bldgs on the site. The split faced block, the EFIS colors, the coloration of the building itself are all going to match what is out there today and what was formally approved as well. There is no change to this. I do have a listing of those materials if the Board does need to know that.
There was one comment about the mechanical equipment. At this stage of the building design, that has not been formally designed as yet. The intent would be rooftop mechanical equipment (air conditioning units and the like) they will be screened from the view to the surrounding roadway network as has been done on the other bldgs in the project.
There was also a comment from Codes regarding the application of a landscape buffer between this property and the Commercial district. A 100 ft buffer is required. The applicant contends that this development sits on the exact footprint of both of the other 2 development projects. We still contend that no further buffering is required between these two properties. They will not have trucks coming in and out of this facility, it will be vehicles and cars. There is a natural buffer to the north of the property. There's a treed area along this area that is not being disturbed.
I will entertain any questions that you may have. I do realize that you may not be able to approve this, this evening because it was referred to Ontario County Planning Board and they still need to review this and send their recommendation for approval. So we'll most likely have to come back to this Board for hopefully a final approval.
Chairman Santoro – Before we open this to a public hearing, Brian do you have any comments from Parks & Recreation?
Mr. Emelson – Good evening. Currently the applicant has a verbal agreement with Victor Hiking Trails for a trail on other portions of Omnitech facility. It's on parcels 72.300, 72.200 and 72.100. So the applicant has a verbal agreement with Victor Hiking Trails. What we'd like to request is not only a small easement to the Town on the subject parcel in question tonight but also the consideration of the applicant to take the existing verbal agreement with Victor Hiking Trails on the other contiguous parcels and convert that into a Town easement.
Chairman Santoro asked Mr. Emelson to point out the area being discussed.
Mr. Emelson – We'd be looking in this area but off the map on other parcels that have not been developed there is an existing multi use trail.
Mr. Logan stated there was a sketch in their packet.
Mr. Emelson – What we'd be looking for is to convert that verbal agreement and this is similar to what we do in a lot of our projects that are successful and to potentially a permanent easement to the Town for a trail. We can provide you with some specs for that. I think I sent an email out that described what we'd be looking for. Then to link up with a small portion of the trail easement on this parcel and then eventually continue on to the sidewalks on 96. What we're looking to do is essentially increase the connectivity. The adjacent parcel is the Town's Lehigh Crossing Park. There's also the Trolley Trail in there. We have a long term discussion to put up potential bicycle-pedestrian bridge on the former abutments of the Trolley Trail to carry trail users over to the Lehigh Valley Trail. It makes sense from a trail connectivity and a Parks & Recreation planning device to potentially seek out taking these agreements and converting them into a permanent easement. I realize though that the subject parcels that we'd like to get easements on are not related to this project but I wanted to bring it to the applicant's attention as well as the Planning Board's attention. Other than that we don't have a comment with the parcel, we worked with the applicant to acquire no cost easements for our parking area at the Auburn Trail and Philips Road years ago. But in light of this project, we'd like to bring this to your attention.
Chairman Santoro asked Mr. Spencer for comments.
Mr. Logan – Brian the alignment that you showed on your sketch, it goes across a wooded area of that lot across the street from this development and then continues on to a couple of other parcels within that. In that wooded area, have you looked at whether there is a wetland or any kind of drainage through that space because its right near the property line with Wilkins RV.
Mr. Emelson – I have not looked at that. Chauncy Young from Victor Hiking Trails is here to comment.
Mr. Young – I'm the trail boss, we've got 65 miles of trails and I try to keep them up to date. What was your question Joe?
Mr. Logan – The parcel across the street from this development is adjacent with the property line with Wilkins RV. It's heavily wooded until it gets to the next parcel. It looks like there is some drainage or wetlands in there. (There are) Have you guys scoped that out to see if it would work?
Mr. Young – The property line with the Wilkins RV, which is about where the line is where the wetlands are. So the trail right now is about 25 ft towards the west from the Wilkins' line at this point in time.
Mr. Logan – So there's kind of an active informal trail….
Mr. Young - ….No, there's an active trail.
Mr. Logan – So there is an agreement to allow Victor Hiking Trails to use it and you want to convert it to a permanent easement.
Mr. Young – Right, the other thing, up in the far upper right hand corner of the property (Mr. Young points the area out) we would just like to have a "nick" right across there so that we can get to the property up here (referring north of Omnitech) in case this is ever developed. This is a big beautiful piece of property that probably won't get developed but we're looking for a little line for an easement for that future development. It comes beautifully right off the end of this trail, comes down through here and all the way down to Lehigh Crossing Park (Mr. Young pointed the areas out).
Mr. Logan – As long as the applicant is happy to accept that.
Mr. Young – The only thing that we can ask for is that corner but if we can work with the applicant on getting the rest of it as an easement to the Town, that would be wonderful. As you know I have plans for a suspension bridge.
Mr. Logan asked for the applicant's response.
Mr. Spencer – The answer is yes, I forgot to bring that up in the presentation. We have talked about it and I believe the applicant is amenable to allowing an easement. I believe they are requesting a 20 ft easement in that area and I believe we can do that. As to the remainder of the trail and a formalized easement, I cannot comment on that at this time so that'll be something that the trails committee and the Parks & Rec will have to continue discussions with the MCA Development Group to formalize that further.
Mr. Logan - So for this application we can get that put in as part of the plan (Yes). Okay.
Chairman Santoro opened the public hearing and asked for public comment and there were none.
Ms. Zollo – I believe you mentioned this but it didn't sound like you were going to comply with the Code Enforcement about the 30 ft landscaped buffer. He said that the area is about 100 ft in length and does not equal 30 ft in width in some areas and that it's just some grass and trees. So the code requires that it be 30 ft between the two districts, the Light Industrial and yours. Can we make sure that we have our 30 ft buffer?
Mr. Spencer – We would request that the Planning Board approve the project as being presented today which is consistent with the overall Preliminary approval and the two previous approvals for this. There is a buffer area to the north of the site which is a wooded area. We don't feel we can provide 30 ft along that stretch without adversely affecting the location of the roadway in that area. Mr. Spencer pointed out the area. A portion of it is greater than 30 ft and there is a small portion that is not. This is an existing curb cut coming off of Omnitech Place right now.
Ms. Zollo – So on your drawing are those proposed plantings or are they already existing?
Mr. Spencer – There are some proposed trees along the northern boundary line and within the parking lot in those locations.
Ms. Zollo – You have 12 parking spaces that are land banked, is that correct?
Mr. Spencer – That is correct, that is for the Phase 2 portion of the project.
Ms. Zollo – That seems like a lot of parking. Did you get our comments from our landscape consultant? (We did) Any comments?
Mr. Spencer – We responded in that letter of January 5 th . Was there something in particular that you needed clarification one?
Ms. Zollo – I think he's just looking for landscaping to soften the looks of the bldgs, more shade in the parking lots. Is that what you proposed? (Yes)
Ms. Templar stated that the January 8, 2018 comment letter from Zaretsky Assoc, they stated that they had no further comments at this time.
Ms. Zollo – Okay, then you have Conservation Board comments where they were looking to make sure the snow storage areas were away from the wetlands.
Mr. Spencer – That's the intent, to supply snow storage to the north and south. Mr. Spencer points the areas out. The intent is not to push snow over in that area. What we have designed is on the back side of the parking, to have a timber rail, a guide rail and underneath that would be a foot wide or 18" wide stone area for first flush of pollutants. So any snow that does melt and flows underneath that guardrail, the first flush would go directly into the soil and not across that hillside and into the wetland as a further precautionary design element.
Ms. Zollo – Thank you
Councilman Dave Tantillo – I'm not sure if this affects the planning but part of the Route 96 Corridor project, one of the proposals is taking Willowbrook Rd and going through the "forever wild' next to Bristols and having a signalized intersection on Route 96. So the thought was traffic, if people were going to Pinnacle or trying to get to Fishers, they may not want to go through the Main Street Fishers intersection and go through that curve there. So I'm not sure what type of traffic calming…I just want to make sure you guys are aware, if that project does get approved as part of the Route 96 Corridor, that Omnitech is going to have a lot of traffic coming around that curve. I just wanted to bring that to your attention to make sure that when you're planning this, to do what you have to do to make sure that our residents are safe.
Mr. Logan – Dave, how is the Town acquiring that piece of Willowbrook Extension?
Councilman Tantillo – Right now we're in the stages of presenting it to the public and it was well received. Then putting on a dollar amount as to what it would take to develop it and then once the projects are then vetted out, presented to the Town Board. At that point we would have to make a determination as to what projects can we do at each stage. But I just wanted to make sure you folks are aware of that coming down the pike, that that potential Omnitech Rd is going to be more heavily traveled if that project gets approved. I just wanted to bring it to your attention.
Mr. Logan – I think that parcel is owned by Kitty (VanBortel).
Ms. Zollo – Is that a wetland there?
Councilman Tantillo – So once again, that was a proposal and we're working with TyLin to figure out what it would take to develop that land adjacent to Bristols. I just wanted to bring it to your attention, I didn't know if you knew.
Mr. Gallina – It looks like the square footage from the last approval to this one goes down by 7700 sf so that's a good direction. The total parking between paved and banked goes from 304 to 264 so we're down by 40 or so. Those are both moving in a positive direction. Is there any equivalent factor for greenspace, what the impact would be, is it neutral +/- from the previous?
Mr. Spencer – The greenspace increased a little bit on the parcel, it's now 53%.
Mr. Gallina – Is there any assessment relative to traffic impacts? So relative to whatever plan you are envisioning here, is that a net trip generator compared to the last approval or reduction or neutral or indeterminate?
Mr. Spencer – There is no appreciable difference in the traffic projection that's being utilized on the streets right now.
Mr. Gallina – So maybe if we could just get that documented as part of the responses so that we'd have it for future traffic analysis.
Chairman Santoro asked Ms. Michniewicz for comments.
Ms. Michniewicz – As long as it's in the same square footage as what was approved in the original SEQR, then there shouldn't be any traffic related issues.
Mr. Gallina – Yea again, I just don't know if there was particular plan usage in which could actually increase trip generation or decrease it or…
Ms. Michniewicz – Not that I'm aware of. But I do think getting that documented is a great idea.
Mr. Logan – I'm fine
Ms. Zollo – Is this 2 bldgs or 1? Will it eventually be 1 building or 2 separate bldgs?
Mr. Spencer – It will eventually be 1 single structure. There will be no space between the structures, they will be brought together. The reason it is 2 phases is that now there is a tenant that requires 22,000 sf with this number of parking spaces and this is an expansion into the southern portion and they may expand at some determined time. What we're looking for is approval for the overall 44,000 sf structure.
Ms. Zollo – Okay thank you
Chairman Santoro asked for any other comments and there were none. The public hearing was closed and the discussion ended.
SCOUT RESERVE SUBDIVISION
Co Rd 9/Aldridge Rd Appl No 1-SK-17 Owner – Victor Community Church Acres – 28.70 Zoned – Residential SBL #16.00-1-7.200
Scott DeHollander from DeHollander Design Inc is submitting a sketch plan consisting of 7 lots at the corner of Aldridge Road/County Rd 9. The lots would be accessed from Aldridge Road. The owner of the property is Victor Community Church consisting of 28.70 acres and is zoned Residential. This is the first time this application has been presented to the Board. The action to be taken this evening would be to determine if the applicant has presented enough information to be considered a complete sketch plan application.
Scott DeHollander addressed the Board.
Mr. DeHollander – I currently have a purchase offer with Victor Community Church to purchase this piece of property located at Aldridge and Co Rd 9. You may be familiar with it, it's a really unique piece of property and that it has a sloping topography to an open pond and wetland area that is located close to the intersection, some stands of smaller diameter trees as well. It's a fairly wooded site.
Our intention is to develop the northwest corner into 7 building sites with the balance of the property, make a significant reservation with both the combination of conservation easement and we we'd like to talk to the Town about a possibility for a passive recreational area to include that wetland.
The home sites would be situated outside of the wetland area. Its frontage, the 2 most western lots would have a shared driveway. The balance of the home sites, we're proposing individual driveways.
Aldridge Road has both sanitary sewer, water and gas so we're proposing connections to those utilities. We received some correspondence from the Highway Dept regarding road crossing and we're still waiting for word to confirm the capacity of the sanitary sewer and from the Water Authority for connection to the water main.
The parcels are fairly deep and off the plan the Thruway does skirt the south property line. You may be familiar with the overpass on Co Rd 9, our parcel goes all the way back to the Thruway from Aldridge Rd.
We did have a conservation site walk on Sunday. We noted that there is an intermittent stream that our project tends to incorporate into the project but will be removed from the footprint. It runs from the northwest corner to the southeast corner, across the site and that is a tributary to Ganargua Creek. The home sites that would back up to it, we feel would be sufficiently separated from the channel. It's an intermittent creek but you wouldn't be interfering with positive drainage.
One of the other comments that came from our site walk, if you're looking at our site plan, we had proposed stormwater features on the opposite of this intermittent creek but we found that it may be more suitable to put them on the Aldridge Road side of the creek and we'll make that change. Both locations would be outside of the Army Corp wetland area.
The comments received from the Town Engineer had some concerns about the disturbance area. We do feel that 7 lots would be at or slightly below the 5 acre maximum. If a full SWPPP is required, we certainly can prepare that but our intention is to keep the scope of our project concise, compacted.
We also received some comments from the Parks & Rec folks and I think this is the most exciting part of our project, this is exactly what we want to do with this project. We'd like to make a significant contribution, a significant reservation. We would like to talk more about how this large piece that we don't intend to develop could be a passive recreational area. There is sort of a unique element opposite the Duck Hollow Road, there's a gravel driveway on the site plan for the Sunset Manor project. But I think it's an old abandoned section of Co Rd 9 before the Thruway was built. It offers a really unique area. It crosses our property for a trail head and for trail head parking and the Parks & Rec people specifically noted a need for a place to park their trail maintenance equipment. Then I think the reserved area itself would be really conducive to additional hiking trails and making use of the open water area that's part of the wetland. My son is interested in seeing if there are any fish in it but it hasn't been very good fishing weather lately!
That's pretty much what I have as an introduction. This is really our first step into the project and are anxious to hear what the Town Planning Board has to say about our sketch plan and if the public has comments. We're anxious to move on with that feedback to the preliminary stage and get down to some detail design.
Chairman Santoro asked for a motion to open the public hearing. Motion made by Al Gallina, seconded by Joe Logan.
Chairman Santoro asked for public comments.
Mr. Fran Murphy from 6815 Aldridge Road – From our location to theirs it's at least a 30 ft drop (referring to Lots 1 & 2). How are you going to build houses there? It's a 30 ft drop at least, then the terrain goes down there. I don't know how they will build houses, not until you get out here someplace, there's enough land far enough above water level to build a home. So I don't know what the plans are to bring huge amounts of fill in and where do they plan on getting the fill from?
Chairman Santoro – We don't have that yet.
Mr. Murphy – Okay, that's my comment. Thank you
Ms. Kate Crowley – We did submit comments from our site walk on Sunday and from other sources including OnCor. It is a unique site, this parcel that Scott is proposing to develop. It's actually GC2 in the Natural Resource Inventory. If you reference page 211, there's a description of the co-occurrence. The site contains 5 resources; wetlands, streams, steep slopes as the neighbor just pointed out, flood plain and woods.
When we were looking at the site and the development that is proposed, the type of cluster development fits with the green infrastructure that's present on the site. There are some challenges that are going to have to be overcome and considered as engineering plans are done.
One of the things of note is the intermittent stream that does come in at the top, the northwest corner of the property. It appears that someone tried to alter the course of that stream previously and the stream quality could actually be improved if it was rechannelized by a knowledgeable heavy equipment operator. We also noted that there was water flowing in that channel when we were there on Sunday.
There's also a manmade pond in the northeast portion of the property that we were not able to get over to see. Drainage on the site is very important and the stream serves the wetland that is in the east corner. Then the outlet to Ganargua Creek runs south from that.
One of the things that we talked to the applicant about as we were walking the site is stormwater management. If the engineer could consider having stormwater management areas on the same side of the creek as the bldgs are. There will be 2 south of the creek on the proposed site with the remaining houses north of the creek.
We also talked to the applicant about stream crossings. If they were perpendicular to the stream there would be less impact. We also noted as he's thinking through how to develop the site that there's actually 3 crossings proposed today and if there was a way to co-locate those services, 2 of them I think are sanitary sewer, it may be less impact to that stream.
Like I say, the ecological communities are unique, they vary. There is a deep emergent marsh which is fresh water. Again, it's going to be an interesting site to develop because of the hydric soils that are there. We did notice as we were walking south of the creek, it was wet even with the land being as frozen as it is right now. Thank you.
Mr. David Frasier from 6746 Aldridge Road – The one question that I would have for the builder at this time is within those 7 lots, is there a general idea of the size of the home he wishes to build and the starting price? I'm just trying to get an idea of whether we're looking at $200,000 houses, $300,000 or $400,000. Will it be similar to the Anton Rise houses that are behind us? What are the intentions?
Mr. DeHollander – To the price point, it's consistent to the houses across the street. I'm not a builder, I'm a developer working with Gerber Homes. Gerber Homes is building a house right around the corner, on the corner of Anton Rise and Co Rd 9. Gerber's built several houses on Dryer Rd and the price point will be consistent with your expectations.
One of the reasons that we configured large and small lots is to attract people who want a larger footprint potentially and that drives a higher price point as well. We anticipate something that would be very consistent with what's across the street.
Can I also address the other comments? Mr. Murphy wondered about the grade issues. There is a grade differential from Aldridge Rd. We do anticipate that Lots 1 & 2 would require some fill. We anticipate that there would be about 3 to 4 ft of fill required to get positive drainage away from the house to the drainage way that exists across the site. But we do feel that we can achieve positive drainage there and that it's a workable situation and will prove that out through preliminary design and final certainly. The grade differentials is closer to 10 ft verse 30 ft. There is significant grade on the site. The grade is between the Thruway and Aldridge Rd do vary in that way, about 30 ft. One of the significant things that we'd like to preserve with a
conservation easement is that the wooded area, that buffers the Thruway. So we don't anticipate any changes or plan to make any changes there.
Relative to the comments from Katie (Crowley) and the Conservation Board, we're 100% in agreement on the rechannalizing of the creek to provide a riparian buffer and I think we can work through whatever permits that would be necessary to do that. The creek crossing, she is absolutely correct, we want to co-locate them and put them so that we're minimizing a future maintenance issue there.
There are certainly some unique ecological communities on the site but as she noted, we clustered out the project so that we minimize our impact to those areas. We'll continue to move forward. We'll have to wait and see how things work out with regards to any other comments but at this point, that would be my commitment if you decide to move forward, we would diligently address the issues that might come forward.
Mr. Brian Emelson, Director of Parks & Rec – I believe I filed some comments already on the project and then as the applicant works through, I'd like to understand what their intent is related to a conservation easement on this site. The potential I think was mentioned for a looped trail system, as I recall within the site. There is a challenge of getting across Co Rd 9 so we'll have to take a look at where to put that parking area and where to put a trail head so we have some type of connectivity to the Village on the Park. The Town has a large 70 acre parcel across the road from this consisting of athletic fields, playground, sledding hill, trails along the drumlin. So we'd like to provide some connectivity between the two subdivisions if possible. So we'll take a look as the project works itself through. Thank you
Chairman Santoro asked for any other public comments and there were none.
Mr. Logan – On the drawing you have labeled Lot 7 in the northeast corner, 1 acre. You're not applying for an undevelopable lot. Is that 1 acre?
Mr. DeHollander – On the sketch plan, we've left the balance of Lot 7 of 21.0 acres.
Mr. Logan – I'm seeing 7 building lots and then Lot 7 of 1 acre unapproved building lot on the sheet that I have.
Mr. DeHollander – The 1 acre lot of what I submitted to the Planning Board does not show the 1 acre property line. We sort of left Lot 7 grouped with the balance of the raw land. Our intention is to make some conveyance of the balance of that property. So that plan reflects what Lot 7 might look like but the plan I submitted, we're just keeping Lot 7 as a 21 acre lot until we sort that out.
Mr. Logan – I guess the confusion for me is you have Lot 7 of 1 acre as one of your bldgs. Now you have Lot 7 unapproved building lot on the upper right corner.
The confusion was 2 different sketch plans had been circulated.
Mr. Logan – Is that actually Lot 8?
Mr. DeHollander – No it isn't. It may in the preliminary application be broken off and shown to be a conveyance but we have no intention of creating an 8 th lot.
Mr. Logan – What parcel is that remaining part of?
Mr. DeHollander – I hope that it is a passive recreational park area.
Mr. Logan – Owned by whom?
Mr. DeHollander – The Town of Victor.
Mr. Logan – Is that something that fits Brian?
Mr. Emelson stated that he would need to look at it more thoroughly.
Mr. Logan – Okay, so that's under discussion is what you're saying. I'm looking at Lot 7 and there are two Lot 7's. So I don't know what it's supposed to be.
Mr. DeHollander – The hard copy represents our intention at this time. It's the balance of the property.
Mr. Logan – Okay
Mr. Gallina and Ms. Zollo had no questions at this time.
Chairman Santoro explained what the Sketch Plan resolution was and that it was not an approval of the project but only the acknowledgment of a complete application.
RESOLUTION
On motion made by Al Gallina, seconded by Joe Logan
WHEREAS, the Planning Board made the following findings of fact:
1. A sketch plan application was received on November 21, 2017 by the Secretary of the Planning Board for a Major Subdivision entitled Scout Reserve Subdivision.
2. It is the intent of the applicant to subdivide 33.7 acres into 7 lots.
3. A public hearing was duly called for and was published in "The Daily Messenger" and whereby all property owners within 500' of the application were notified by U.S. Mail. An "Under Review" sign was posted on the subject parcel as required by Town Code.
4. The Planning Board held a public hearing on January 9, 2018 at which time the public was permitted to speak on their application.
5. The Conservation Board reviewed the sketch plan and had a site walk on January 7, 2018.
6. In a letter dated January 5, 2018, LaBella Associates sent a summary of their findings and recommendations.
7. Brian Emelson from Parks & Rec reviewed the sketch plan and made comments dated December 19, 2017.
8. Codes reviewed the sketch plan and made comments dated December 11, 2017.
9. Highway reviewed the sketch plan and made comments dated December 20, 2017
NOW, THEREFORE, BE IT RESOLVED, that regarding the sketch plan application of DeHollander Design, Inc, Major Subdivision entitled Scout Reserve Subdivision, drawn by DeHollander Design, Inc, dated November 4, 2017, received by the Planning Board November 21, 2017, Planning Board Application No. 1-SK-17, the Planning Board acknowledges receipt of a complete sketch plat application;
AND, BE IT FURTHER RESOLVED, that the Planning Board Secretary forward a copy of this resolution to the applicant.
Ernie Santoro Aye
Joe Logan
Aye
Heather Zollo
Aye
Al Gallina Aye
Rich Seiter
Aye
Approved 5 Ayes, 0 Nays
TABLED FROM OCTOBER 11, 2017 PUBLIC HEARING REMAINS OPEN
SILVERTON GLENN LOT 118
St Rt 444
Appl No 2-FS-17
Owner – S & J Morrell Inc
Acres – 2.309 Zoned – Multiple Dwelling
Marathon Engineering on behalf of S & J Morrell have submitted a revised plan for 3 townhome bldgs consisting of 4, 3 & 2 units for a total of 9 for-sale units. Each unit will have a driveway connecting to either Wyndham Hill or Silverton Glenn. The lot consists of 2.309 acres and is zoned Multiple Dwelling. This is a carry over from the 10/11 meeting.
Mr. Rich Tiede from Marathon Engineering and Mr. Scott Morrell addressed the Board.
Mr. Tiede – We are back from our October meeting where we discussed our revised layout and I think we came to a concurrence that we met with the interest of what the Planning Board had discussed in meetings prior. So we went ahead and completed the engineering on this including the grading, utilities, stormwater, etc. The one addition that we have added to this, based upon comments received from the public, we did include a wood mulch trail that kind of parallels Route 444 along the embankment next to the roadway.
Other than that, we've completed the design, we've responded to comments from LaBella. I don't believe the one thing that was brought out in theirs is that we have disconnected roof leaders at the rear of our bldgs which has been typical throughout the development. I believe we're going to need a waiver from the Planning Board as part of the approval for this project.
I'm going to try to keep this short. If there are any questions on the engineering design that we've finalized on the site, I would be happy to answer those questions.
Chairman Santoro asked for public comments and there was none.
Ms. Crowley – I wanted to share one observation that I made when I visited the site. In the southwest corner on Silverton Glenn egress, there is standing water there. I was there probably the 3 rd week of December and was surprised by the standing water and I had seen it in one of the notes that was submitted by a resident. So one of the things that will have to be dealt with possibly is ground water when the 2 bldgs on the south are placed or something else is there that is creating that water. In fact I sent a note to Kim (Kinsella) and asked if anybody had ever looked at the water hydrant that is just south of that. So that was the one observation that I wanted to share.
Mr. Tiede – In my walking of the site and reviewing that, that area is the beginning part of what should be an infiltration basin. I've noted that infiltration basin had silted in and has grown over quite a bit in that area. Part of our plans have noted for that infiltration to be cleaned as well as a little bit of resizing that we're doing with that. I believe that should take care of the problem. Once we open up that top layer of the sandy soil that water should once again infiltrate instead of sitting up on top.
Chairman Santoro – I saw something about putting a fence up next to that steep grade that goes down near the walkway.
Mr. Tiede – I've talked with Scott about that and yes that was in the landscape review notes. We have several of the trees that are out front that are going to be in the way that we show being replanted. We're going to take them from this area, rather than putting up a fence, we're going to create a natural barrier with trees and if additional trees are required, we'll go ahead and show that on the plans.
Ms. Zollo had no questions.
Mr. Gallina – This is consistent with what we reviewed the last time.
Mr. Logan - It looks like you're going to be addressing the drainage complaint or concerns that Kate had with the regrading. I'm a little concerned about the proximity of that curved retention area next to the bldgs. It looks very close. It seems to me that water would end up going into basements from something like that, with the groundwater being so close to their foundations.
Mr. Tiede – Actually, throughout the site there are a lot of these smaller infiltration areas that are actually closer in proximity to the units and the soil is quite sandy there and it does actually drain quite well.
Mr. Logan – Okay, so it's a good positive subsurface drainage infiltration. That answers the only question that I had. Thanks.
Mr. Pettee – The Town Engineer did issue a comment letter dated December 20, 2017 on the updated plan. One of the things that we noted in addition to the need for a waiver but we also noted the sidewalk along Silverton Glenn, on the north side of Silverton Glenn, adjacent to the 2 bldgs, there's a slope that is somewhat steep. We suggested that perhaps the applicant provide some trees in between that sidewalk and the stormwater management facility that is located downhill from that sidewalk just to provide some sort of buffer or something to catch anything that might fall off the sidewalk, a pedestrian if they fall and roll down the hill, they might have a tree to grab onto.
I think the Town's Landscape Consultant commented as well and mentioned that perhaps a timber rail could be put in that location. We just wanted to bring that to the Planning Board's attention and maybe have the applicant respond to that.
Mr. Logan – Are you talking about the sidewalk here and that slope? It looks like they are building it up by 10 ft or 7 ft at that area. It's going to be fairly flat across to the front of the bldgs. R118-8 and 118-9 lots in the southwest corner.
Mr. Pettee and Mr. Logan looked at the subdivision map and discussed it away from the microphone.
Mr. Tiede – So to the east of the 2 units is where you're talking about. Our interpretation of the comment was more along the mulch path. I think we can probably do some trees along there if you're in agreement.
Mr. Logan – Can you flatten the grade out a little bit before it drops off? Give it some girth from the sidewalk because it looks like it's dropping off pretty quickly.
Mr. Tiede – We may be able to do that also. I know we have a little extra dirt out there from some of the other areas on the site.
Mr. Logan – You took it all away for that previous proposal layout and now you have to bring some back.
Mr. Tiede – We can take a look at both of those options and incorporate those into the plans.
Mr. Logan – Okay, thanks for clarifying that.
Chairman Santoro asked for a motion to close the public hearing. Mr. Logan made the motion and Mr. Gallina seconded.
RESOLUTION
On motion made by Joe Logan, seconded by Al Gallina
WHEREAS, the Planning Board made the following findings of fact:
1. A revised application was received on November 7, 2017 by the Secretary of the Planning Board for a Preliminary and Final Subdivision entitled Silverton Glenn – Lot 118.
2. It is the intent of the applicant to construct 3 townhome buildings consisting of 1 building of 4, 1 building of 3 and 1 building of 2, for a total of 9 for-sale units all to have individual driveways to existing roads.
3. The Planning Board held a public hearing on August 22, 2017 and October 11, 2017 at which time the public was permitted to speak on their application.
4. The application was deemed to be a Type I Action pursuant to Section 8 of the New York State Environmental Quality Review Act Regulations and a Negative Declaration was issued on October 18, 2011 by the Planning Board.
5. Pursuant to Section 27-8J of the Town Code, a recreation fee for each lot, or in the event of a multiple dwelling, a recreation for each family unit, in lieu of park land shall be paid to the Town before issuance of a building permit
6. On June 26, 2017, the Town Board rezoned Lot 118 of the Silverton Glenn Subdivision from Senior Citizen Housing to Multiple Dwelling. Per Town Board directions, no building permit shall be issued until stormwater concerns are addressed to the satisfaction of the Code Enforcement Office.
7. The application was referred to the Ontario County Planning Board under Section 239 of the General Municipal Law. On August 14, 2017 Ontario County Planning Board referred the application back to the referring agency as a Class 1.
8. A Coordinated Fire Service Site Plan Review was conducted November 13, 2017 and stated that there were no further comments at this time.
9. The Conservation Board reviewed the project on November 21, 2017 stated the erosion control plan should be followed due to steep slopes and the site plan should be replanted as soon as possible due to erodible soils.
NOW, THEREFORE, BE IT RESOLVED that the final subdivision application of S & J Morrell Preliminary and Major Subdivision entitled Silverton Glenn – Lot 118, drawn by Marathon Engineering, Sheets SV1.0, C0.1, C0.2, C3.0. C4.0, C5.0, C5.1, C6.0, C7.0, C9.0 dated November 6, 2017 received by the Planning Board November 7, 2017, Planning Board Application No. 2-PS-17 and 2-FS-17, BE APPROVED WITH THE FOLLOWING CONDITIONS and hereby waives Section 220.127.116.11 of the Design & Construction Standards specific to Comment #9 in LaBella Associates December 20, 2017 letter.
Conditions that must be met prior to the Chairman signing the final subdivision plan:
1. That no final signatures will be given on the plans until all legal and engineering fees have been paid as per Fee Reimbursement Local Law adopted November 25, 1996.
2. That before the Planning Board Chairman signs the approved film original(s), the developer should submit two (2) copies of electronic files to the Town. Copies of electronic files shall be forwarded to the Town Engineer to confirm that the data on the electronic files is the same as the approved subdivision plans.
3. That Section 4 Standard Approval Conditions for All Subdivisions (Major & Minor) of he Design and Construction Standards be met.
4. That the comments from LaBella Associates dated December 20, 2017 be addressed.
5. That the comments from Code Enforcement Officer dated August 2, 2017 be addressed.
6. That the comments from the Village DPW dated November 28, 2017 be addressed.
7. That the comments from Zaretsky and Associates dated January 4, 2018 be addressed.
8. That per the Town Board directions, no building permit shall be issued until stormwater concerns are addressed to the satisfaction of the Code Enforcement Office.
Conditions that are on-going standard conditions that must be adhered to:
1. That the major subdivision plan comply with Town of Victor Design and Construction Standards for Land Development, including Section 4.
2. Two-year maintenance bonds shall be provided by the Developer to the town for all improvements to be offered to the Town for dedication. Maintenance Bonds shall be written by a surety licensed to do business in New York State and they shall be in the amount of ten percent (10%) of the final construction cost, as determined by the Engineer for the Town.
3. That approved subdivision maps, including conservation easements, lot consolidations and lot line adjustments shall be submitted in digital format, AutoCAD 2002, or latest
version, effective January 1, 2004 (per Town Board resolution #193 of June 23, 2003).
4. That if requested by the Building Department, a pre-construction meeting shall be held prior to the start of construction.
5. Should an underground stream be encountered during construction, the Developer is to address the encroachment and impact to the underground stream to the satisfaction of the Town Engineer.
AND, BE IT FURTHER RESOLVED, that the Planning Board Secretary distribute the Planning Board's approval letter.
Approved 5 Ayes, 0 Nays
DISCUSSION ITEM
WOODS AT VALENTOWN
High Point Dr
Owner – Woods at Valentown LLC
Acres – 106.32 w/Forest Park
Zoned – Planned Development District
BME Assoc on behalf of Woods at Valentown LLC are requesting to construct 294 units contained within 14 3-story apartment buildings. Applicant has acquired 5.38 acres from Conifer Village @ Eastview and has requested to rezone this section to the Woods at Valentown Planned Development District. At this meeting Part 2 of the Environmental Assessment Form will be discussed.
Mr. Doug Eldred from BME Assoc addressed the Board.
Mr. Eldred – Good evening. With respect to Part 2, we provided a guideline recommendation, the Conservation Board provided one as well and then I think Wes provided one as well. I presume you'll go off of what Wes had provided. What goes with Part 2 is Part 3 so we have indicated on here for the most part, not too many concerns and where there was a potential for a concern, we provided some guidance with Part 3 and I understand that Wes has provided some further guidance for elaboration. With Part 3, it basically discusses any potential impacts that were identified with the Part 2. We feel that we have all the ducks in a row, if you will, that would allow for a SEQR Negative Declaration on the project.
Obviously, I think you know that Frank Dolan from Bergmann did the traffic study and then Jennifer (Michniewicz) reviewed it. We have her comments as well. There really weren't any comments to further address with that. In essence she was saying that she agreed in substance with the traffic assessment that was done. I don't want to speak for Jennifer but we can go over any specifics of the traffic, any specifics of Part 2 or whatever you wish.
Ms. Michniewicz – He is basically correct. The improvements that were done as part of the original Planned Development District were largely based on a 4% growth rate and that 4% is a compounded interest so every year it just keeps getting more and more and they did all of their mitigation based on that 4% growth rate and that 4% just didn't bare out. The change from the 72 townhomes to the 300 apartments, the traffic has already been mitigated. In fact the original traffic study that was done didn't even have a residential component, it was all office which actually has a higher traffic generation. So overall the traffic that is expected to be generated will be more than what was in the original Planned Development District but the actual impacts are less or a wash basically.
Mr. Pettee – I had a good suggestion from our Town Counsel and I'm going to hand out from the NYS DEC instructions for Part 2 - Identification of Potential Project Impacts for Full Environmental Assessment Form (FEAF) Workbook. This would be a good tool for the Planning Board to reference as we're going through Part 2 of the EAF. Mr. Pettee read from this workbook.
Completing Part 2 will help identify any topics that need to be discussed further in Part 3. Taken together, Part 2 and Part 3 will help the reviewing agency and in this case the Planning Board determine if a Negative Declaration or a Positive Declaration is appropriate. If a Positive Declaration is made, Parts 2 and 3 will help the reviewing agency develop a list or scope of environmental topics that will need to be addressed further in an environmental impact statement.
I won't go through this handout in full detail but you might want to flip through it while we're reviewing some of these topics and I know our Legal Council can help us out too.
Mr. Pettee started going through the Part 2 FEAF (Full Environmental Assessment Form) for Woods at Valentown draft dated 12/12/17
1. Impact on Land – Yes was checked with all but 2 sub-questions were checked No, or small impact may occur. The 2 that were checked Moderate to large impact may occur were:
- b) The proposed action may involve construction on slopes of 15% or greater o There are slopes on the site that are greater than 15%. There will be some narrative to go along with this in Part 3.
- e) The proposed action may involve construction that continues for more than one year or in multiple phases.
Before we go further does anyone have any questions or we can look at the online guidance? There were no questions.
2. Impact on Geological Features – No was checked.
3. Impacts on Surface Water – Yes was checked with all checked with No, or small impact may occur except item d was checked for Moderate to large impact may occur.
- d) The proposed action may involve construction within or adjoining a freshwater or tidal wetland, or in the bed or banks of any other water body.
4. Impact on groundwater – No was checked.
5. Impact on Flooding – No was checked.
6. Impacts on Air – No was checked.
7. Impacts on Plants and Animals – No was checked.
8. Impact on Agricultural Resources – Yes was checked with all checked with No, or small impact may occur.
Mr. Logan – Which one of these made you check the yes box and check No or small impact for all of the sub-questions?
Mr. Pettee – You first answer the question, the proposed action may impact agricultural resources. It's either a yes or no.
Mr. Logan – So because you answered yes, you went ahead and had to answer the individuals.
Mr. Pettee reading from the DEC workbook - If any agricultural activities are taking place on or adjacent to the project site, or if the project site is within a New York State Agricultural District, the proposed project may have adverse impacts on farming.
Mr. Logan – So that pushes you in that direction, okay.
9. Impact on Aesthetic Resources – No was checked
10. Impact on Historic and Archeological Resources – No was checked.
11. Impact on Open Space and Recreation – No was checked.
12. Impact on Critical Environmental Areas – No was checked, in fact there are no critical environmental areas in the Town of Victor according to DEC's definition.
13. Impact on Transportation – See below
At the time that I was filling this out in December, I didn't have the benefit of additional information from Bergmann Assoc or the opportunity to see Jennifer's most recent letter. So this is currently blank and wanted to give the Board the opportunity to answer this question. Mr. Pettee read from the DEC online guidance:
New development can generate or change traffic, or create a new demand for public transportation. Several potential adverse impacts can result when traffic levels increase in a community. More traffic can lead to congestion, which in turn may have economic, environmental and safety impacts. Traffic congestion is not only annoying to motorists, but can increase economic costs because of extra fuel used, lost productivity, and time wasted. It can also result in higher air pollution emissions, increased traffic accident rates, decreased accessibility to economic centers, decreased road surface lifetimes, and increased vehicle maintenance costs. A proposed action can also increase the demand for public transportation, parking, sidewalks, bike paths, or bike lanes.
Chairman Santoro – I guess we need guidance on a) Projected traffic increase may exceed capacity of exiting road network.
Mr. Pettee reads on: The reviewing agency should evaluate the following sub-questions and decide if there will be any impact. If there will be an impact, the reviewing agency must then evaluate the magnitude of that impact, and decide if the impact will be small or moderate to large. This will depend on the overall scale and context of the proposed project.
- Is there a perception that the action will result in long vehicle delays or reduced operating speeds?
- Is there an increase in traffic substantial enough to alter level of service on roads to be affected by the proposed project?
Chairman Santoro – I think Jennifer has already said that it would be less than if an office building had been built there.
Ms. Michniewicz – Yes the level of service between the no build 2018 and the build 2018 are virtually the same. And then going back to the question of what was in the original Planned Development District, what was built was in anticipation of a lot more.
Mr. Picciotti – You said the background levels to rise to that level is either 4% and you said compounded (Correct) that's why there's….
Ms. Michniewicz – …..And other improvements to the overall roadway network had been done by other developers and by DOT and the County and everybody. Then there was also a slight shift in the traffic distribution on Route 96. So there are other things in addition to what the applicant has already done to help the situation.
Ms. Zollo – Why are you saying that because it was offices, that actually generates more traffic than residential when people go to work, they work all day, they come home. Whereas, residents are in and out, in and out.
Ms. Michniewicz – The actual up on Valentown, High and those streets, you'll see that that does switch. But because there is so little traffic volume there, we're talking about levels of service of As and Bs and Cs so it's not that bad. Whereas on Route 96, there's such a blend of what's going on there. You've got people coming and going. It's built up to the point where it can absorb it.
Ms. Zollo – So even the Valentown/High St intersection is going to be able to absorb all of this residential traffic?
Ms. Michniewicz – Yes because at the time they did the study, there was no traffic signal there and now there is a traffic signal. So those improvements have already been done.
Ms. Zollo – Except in a snow storm because you're there and the cars can't make it up….they're stopped at Valentown and they can't make it up that hill when its snowy….it's messy.
Mr. Logan - The other thing about your comment Heather, the in and out comment, you got to be looking at the peak hours. So if there are 20 ins and outs from a particular subdivision, it's only the ins and outs during that peak measured time that I think Jennifer would count as part of the traffic load, correct:
Ms. Michniewicz – Correct and whereas before when it was all office, everybody was coming and going at that same time but because you have that residential component, it's being spread out over maybe a peak 2 hours as opposed to 1 hour.
Chairman Santoro asked the Board what their pleasure would be on this application.
Mr. Logan – It sounds like there is no or little impact on most of these.
Chairman Santoro – So we have a consensus that it should be a "no"?
Mr. Gallina was in agreement.
Ms. Zollo – So no change to existing transportation systems, is that what you're saying?
Mr. Logan – That's what I would say. I mean there is paved parking area for more than 500 vehicles most likely. You have 300 units.
Chairman Santoro – A lot of it is underground.
Mr. Logan – That's a good point, I don't know how that works. It's within the building footprint so I would suspect it's not additional pavement.
Mr. Gallina – I assume that parking capacity is a surrogate for traffic volume.
Mr. Logan – It's the point of it may result in the construction of paved parking for 500 or more vehicles.
Mr. Gallina – So 500 is a volume number, not that the footprint is so big, its 500 cars generate a certain traffic volume.
Mr. Logan – But I would assume 300 units would require more than 500 parking spaces. There is at least 2 per unit.
Ms. Michniewicz – It says impact on transportation it doesn't say impact on traffic.
Mr. Logan – I'm looking at 13b and it only looks at paved parking area for the number of vehicles so technically it's yes but it's a small impact.
Mr. Pettee read from the on line guidance:
If no parking is proposed, or if proposed parking needs can be met by using existing off-street parking or existing on-street parking, then there will likely be no related impacts. Check 'No, or small impacts may occur.'
Small Impact:
A small impact could occur under one or more of these circumstances:
- Small parking lots that have landscaping and downward directed lights, or no lighting needed.
- Infrequently used parking lots that have permeable surfaces, exterior landscaping for screening, minimal lighting, and placed to the side or rear of a structure.
- Small expansions to existing parking lots or facilities.
- Shared parking may have smaller impacts than those that are not shared in terms of stormwater runoff, lighting, traffic, safety, energy use, and operation.
Moderate to Large Impact:
A moderate to large impact could occur under one or more of these circumstances:
- One or more parking facilities (including lots) are planned for 500 or more cars.
- Parking lots of any size that require construction of turning lanes or traffic lights are proposed.
- Parking lots of any size that are used on a regular basis and that have other design features that may result in impacts such as all-night illumination, disturb one acre or more of land, or is located within a residential zoning district.
- Parking lots of any size or type that creates a streetscape that is in sharp contrast to the existing character of the community or neighborhood.
Mr. Logan – So I would say that right now there is nothing there except a road that goes through and you're adding all of this stuff. I'm not saying this is going to be a big deal but to accurately answer the question, I would say "yes" and put No, or small impact for all of the sub-questions.
The rest of the Board agreed to answer Yes to #13 with all boxes checked for No, or small impact may occur.
Mr. Logan – I wouldn't want to say "no" and then have someone come back and say you didn't look at this, you're clearly violating the 500 or more vehicle thing. So why not put them all No, small impact and say Yes for the item.
14. Impact on Energy – Yes was checked with all sub-questions marked as No, or small impact may occur.
15. Impact on Noise, Odor, and Light – Yes was checked with all sub-questions marked as No, or small impact may occur.
16. Impact on Human Health – No was checked.
17. Consistency with Community Plans – No was checked.
18. Consistency with Community Character – No was checked.
Mr. Logan asked to go back to #10 Historic and Archeological Resources.
Mr. Logan – This whole project started out as being part of a historic district and we are adjacent to a significant historic resource for the Town. So I wouldn't necessarily put "no" there, I would say Yes and then say No, or small impact may occur for the sub-questions because this is on the back side of the development and it's not visually impacting that. Does anyone else have an opinion on that?
Chairman Santoro – I think you are right.
Mr. Logan- Because it is the Valentown Historic District and we're trying to do things that don't impact that and Fred (Rainaldi) has done an amazing job enhancing that area around the Valentown building itself but the fact is, this development is adjacent to that historic district. So again, in the interest of being accurate as how we respond to this, we should at least be recognizing that it is adjacent to but that there is no or small impact from this piece of the development.
The rest of the Board agreed.
Mr. Pettee passed out the Part 3 narrative.
Mr. Pettee – What we have is a draft of Part 3 narrative in large part provided by BME Assoc. LaBella did take an opportunity to provide an update to #13, the Impact on Transportation. This could be used as a straw document for completing the EAF. I know that you haven't had an opportunity to take a look at this unless you had BME's packet which I believe was distributed to you.
Mr. Eldred – We supplied it about a month ago. So just so you know, even though there might be "no's" and things like that, we still prefer to do it with discussion when there is a Type 1 action just to fortify the decisions, of course this is your decision. Even though they are all "no's" we would like to fortify the no.
Mr. Pettee – I have a question for the Legal Counsel. As part of this, does the Planning Board need to make a determination of significance and have a resolution either a Positive Declaration or a Negative Declaration, is that what we're looking at as a next step?
Mr. Picciotti – Specifically, what we're looking at because of the circumstances surrounding this project is whether a Supplemental EIS needs to be prepared. So it's a similar determination which is up to the Planning Board to determine whether there is, based upon the changes to the project, you can do a Supplemental EIS for several reasons. One can be project changes, new information. But what drives it is the same thing that drives the initial significance determination which is; may there be one or more potential for significant environmental impacts. If the Planning Board makes that determination then a supplemental, rather than issuing a Positive
Declaration it would determine that a Supplemental EIS is required. If it determines that a Supplemental EIS is not required, my recommendation would be to issue….the Board could do something less than issuing a Negative Declaration but I would recommend issuing a Negative Declaration none the less because I believe it provides some additional support for the decision and that would take the form of a resolution which based upon the input of the Board would help to draft. The resolution would look a little bit like the Part 3 that BME has prepared that would be fairly detailed that's what I recommend to Boards that they do particular for Type 1 Action.
Mr. Eldred – I just wanted to remind this Board to remember that this is on a project that had a full Environmental Impact procedure and within that project there was listings of impacts and mitigation and thresholds and we believe we haven't significantly exceeded those thresholds so we should still be under that same umbrella although we always need to point out the differences and state why we're still under the umbrella. I just wanted….the reason we kept comparing things to the DEIS significance was to indicate that we still are within those parameters.
Mr. Picciotti- I would say that's appropriate. That's what the Board should be looking at.
Mr. Logan – So a Negative Declaration would not endorse the site plan, it would endorse the fact that it's not going to affect….
Mr. Picciotti – …..Yes the Negative Declaration would be a determination that as Doug was just saying, the EIS that was previously performed, they're within that envelope if you will. We haven't identified any additional significant impacts that are not mitigated by the EIS that was previously prepared.
Mr. Logan- Okay, so once that's through as a Negative Declaration then we go through the site plan review and if there are changes that's independent of this.
Mr. Picciotti – Yes and again it could be done something short of a Negative Declaration. It could be the Board could simply say by resolution that you're within the EIS parameters. But again, I think given the circumstances in the passage of time, I think it makes sense (inaudible).
Mr. Eldred – Just to remind you on the time line, this requires a zoning change for the Section 5 (Conifer Village @ Eastview) and then it requires a texted amendment for the original parcel. So you're next step actually is to make a recommendation to the Town Board for those 2 items.
Mr. Logan – My point was more to the site plan that people may be looking at including the Board and we're not touching that at the moment, it's for the impacts.
Chairman Santoro – What's the status of the application now, has it been made yet? Has it been made at the Town Board yet?
Mr. Eldred – Yes, the Town Board reviewed the application and their first step once they did the Lead Agency determination which they handed over to you folks is they asked you to make a recommendation on the rezoning and the texted amendments will be required for the project. So once you make a SEQR determination, that would be your next step and then our next step
would be to go back to the Town Board and see if they will accept those changes. Then we do site plan.
Chairman Santoro – Is there anything more to do this evening?
Mr. Pettee – We're looking for direction from the Planning Board. If you want us to draft a Negative Declaration resolution, I'm sure Kim will give some direction to Joe Picciotti or myself to work on that.
Chairman Santoro – I think that would be appropriate, what does everyone else think?
Mr. Gallina – I think that's where the facts have led us.
The rest of the Board was in agreement to a Negative Declaration.
Mr. Logan – I would say that we should be comfortable with the language in Part 3.
Mr. Picciotti – My preference would be when you are ready to make the vote that you go through Part 3 carefully like you did Part 2. Then there will be a resolution for you to take a look at that doesn't necessarily need to be read but it will again flow from the Part 3.
Mr. Logan- So between now and the next meeting we can come together for this piece with any changes, updates, etc and vote to accept this with a Negative Declaration?
Mr. Picciotti – Yes that would be appropriate.
Mr. Gallina – And the resolution can reference this document.
Mr. Picciotti – I'll probably do more than that. I like my resolution to be thick and meaty like Doug's Part 3. It helps if you're challenged.
Chairman Santoro asked to have this before the meeting in order to review it.
TABLED FROM 12/12/17 MTG
ROYAL CAR WASH
607 Rowley Road
Appl No 43-SP-17
Owner – WDC Properties LLC
Zoned – Commercial /Light Industrial and Route 96/251 Corridor Overlay District
Acres – 1.10
Applicant is requesting approval to construct a 4,096 sf automated car wash. The historical section of the existing Cole & Parks bldg will be preserved and utilized as office space.
Mr. David Cox from Passero Assoc addressed the Board along with Applicants Anthony Daniele, Danny Daniele and John Caruso form Passero Assoc.
Mr. Cox – Good evening. To bring you up to speed of what we've done since the last time we were here is there was some request of further clarification or an image to show exactly what part of the building is being taken down (referring to the Cole & Parks house). One of the other request for around the Cole & Parks building was to see how much separation we could get from the pavement. So we increased that separation distance to around 5 ft all around the building so that helps protect that existing building much better. We made sure the drainage is flowing away so we're not putting any additional drainage towards that building.
The major one was some 3D perspectives of how the building is going to look, how it's going to function all together. Referring to a colored rendering of the site. This is from the intersection of Rowley/Route 96 to show the comparison between the Cole & Parks building and the Royal Car Wash in the background.
Chairman Santoro requested the applicant turn drawing around to show the audience.
Mr. Cox – The other thing that we had discussions on was the parking along Route 96 and if that could be put some other place. We took a hard look at it and tried to fit that parking in other places and nothing really worked. So what we did, we decided to put a hedgerow there in front of the parking instead so that as you can see in this 3D rendering, we have a hedgerow and the cars are actually behind it. So you can't actually see any of those cars parked so that really helps to block and you really don't see any of those cars parked in the front yard, you just see the Cole & Parks bldgs.
Conversations took place away from the microphone between applicant and a Board member.
Ms. Zollo – I'm not seeing on any of these renderings the four corners.
Mr. Cox – We just didn't go through the process of modeling that but in reality it is on that four corners area with the concrete.
Ms. Zollo – Okay, so it's not going to be eliminated? (No)
Chairman Santoro stated that the applicant didn't own that area on the four corners.
Chairman Santoro – Is there a porch there now? (Yes)
Ms. Zollo – It has a railing doesn't it?
Mr. Cox – Yes, there is a railing.
Questions and comments were being asked away from the microphone and were inaudible.
Mr. Anthony Daniele – The main structure that is not going to be demolished is not going to be altered in any way other than the backside of it which will need to be restored because we're
obviously demolishing a couple of pieces. This bottom right picture shows that's the side that is being restored by using the same clapboard building materials as the existing structure.
Chairman Santoro – And that's what it'll look like after it's restored? (Correct)
Ms. Zollo – So the entrance will be on the porch side?
Ms. Babette Huber – In my November 13, 2017 memo, first I had said that the drainage was the most important item and it appears they have answered that by putting more greenspace around it. The north wall replacement which was my second comment, I got a letter from Emily Connors who is with Passero, she's a preservation consultant and she has spoken to that concern so we're all set with that.
The conditions about the integrity of the building if something happened to it during construction, that's something that will need to be done by either you or the Town Board. The next one was the applicant should be required to maintain and occupy the Parks Homestead and that's been addressed and agreed to.
The focal point of the corner is the house. I'm assuming that yellow color is not going to be the "yellow yellow" color.
Mr. A Daniele – It's going to remain the same color.
Ms. Huber – It's like a creamish yellow color. I still didn't get an answer about the height of the carwash in relation to the height of the house.
Mr. Cox – The Cole & Parks Building is 26.50' and the Royal Car Wash is 30.50'.
Ms. Huber – It appears that….we're trying to work with a historic structure and we're trying to put a carwash on the same lot. I've worked with other developers and we've worked through this, you may not like it but we're working through it. My other question about the carwash is the new design is much better. I just want to know if this brick is going to be the same color as your originals. Is that the same color that you have on your other ones? (Yes) I would have a concern about that because this looks darker (referring to the rendering of the building)
Mr. Logan – Is that brick or wood barn siding?
Ms. Huber – This is brick.
Mr. Logan – So the entire building is that red brick?
Ms. Zollo – So you're not happy with this color brick?
The applicant showed an actual sample of the material being utilized.
Ms. Huber – What I see is this building (referring to the rendering) and it looks different than the other one being shown.
Mr. A Daniele – This is what it will look like (referring to a rendering of an existing carwash)
Ms. Huber – But we talked about those cornices and you did, you made them smaller and blended them in. The signs being glaring white and the Royal Car Wash sign, can you tone it down. I know that you want it to be "royal" because it's Royal and that's your sign. This is a different site and it should blend in with the site. We want you to have a sign and have it say Royal Car Wash but we don't want it to be "royal" blue. Also the lights, I noticed were kind of modern. I think we can work all of these things out.
So I guess we have some differences as far as the color of the building and the design because you had taken out the very wide ---- pieces, do you know what I mean? (Yes) Do you have any questions for me?
Ms. Zollo – So is the color of brick acceptable?
Ms. Huber – It would be acceptable if we could have the colors more muted on the building.
Ms. Zollo – So the trim color you'd like to leave in a creamier color. (Right)
Mr. A Daniele stated that there are two different colored brick on the building. The red and a wheat color for trim.
Ms. Huber – That is much more muted and you could have that muted cream color around there instead of the white and the royal blue could be "royalish".
Mr. Logan – When North Face came to us to put up a sign, they wanted to have a big red square North Face sign and they changed it to kind of a barn sided wood look with their logo inscribed in it. Maybe that's where Babette is going in terms of changing it so that it would blend a little more with the building and not be so bold. You'd still have the Royal, it just wouldn't be blue, it would be something that compliments the building.
Chairman Santoro – They wanted red but they changed it to white (referring to the North Face building).
Mr. Logan- That's what I was saying, they changed it even though that was the North Face logo with the red square. They went to barn wood and they foregone the red in favor of just the North Face with their font and everything else. So that was a change that was made.
Chairman Santoro – It can be done.
Ms. Huber – I mean you look at that and it just doesn't blend in with the historical character. You're doing a great job with the house and you are really trying very hard with the carwash as well so why ruin it with that sign.
Ms. Zollo – For this particular site, you can tone it down.
Mr. A Daniele – One of the things to keep in mind and we've done this before on other projects, being a historic building in front, I mean one of the things that the Historic Consultant Architect pointed out is not to try to make the carwash look historic or in any way match the old building because and I'm in no way an architect so I'm certainly not speaking from a point of a professional…..
Ms. Zollo - …I don't think that in 1813 they had carwashes like this one.
Mr. Daniele – The point is to not necessarily get that building to match and also again, from a developer's standpoint and Babette's been great and frankly members of the community have been very helpful from a historic consulting standpoint and I think we've worked well together but from a business perspective, we are looking at this and saying we're investing a lot of money by putting it behind an old house that's going to be between the public who we're hoping will know about our carwash and they will but it is an impulsive kind of thing, that's why carwashes are on busy main roads. So when you start talking about how much can you mute a sign, how small can a sign be? The building itself is not a very flashy building, it's a decent size building but from a perspective, it's still behind the old building. So while it is 4 ft taller, I believe the number is, from a perspective standpoint, it's not going to look….it's certainly not going to be towering over the old house. A matter of fact from the road, the old house is actually going to look taller than the carwash.
Chairman Santoro – When I go to a carwash, that's a destination. I don't just stop in passing by a carwash.
Mr. A Daniele – You'd be surprised, our business is probably about 60% destination and probably about 40% of people driving by and it's just convenient.
A question was asked from the audience regarding signage.
Mr. A Daniele – There is signage on the building but there is a lollipop sign….
Chairman Santoro - ….There's one there now that was Cole & Parks (referring to the sign).
Ms. Zollo – So that's going to stay.
Mr. Danny Daniele – This rendering shows one that's there now behind the trees and I think there is one sign here. The second sign is behind that Cole & Parks building, frankly I think the only way you will really see it is once you turn into Rowley Rd and you pass the Cole & Parks building, that's when you would then see it. Like my brother was saying, we're already a little behind the 8 ball because we're behind that building so most people driving by won't see that classic white sign. We could maybe do a dark navy blue almost like a black logo lettering.
On the picture that you see the building located on the Monroe Ave site, that one is right front and center and you can see everything from 20 ft away because there is nothing blocking it. On this site, we're nestled behind the existing Cole & Parks building up on the knoll where it's a little more difficult to see that flashy sign.
Mr. Logan – Honestly, when I first saw the latest rendering that you had of the building, I thought it was red barn board siding, not brick. When Babette brought up brick, I thought it was going to be a big red brick barn. I look at this as a big barn that complements the Cole & Parks, not take away from it. It looks like it belongs there more so than the first rendering that you had last year sometime.
Ms. Zollo – What can we do about the lighting? Babette what would you like to see as far as light fixtures?
Ms. Huber answered from the audience and was inaudible.
Mr. Logan – Something more historic looking?
Ms. Zollo – Those look really modern.
Mr. D Daniele – Our intent is to model in a sense, a bit of the Cole & Parks where they have the gooseneck lights over some of the sign and gooseneck lights are a similar fashion to what type of lighting that we're going to have on the sides of the building.
Mr. Logan – Were we talking more about the pole lighting? (Ms. Zollo confirmed) If those could be more period looking. If you go down by Doodle Bugs (day care center on Route 96), that whole area has period lights all over it.
Mr. A Daniele – If you look at the actual picture from Monroe Ave, there's two trains of thoughts. If you use a….now with these LED lights, they are very thin profile, I think in the rendering it shows like a grayish almost silver color which frankly does stand out. The pole lights are painted either a dark brown or black, whatever a dark color, very thin profile. Generally they just loose themselves, you won't see them. That doesn't mean you couldn't go with a more historic looking structure that has more mass and stands out. I know that when Dave (Cox) designed it as well and we actually complained to him that there was no lighting in the front of the Cole & Parks building and his reasoning was he didn't want to put a big light pole in front of the building. The poles that we're talking about are farther in the back. I guess we're open to taking a look at some other examples but generally speaking, it's designed on purpose so that you don't see them. They're not supposed to be light fixtures that you see. There are also, I believe, a couple of light fixtures that are remaining that are in the more historic nature. The ones that are along the side, I think they are owned by the Town. So those are the ones you're actually going to see from the road.
Mr. Cox – In this picture there is a light pole near the sidewalk, that's staying.
Mr. A Daniele – And that's more historic looking or Village like. It's not a very good light producer.
Mr. Cox – When you're talking lights, those Village type lights don't do near as good of a job as the parking lot lights. The higher up the light pole, you get a better even distribution and you
don't get the hot and cold spots. So you get an even distribution. It makes it look nicer and safer and you don't have as many light poles. If you use the other kind, you have to…..
Chairman Santoro -…..We're trying to avoid tall poles like that.
Mr. Cox – A lot of time when the light is out of your view, where you don't see it…..
Chairman Santoro – ……..Go over to East View Mall and tell me that.
Mr. Cox – They're not that tall. They are within your code, 25 ft.
Mr. Logan – Walmart is 25 ft and they insisted on poles like at East View Mall and we said no and it's a whole lot darker at Walmart than it is at the mall and its much lower intensity. There's one light fixture that you may want to replace anyways, I'm looking at Google Earth street view and the fixture looks like its seen better days. So it is kind of period lighting. I don't know what the lighting is for. If people are just driving through, they're stopping….you might need a light where there's parking for the office building and you might need some lights near the building where you're parking to vacuum. But do you need all of that light around the site anyway? It seems there's a lot more light than you need for a drive thru. You're going through, you're cleaning, they're towel dried off and you drive on your way. You need lighting for that task area for towel drying and maybe entrance and exit.
Mr. A Daniele - You have people driving very close to each other, granted not at a high speed but you need something pretty much for all of the paved area, it needs to be pretty well lit. You also have employees standing outside the building. This time of year where it's getting dark at 4:00-5:00, not like at 9:00 and who cares. At 4:30-5:00 we care. I don't think it's over lit, I think it's done to the basic standards of a normal parking lot lighting would be.
Mr. Logan – I don't look at this as a parking lot, I look at it as a drive thru. You need task lighting where there are people and I hope they are wearing reflective gear at least for that in the night but elsewhere around it, it's a pull thru. I don't see Starbucks with all of that when I drive through there. Those are my comments on lighting. I don't see a need for taller pole lights, more period lighting in the area just to light up certain spots.
Mr. Pettee – We had an opportunity to look at an updated utility plan that Passero provided to us yesterday. This utility plan has to do with the sanitary sewer. Previously we had mentioned that the Town's sanitary sewer system was going to have a hard time accommodating the flows coming from this project. The applicant's design professional has proposed a holding tank with about a 1" orifice and we want to work with you on some details. Their rates of discharge, the Town will be able to accommodate the rate of discharge with what they've proposed with this updated utility plan. I think our immediate concerns with PS28 have been resolved with what they are currently proposing. We've got a few minor details that we want to work out with them with this proposal. But in concept I don't see anything that's standing in the way in regards to sanitary sewer.
A couple of other items that we wanted to call the Planning Board's attention to, I don't think they are show stoppers by any mean but I just wanted to bring them up. The landscaping plan and the existing conditions and demolition plan now identifies what trees are going to remain and what trees are going to be taken down. There's a dead pine tree in front of the existing Cole & Parks building, it's in the NYS DOT right of way. That dead tree, it looks like based on this plan set, they are going to take that tree out by coordinating with DOT. They will get a permit with the DOT and replace that tree. I think there might even be some additional trees to be removed. There was an updated plan from Kim's office that showed some additional trees that might be removed in the right of way.
Ms. Kinsella – Actually, I think Brian had sent it to Cathy (Templar) today and was dated December. It showed the irrigation lines along with some plantings out in the right of way for Route 96. We just wanted the Planning Board to be aware of that and talk about it and I think Brian (Emelson) can talk about the irrigation lines that are proposed.
Mr. Brian Emelson, Director of Parks & Recreation – We met with the applicant prior to this meeting in October of last year. The Department maintains the four corners flower beds as well as the Parks' Cemetery across the street from the proposed carwash. We discussed with the applicant the removal of dead trees that you've talked about already as well as adding an additional flower bed on the southwest side of the parcel to provide a buffer between the cars as they came through the carwash, it's on the plan that you have. The applicant also proposed obtaining a highway work permit from the DOT and running irrigation to the existing flowerbed on that corner as well as proposed new flowerbed.
Mr. Pettee – Generally, just to bring our new Planning Board member up to speed, with anything that is done off of this particular parcel of land, for example that landscaping, I think the Planning Board is pretty limited as to what we can approve. We probably can't even approve the landscaping that's going on off of this particular parcel because the site plan has to do with the location and range of features on the parcel of land itself.
Mr. Emelson – We incumbent upon them to make that agreement with the DOT on behalf of our Department.
Mr. Pettee – A question that I had for you on the grading plan; the retaining wall and the curb on the north side of the parcel. We were a little bit confused and maybe we'll have to talk off line as to how that retaining wall is going to be installed. We see some top of wall elevations and bottom of wall on two different sides of the wall. In one location there's just top of wall/bottom of wall on the outside but nothing on the inside. Is there any description that you can provide for us here?
Mr. Cox – On the property side, the inside is just going to be a typical 6" high curb. On the other side is where it will have a 1ft or 2 ft retaining wall.
Mr. Pettee – Alright and then on the updated lighting plan, it looks like there might be some hot spots. It looks like these might be footcandle measurements perhaps. For example you have a 69.3 and then maybe 23 ft away, you've got 3 footcandles. So we'll have to take a look at that. Are there any questions for LaBella?
Chairman Santoro asked about LaBella's letter dated December 6 th .
Mr. Pettee – All of these issues are identified in our letter.
Mr. Logan – I'm just looking at the double fixture right next to the Cole & Parks building. Do you really need a large light fixture? Can you have more of a pedestrian level light fixture there, that's why you're getting such a huge amount of light in that space.
Mr. Cox – Yes, we could have more of a residential style right there.
Mr. Logan – If you look at the lights that the Town has at the corner, that's a very nice period look. That would complement everything around that whole site. It's a historic building, it's the historic character that we're trying to enhance with the lighting rather than the tall mass lights. That would resolve your 6' to 3' comparison on light intensity right next to the building.
Chairman Santoro – Originally, we were going to do a resolution but there are so many amendments that have been written into it at this point, we're going to have to take a step back and make sure this is in proper form. So at the next meeting we'll have a resolution for you.
Mr. Pettee – I have a question, some of those proposed amendments that I was writing in tonight, for example we noted that we wanted to have the applicant submit a design sign package for review and approval by the Planning Board. Is that something you want to ask them to provide prior to the next meeting so that you can act on that as well?
Chairman Santoro – Can you do it?
Mr. Logan – The thing that they need speed on is probably the building, not the signs. You can have the signs at a later meeting.
Mr. Gallina – A condition of approval….
Mr. Logan – I don't know if you even need that so much as they can't have signs until they are approved.
Mr. Gallina – Exactly and we've done that on other developments.
Mr. Logan – So rather than stress you out and have to have a sign package in 2 weeks, you can wait until you're ready.
Ms. Templar asked Mr. Emelson for a formal request of what he was asking the applicant for. It was noted that due to the location being in the DOT right of way, that the Planning Board would not be able to act upon it.
Ms. Kinsella – I think that as part of approval, they would need to provide that DOT permit before they started construction of those planting sites and irrigation lines.
Mr. Pettee – What I did write into this resolution was for the applicant to provide the Planning Board a copy of the DOT permit.
Ms. Kinsella – What they are proposing to install is within the DOT right of way which we have no authority over. At the next meeting we'll act strictly upon the draft resolution.
Chairman Santoro asked if there were any comments from the audience.
Mr. Greg Franklin from 55 Barchan Dune Rise – I liked Mr. Logan's comment about the barn siding as opposed to the brick but that's not why I wanted to comment. I'm concerned about the noise from a carwash. There are dryers and the dryers have considerable amount of noise. I'm actually a customer of your Monroe Ave facility and there is a lot of noise that comes out of the dryers there. I'm wondering what sort of mitigation you might have in mind there whether you're using particularly low noise dryers. I also note that the exit at the east side of the building is more or less facing right towards a residence that's just a little bit around the bit and that's going to be incredibly noisy for the people who have that house there and the noise will propagate upwards and be around to the rest of the neighborhood. It's considerably noisy and wonder what efforts you're taking.
Mr. A Daniele – I believe that question actually came up via an email to the Town. (Mr. Franklin stated it was his email) Did you get the stuff I sent back to the Town (No) Normally responses to emails, etc. are not sent back to the resident but discussed in the Planning Board meeting. I'll make sure that you get that but we actually did a sound study for our Greece location and provided that back to the Town showing exactly what the decibels are, how far from the building. Since that wash, I mean we do have a slightly better technology, they're called gators so that when the cars are not being dried, there is a flap that closes and the thing still spinning but it's making less noise. So the actual sound study we did doesn't even take that into account but in fairness it takes the worst case scenario. The long story short is on the side facing Route 96 or Rowley, you actually won't hear the blowers. The traffic is actually louder than what you'd hear from the building and most of the sound, you are correct, comes out of the exit of the wash because that's where the blowers are and it's a tunnel so it kind of has that effect of projecting kind of a narrow sound field out. But there are also quite a few trees between the exit of the wash and the residence that you're talking about and the residence that you're talking about is off set to the south so it's not a straight shot out. If you look at the sound readings as you get farther from the building, that resident shouldn't hear anything from the carwash besides a honking of a horn. A honking of a horn would be louder than the sound of the blowers at the end of the wash.
Mr. Pettee – Regarding the sound, would you by chance or David maybe you'd have an idea, would you have a comparison to the sound that this project might make versus the traffic on the adjoining thruway? You might not have the answer tonight but maybe the next meeting you'd be able to let us know.
Mr. A Daniele – On the study that we provided, it actually has readings from, in that case it was West Ridge Road, but the sound of traffic driving down West Ridge Rd which I would assume the Thruway is even louder or at least comparable, louder, whatever but it's in decibels, it's a technical study not just somebody's opinion.
Mr. Logan – What's the latest in the evening that you'd be open? (9:00 pm) You're still getting considerable thruway traffic at that point. It dies down by 11:00 – 11:30.
Mr. A Daniele – I think the earliest we open is 7:00 am and the latest we close is 9:30.
Mr. D Daniele – We measured from the exit end of the carwash to the residence and from that residence to the thruway and its closer to the thruway than it is to the exit of the carwash which means they would hear the traffic on the thruway before they even get to that decibel level. I don't even know what that decibel level is that far away. I don't think we measured past 100 ft.
Mr. Franklin – It's not that the thruway noise would buffer the carwash noise, its additive. The carwash noise would be in addition to what you hear from the thruway. So I'm not sure saying the thruway is louder than the carwash answers the question.
Chairman Santoro – How about the exhaust fan on the Burger King?
Mr. Logan – Well the exit from your building is approximately 540 ft to that resident's house and the thruway is 243 ft. You're right it's about double the distance to the carwash.
Mr. A Daniel – And there's trees.
The discussion ended.
MISC ITEM
LSI SOLUTIONS CREEKSIDE - 90 DAY EXTENSION REQUEST
7796 State Route 251
Appl. No 11-SP-17
Owner – Route 251 Acquisition LLC
Zoned – Light Industrial / Route 96/251 Corridor Overlay District
Acres – 34
SBL# 15.01-1-6.000
MRB on behalf of LSI Solutions Inc is requesting their first 90 day extension of the June 27 th approval to construct a 67,200 sf office/warehouse building on their 34 acre parcel. Property is owned by Route 251 Acquisition LLC and is zoned Light Industrial
Chairman Santoro – This is for LSI's first 90 day extension. If no objection, I have a resolution to read for this.
RESOLUTION
On motion made by Joe Logan, seconded by Heather Zollo
WHEREAS, in a letter dated December 18, 2017, Stephen Schultz from MRB Group requested a 90-day extension of time for application titled LSI Solutions, Inc Creekside Building, therefore, be it
RESOLVED, that the Town of Victor Planning Board grants the first 90-day extension of time for LSI Solutions, Inc. Creekside Building.
Approved 5 Ayes, 0 Nays
There was no further discussion.
Motion was made by Joe Logan seconded by Al Gallina RESOLVED the meeting was adjourned at 10:45 PM.
Cathy Templar, Secretary
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"Say not a Christian e'er would persecute a Jew; A Gentile might, but not a Christian true. Pilate and Roman guard that folly tried. And with that great Jew's death an empire died!" 1 Will Houghton, past president of Moody Bible Institute
"...for the first time in more than 2000 years Jerusalem is now completely in the hands of the Jews [this] gives the student of the Bible a thrill and a renewed faith in the accuracy and validity of the Bible...." 2
L. Nelson Bell, Billy Graham's father-in-law, speaking for the Evangelical Christians on July 21, 1967, hailing Israel's Six Day War victory "The evangelical community is the largest and fastest growing block of pro-Israeli, pro-Jewish sentiment in this country." 3
The late Rabbi Marc Tannenbaum, the American-Jewish Committee's national interreligious affairs director, 1981
"Your [Christian] sympathy, solidarity and belief in the future of Israel—this to us is tremendous. We consider you part of the fulfillment of the prophetic vision expressed by Zechariah in Chapter 14. Your presence here will always remain a golden page in the book of eternity in heaven. May the Lord bless you out of Zion." 4
Chief Rabbi Shlomo Goren, 1980
"Indeed, the manifestation of growing support from our Christian friends all over the world was a source of encouragement to me and my colleagues." 5
12
Israeli Prime Minister, Menachem Begin, 1983
CHRISTIAN ZIONISTS PAST AND PRESENT
Do true born-again Christians really love Israel? Can we be sure Christian Zionism is not just a lot of talk? How? By putting our money where our mouth is. At the 1990 Christian Feast of Tabernacles held at the Benyenei Ha Uma Auditorium in Jerusalem, where 5000 Christians from many different nations came to express their support for the State of Israel, Prime Minister Yitzhak Shamir was presented with a check for one million dollars to help Soviet Jews come to Israel. Many Israelis were amazed to see that Christians could love Israel so much. Being born-again is just what it means.
1Elwood McQuaid, "The Biblical Injunction." Israel My Glory, Apr.-May 1993, p. 6, © used by permission.
3Ibid, p. 83. O'Neill and Wagner's source was the Washington Post, Mar. 23, 1981.
2Dan O'Neill and Don Wagner, Peace or Armageddon. Grand Rapids, MI : Zondervan Publishing House, © 1993, p. 81, used by permission. [ ] mine. O'Neill and Wagner's source was Christianity Today, July 21, 1967.
4"The Press of Israel on the International Christian Embassy Jerusalem," Jerusalem: International Christian Embassy.
5Ibid.
A representative of the International Christian Embassy presents Israeli Prime Minister Yitzhak Shamir with a check for one million dollars to help Russian Jews emigrate to Israel.
ALL PROTESTANTS ARE NOT TRUE-TO-THE-BIBLE SUPPORTERS OF PROPHECY AND ZIONISM
Before we list the true believers who have extended a helping hand to Jews throughout the ages, we would like to emphasize that many "Protestant" reformers who emerged from Catholicism, either mistreated the Jews, 6 or worse, killed Christian Zionists. 7 The true believers, the millennial Zionists or pre-millennialists, as they are sometimes called, have a virtually sterling record in their love and support of the Jew, as they adopt the New Testament commands in this respect. The command of love toward the Jew is one of the most important facets of their faith and loyalty to Jesus! These were and are Christians who believed the Jews would return to Israel before Jesus returns to set up a 1000-year (millennial) kingdom (Matt. 19:28).
Hal Lindsey, in his well-known book, Road to Holocaust, defines the Christian pre-millennial faith: "One of the fundamental elements of a Premillennialist's faith is that God has bound Himself by unconditional covenants to the Jews and that even though they are currently under His discipline He will punish anyone who mistreats them. As God swore to Abraham and reconfirmed to his successors, 'I
6For an illustration of this, see Martin Luther's anti-Semitic publication, Concerning the Jews and Their Lies, written in 1544. For English excerpts of this see Regina Sharif, NonJewish Zionism, p. 21; and Hal Lindsey, The Road to Holocaust, p. 23.
7Regina Sharif documents the persecution of these Christian Messianic Zionists by Lutheran and Calvinist sects. She writes: "On the Continent messianic hopes were voiced by...the Anabaptists...but Lutheran and Calvinist official churches ruthlessly persecuted them as disruptive heretical forces....In Holland and Switzerland, a few messianic sects survived at the price of adopting a certain measure of conformity. In Germany, they were stamped out when Lutheranism had achieved a position of equality with Catholicism to form an alliance with the established order." Regina Sharif, Non-Jewish Zionism, p. 17. Several eyewitness accounts of this persecution of true believers are recorded in John T. Christian's book. He documents: "Henry VIII was already interested in the extermination of the Baptists, and his zeal extended to foreign lands. He extended his help in exterminating the Baptists in Germany....The Baptists died with the greatest fortitude. Of them Latimer says: 'The Anabaptists that were burnt here in divers towns in England...went to their death, even intrepid, as ye will say, without any fear in the world, cheerfully....'...In October, 1538, the king appointed a Commission composed of Thomas Cranmer, the Archbishop of Canterbury, as President...to prosecute the Anabaptists....the books of the Baptists were burnt wherever they were found....'...Anabaptists, and the like, who sell books of false doctrine, are to be detected to the king or Privy Council'....All strangers who 'lately rebaptized themselves' were ordered from the kingdom, and some Baptists were burnt at the stake....In the reign of Edward VI (1547-1553) the laws against the Baptists were enforced, and the two persons burned at the stake in this reign were Baptists....criminals were pardoned, but to be a Baptist was a grave crime." John T. Christian, A.M., D.D., LL.D., A History of the Baptists: Together With Some Account of Their Principles and Practices, Vol. I, pp. 191-193, 196.
will bless those who bless you, and whoever curses you I will curse....' " 8
Lindsey goes on to show that the original church of Jesus' day taught and authorized these beliefs: "...the early Church...firmly believed that Israel was yet to be redeemed as a Nation and given her unconditionally promised Messianic Kingdom. They [the early Church until Augustine] believed that this theocratic kingdom would be set up on earth by Christ at His Second Coming, and that it would last for a thousand years. This teaching was called the doctrine of Chiliasm. (Chilias [] is the Greek word for one thousand. The term chiliasm meant the belief in a literal one thousand year Messianic Kingdom on earth.)" 9
Many of these individuals who espoused Chiliasm wrote books on the return of Jewry to Israel hundreds of years before it began to occur. Later, during the Holocaust, they saved Jews and Jewish children, at the risk of their own lives. 10 Indeed, some died in this service 11 when they were caught by the Nazis and murdered for helping Jews escape Hitler.
Lindsey further details: "Premillennialists believe that Christ will return to the earth with a cataclysmic judgment of the whole world. He will then separate the surviving unbelievers from the believers, casting the unbelievers off the earth directly into judgment (Matthew 25:31-46).
"Premillennialists believe that the Lord Jesus will at that time remove the curse from nature and restore the earth to its original presin condition during the one-thousand-year Messianic Kingdom (Isaiah 65:17-25; Romans 8:18-25, etc.).
"The believers who survive the seven-year Tribulation period will be taken as mortals into a global Theocratic Kingdom over which
8Hal Lindsey, The Road To Holocaust, p. 2.
10Sholem Asch, Jewish scholar and writer, remarked concerning: "...events associated with the Nazi period....Christianity also distinguished itself, in the particular of rescuing Jewish children, by the highest degree of self-sacrifice. It may be stated without exaggeration that almost the entire remnant of Israel which was found in the liberated countries—no matter how small its number—has the Christians to thank for its preservation, Christians who, by performing this action, placed their own lives in danger." Arthur W. Kac, The Messiahship of Jesus, p. 18.
9Ibid, pp. 10-11. First [ ] mine.
11Several of these cases were related to me by Arieh L. Bauminger, a rabbi, Holocaust survivor and former keeper of Yad VaShem (Israel's Holocaust Memorial Museum). I interviewed him in Israel regarding the number of righteous Gentiles who saved Jews, in connection with his famous work, Hasdi Umot Ha Olam, now translated as The Righteous Among The Nations.
Jesus the Messiah will reign for a thousand years. He will reign on the Davidic throne from Jerusalem.
At this time, the believing survivors from the physical descendants of Abraham, Isaac, and Jacob will receive all the things promised to them in the Abrahamic, Palestinian, Davidic, and New Covenants. (These will be defined in chapters four and five.)
Premillennialists also believe in a distinct, sudden snatching out of believers to meet the LORD in the air. In this event, believers will be instantaneously transformed from mortality to immortality without experiencing physical death (1 Corinthians 15:50-53; 1 Thessalonians 4:13-18, etc.). This is commonly called 'the Rapture.' The Church will return to the earth with Christ at His Second Advent in immortal form to reign with him as priests during the millennium." 12
In this particular work, Hal's arguments were directed against the Christian Reform Movement and Dominion Theology, which deny the biblical truth about the millenium. We agree!
A CHECKLIST ON PREMILLENNIALISTS—THEIR HISTORY, BOOKS, AND DEEDS
Now that we have finished reading about the Church of Rome and their commission of some of the most atrocious acts ever recorded in history, 13 let's look at some of the good and loving deeds performed by those who claim to be true followers of Jesus.
Seemingly unknown to history, in the past several hundred years there were many true believers who, in the face of Catholic persecution, stood up for the rights of the Jews, as God's people, to return to their homeland! Many of these people risked and even lost their lives protecting and saving Jews from their Roman Catholic persecutors. Thus we as ardent searchers for history's hidden truths, should list these brave born-again heroes of the faith. And in so doing, not only honor these heroes, but uncover for ourselves the other side of the coin.
Few are aware of the "underground true believers" and their deeds, books, and love. While the Roman Catholic Church was murdering innocent Protestants and Jews, there was an effort of true Bible believing Christians to teach the precious truth of Bible prophecy, in order to save Jews, and organize movements, which would allow their desire to return to Israel to become a realistic possibility. It is also our strong assertion that just as Roman Catholicism has been historically noted and condemned for its vicious persecutions of Jews, space in this historical record should be taken to recognize and commend the true believing Christians for saving the
12Hal Lindsey, The Road to Holocaust, pp. 30-31.
13In our chapter 10, "Early Christian History Versus Catholicism."
Jews and advocating the literal fulfillment of the prophecies which predict the Jewish return to Israel. We believe this heritage of true believers has yet to be documented and credited in popular layman's terms.
WHO WERE THE CHRISTIAN ZIONISTS?
The great theologian, Thomas Brightman (1562-1607), stated in his Apocalypsis Apocalypseos: "...the Jews as a nation shall return again to Palestine, as the land of their early Fathers...." 14
Joanna and Ebenezer Cartwright, Puritans who lived in Amsterdam, wrote a petition which was sent to the government of England in 1649. In it were these words: "That this Nation of England, with the inhabitants of the Netherlands, shall be the first and the readiest to transport Israel's sons and daughters on their ships to the land promised to their forefathers, Abraham, Isaac and Jacob for an everlasting inheritance." 15
Michael Servetus and Francis Kett of England, who wrote about the restoration of Jews as God's chosen people, to their land, Israel, were burnt alive at the stake by "Church" authorities for their unwillingness to recant their faith. These faithful were branded as Christian Judaizers and burnt with fire until dead in 1553 and 1589. 16
Isaac de La Peyrere (1594-1676), the French Ambassador to Denmark, was the leader of a large group of Christian Millennial Zionists in France. La Peyrere wrote a book entitled, Rappel des Juifs, calling for the "Restoration of Israel as the Jewish nation in the Holy Land." 17 He sent this treatise to the French government. This work was only allowed into publication two centuries after he wrote it, when Napoleon requested that the Jewish Sanhedrin be reestablished in 1806.
In 1655, Paul Felgenhauer (1593-1677) of Germany, published a book entitled Good News for Israel. In this book he: "...maintained that the Second Coming of Christ and the arrival of the Jewish Messiah were one and the same event. The sign that was to announce the advent of this Judaeo-Christian Messiah would be, in typical millenarian fashion, 'the permanent return of the Jews to their own country eternally bestowed upon them by God through his unqualified promise to Abraham, Isaac and Jacob.' " 18
In 1696, Denmark's Holger Paulli submitted a plan to William III of England asking the King to "re-conquer Palestine for the Jews so
14 Regina Sharif, Non-Jewish Zionism, p. 18.
16See Ibid, p. 17.
15Ibid, p. 24. Sharif's source was Don Patinkin, "Mercantilism and the Readmission of the Jews to England," Jewish Social Studies, Vol. 8. © July 1946, pp. 161-178.
17Ibid, p. 27.
18Ibid, p. 28. Sharif's source was Rengstorf and Kortzfleisch, pp. 59-60.
that they might re-establish a state of their own." 19 Paulli called on Europe's Monarchs "to liberate Palestine and Jerusalem from the infidel in order to settle the original and rightful heirs, the Jews." 20 In his plan to the King of England, he referred to the King as "Cyrus the Great and the Almighty's instrument." 21 Cyrus had allowed the Jews to return to Israel from their Babylonian captivity 2600 years ago (Isa. 44).
Germany's Anders Pederson Kempe (1622-89), who became a theologian after leaving the army, was forced out of Stockholm because of his outspokenness regarding German Messianism. In 1688, near Hamburg, he published his book, Israel's Good News, in which he wrote: "You heathen Christians, you let yourselves be persuaded by false teachers, especially the Grandmother of all fornication, Rome, to believe that the Jews were forever disinherited and rejected by God and that you were now the rightful Christian Israel, to possess the Land of Canaan forever." 22 These were statements clearly in defense of the Jews against Catholicism and in support of their right to return to Israel!
MEN OF THE CLOTH, PHILOSOPHY AND SCIENCE WERE ALSO AVID CHRISTIAN ZIONISTS
John Locke, the great English philosopher, wrote in his New Testament commentary on Paul's epistles: "God is able to collect the Jews into one body...and set them in flourishing condition in their own Land." 23
Sir Isaac Newton, the greatest scientist who ever lived, quoted elsewhere in this work, wrote "in his Observations upon the Prophecies of Daniel and the Apocalypse of St. John, first published five years after his death...that the Jews will indeed return to their homeland: 'The manner I know not. Let time be the interpreter.' He even attempted to set up a timetable for the events leading to the Restoration and expected the intervention of an earthly power on behalf of the dispersed Jews to effect their return." 24
Joseph Priestly, the famous chemist who discovered oxygen, was a Zionist. Regina Sharif writes of him: "...Priestly remained convinced that Judaism and Christianity were complementary....His plea to the Jews to acknowledge Jesus as the Messiah was therefore coupled with his prayer that 'the God of Heaven, the God of Abraham,
19 Ibid.
21Ibid.
20Ibid.
22Ibid. Sharif's source was Rengstorf and Kortzfleisch, p. 63.
24Ibid.
23Ibid, p. 36.
Isaac and Jacob whom we Christians as well as you worship, may be graciously pleased to put an end to your suffering, gathering you from all nations, resettle you in your own country, the land of Canaan and make you the most illustrious...of all nations on the earth.' " 25
James Bicheno published his work, The Restoration of the Jews, The Crisis of All Nations, in 1800. In 1802, Jung-Stilling, the famous eye specialist, wrote in his book, Das Heimweh von Heinrich Stilling: "...'God has proclaimed through the prophets of old that the people of Israel would be scattered throughout the world. Who can deny that this has taken place? Yet the same prophets have prophesied that in the latter days God would gather his people again from the four corners of the earth, and bring them back to the land which he promised to their fathers long ago to be an everlasting possession....The land of Palestine will again become the possession of the Jewish people.' " 26
In 1894, William Hechler, the chaplain of the British Embassy in Vienna, an Evangelical Christian and the closest friend of Theodore Herzl (the father of modern political Jewish Zionism), wrote in his book, The Restoration of the Jews to Palestine, of "...'restoring the Jews to Palestine according to Old Testament prophecies'. " 27 This book predates Herzl's great work Der Judenstaat by two years. Herzl spoke fondly of the chaplain in his diary. Hechler often expressed his "great love" 28 for the Jewish people.
MILTON, AUTHOR OF PARADISE LOST, A ZIONIST?
John Milton, in his celebrated Paradise Regained, wrote of Israel's restitution. However, few may recall his exact words, which were: "Yet He at length, time to himself best know Remembering Abraham, by some wondrous call May bring them back...." 29
Sharif grudgingly documents Milton's deep fundamental prophetic faith: "Milton stated it clearly: Israel would be restored to Palestine, not by conquest but rather by some supernatural event. His De Doctrina Christiana (not published until 1825) testifies to Milton's own millenarian convictions and belief in Israel's revival." 30
25 Ibid, pp. 36-37.
27Regina Sharif, Non-Jewish Zionism, p. 71.
26Kurt E. Koch, The Coming One. Grand Rapids, MI: Kregal Publishing, © 1972, p. 88, used by permission. This book was first published in German under the title Der Kommende, © 1971.
28Ibid.
30Ibid.
29Ibid, p. 34.
BROWNING'S ZIONIST POETRY
The well-known English poet, Robert Browning, was also a true believer in Jesus! As a Millennial Zionist Christian, he made his points of view known in his poetry. He was an expert 31 in Jewish literature and often read the Bible (Old Testament) in the original Hebrew. In Browning's poem "The Holy Cross Day," written in 1855, he beautifully illustrates his enthusiastic faith in the return of Jews to Israel, according to Bible prophecy. A portion of this poem reads: "The Lord will have mercy on Jacob yet, And again in his border see Israel yet, When Judah beholds Jerusalem, The strangers shall be joined to them; To Jacob's House shall the Gentiles cleave, So the Prophet saith and the sons believe." 32
OLIPHANT'S ZIONIST IDEAS RAISE HOPE IN THE GHETTOS
Laurence Oliphant of England (1829-1888), though he may be unknown to most of the world, is honored in Israel to this day. An Israeli reporter, Beth Uval, noted: "His parents were fanatically religious and raised him with...Evangelical strictness...." 33
Oliphant was known for being "the only Christian member of the English Hovevei Zion branch [a Jewish Zionist charter]." 34 Later in his life he settled in Haifa, Israel. He lived there in 1882 with his wife, Alice. 35
In an article which pictured a street named for him in Jerusalem, Uval, in the March 1989 Jerusalem Post, wrote: "Oliphant became interested in Zionism....His interest was based on...the belief, prevalent in the Evangelical circles in which Oliphant grew up, that the Jews' restoration to Jerusalem was a prerequisite for the Second Coming of the Messiah....Oliphant's efforts to obtain a Turkish concession for Jewish settlement in Palestine took him to Damascus and the Sultan's court in Constantinople (in 1879)....Oliphant's public support for the Zionist idea raised high hopes in the ghettos of Eastern Europe, and he was inundated with letters calling him 'Redeemer' and 'the second Cyrus.'
Laurence and Alice Oliphant settled in Haifa toward the end of 1882. Their Hebrew-language secretary was Naphtali Herz Imber, who wrote 'Hatikva' [The Hope—Israel's national anthem]...." 36
31Ibid, p. 45.
33Beth Uval, "An Oliphant Not Forgotten," Jerusalem Post, March 3, 1989, © used by permission.
32Ibid.
34Ibid. [ ] mine.
36Ibid. [ ] mine.
35Ibid.
A Jerusalem Post article by Beth Uval, featuring Laurence Oliphant, a nineteenth century Christian Zionist. The photo is of a street in Jerusalem named for Oliphant.
GEORGE ELIOT FORESEES AND ENCOURAGES THE EXISTENCE OF ISRAEL
The famous English novelist, George Eliot, 37 who may be familiar to you from your high school English literature classes, made a landmark contribution to what we are calling the "Christian Zionist Movement," as a millennial Zionist! She was a true believer who loved, supported and encouraged the Jews in their right to reestablish the State of Israel! In 1874, she began writing Daniel Deronda. Sharif describes the novel as follows: "Eliot's debt to...Evangelism, though unacknowledged, must be considered. The Gentile author created in Daniel Deronda a true Zionist hero who discovers for himself his Jewish nationality and heritage.
The novel represents the apex of non-Jewish Zionism in the literary field, the culmination of a long tradition that began with the Protestant idea of Restoration....George Eliot....was a deeply religious Christian...caught up in the full tide of the Evangelical movement....She regularly visited Jewish synagogue meetings and....met Moses Hess, the Jewish Zionist....[of her novel Daniel Deronda, Sharif comments] Daniel Deronda displays the possibility of having contemporary Jewish prophets and leaders as in ancient times. The heritage of the Jews is presented as most worthy of rediscovery and accepted as a way of national revival and final redemption. She strongly believed that 19th Century Jews in Europe were renouncing their own unique national heritage by striving for assimilation and amalgamation with other nations.
Daniel Deronda was the 'literary introduction' to the Balfour Declaration....[part of Eliot's Daniel Deronda reads] 'There is store of wisdom among us to found a new Jewish polity, grand, simple, just, like the old—a republic where there is equality of protection, an equality which shone like a star on the forehead of our ancient community, and gave it more than the brightness of Western freedom amid despotisms of the East. Then our race shall have an organic centre, a heart and a brain to watch and guide and execute; the
37George Eliot was the pen name used by Mary Ann Evans to increase her readership. In her day, the literary works of men were more widely read and respected than those of women. The Jewish Encyclopedia says that George Eliot was: "...a friend of the talmudic scholar Emanuel Deutsch, and began to study Hebrew and to show an interest in Jewish matters at an early age. Daniel Deronda (1874-76), her celebrated 'Zionist' novel....the hero of this novel, after discovering his Jewish identity only in his 20's, eventually leaves for Palestine to help 'revive the organic center' of his people's existence. Daniel Deronda influenced the early Zionist thinker Eliezer Ben-Yahuda, and such Hebrew writers as I.L. Peretz and P. Smolenskin....George Eliot discussed the Jewish question again in 'The Modern Hep-Hep' a strong attack on anti-Jewish prejudice published in a collection of essays entitled Theophrastus Such (1878)." The Encyclopaedia Judaica Jerusalem, Vol. 6. Jerusalem: Keter Publishing House Ltd., © 1971, pp. 663-664, used by permission.
outraged Jew shall have a defence in the court of nations, as the outraged Englishman or American. And the world will gain as Israel gains'...." 38
Eliot, in 1879, wrote in "The Modern Hep, Hep, Hep": "The hinge of possibility is simply the existence of an adequate community of feeling as well as widespread need in the Jewish race, and hope that among its finest specimens there may arise some men of instruction and ardent public spirit, some new Ezras, some modern Macabees, who will know how to use all favouring outward conditions, how to triumph by heroic example over the indifference of their fellows and foes, and will steadfastly set their faces toward making their people once more one among the nations." 39
"ELIOT'S" (EVANS') SEVENTEENTH CENTURY FEAT—AN EXAMPLE FOR ALL EVANGELICALS TO FOLLOW IN THEIR ZIONIST SUPPORT OF ISRAEL
Quite a feat of inspirational support for a nation yet to exist, coming from this famed true believer in Jesus, isn't it? An example for today's Evangelical Millennial Zionists, found among the Baptists, Church of God, 40 Plymouth Brethren and several other denominations, who cheer Israel on in total agreement with the prophecies found in the Old and New Testaments of the Bible!
PROFESSOR POPKIN REMINDS US THAT CHRISTIAN SCHOLARS OF THAT TIME STUDIED HEBREW AND BUILT JEWISH TEMPLES
Richard Popkin tells us in his book, Jewish Christians and Christian Jews: "In the Netherlands, from the 1620's onward Christian scholars were learning Hebrew and were discussing religious points with Jews. Christians were also attending Jewish religious services. Two rabbis became quite involved with Christians in projects of joint concern. Rabbi Judah Leon and the leader of the Collegiants, Adam Boreel, joined forces to construct an exact accurate model of Solomon's Temple. Boreel financed the project to the point of having rabbi Judah Leon living in his house for some years. The Temple model became one of the glories of Amsterdam, was on display in rabbi Judah Leon's garden for years until he took it to England to give
38Regina Sharif, Non-Jewish Zionism, pp. 46-47. [ ] mine.
40The Church of God should not be confused with the Worldwide Church of God, which is a cult. We are referring to the Church of God, such as the one in Atlanta, Georgia with Pastor Paul Walker. This church sticks to the Scriptures and is pro-Zionist. We will recommend Pastor Walker any day.
39Ibid, p. 47.
to Charles II, after which it has still not been traced. They also joined forces in a project, which lasted at least thirty years, on editing the Mishna in Hebrew with vowel points, notes, and translations of the text into Spanish and Latin.
The other rabbi who became important, and much more important, in Christian circles, was Menasseh ben Israel, who was born in La Rochelle, France, was raised in Lisbon, and then turned up in Amsterdam in his teens, and became a teacher of Hebrew. It is not known where he received his education, but Menasseh by the 1620's exhibited a broad knowledge of Jewish and Christian literature." 41
A RABBI OF THE 1620'S TEACHES CHRISTIANS HEBREW, AS HE SHARES THEIR EXPECTATION OF MESSIAH
Professor Popkin tells us: "We find in the late 1620's that Menasseh was teaching Christians Hebrew and that they were consulting him on various subjects. He became the first Hebrew printer in The Netherlands, and was an important bookseller, obtaining Hebrew books for Jewish and Christian scholars from Poland, Italy and the Levant....one finds Menasseh in contact with all sorts of learned Christians, people coming from various countries to hear him preach and to confer with him....He became friendly with John Dury, the Scottish Millenarian who was preacher for Princess Mary. He was in contact with the leading mystical Millenarians, and apparently shared their expectation....Boreel started the publication project with his work with rabbi Templo on the Hebrew text of the Mishna, (finally published in 1646 by Menasseh, and paid for by Dutch Millenarians). Menasseh's name was listed as editor instead of Boreel, because as Boreel explained the Jews would not buy the edition if a Christian was the editor. One of the reasons for the Mishna project is that the texts include the most exact descriptions of the Temple and the ceremonies held therein. This would be crucial information if Jerusalem was about to be restored....When Menasseh came to London in September 1655 he was wined and dined by leading English Millenarians. Robert Boyle's sister, Lady Ranlegh had dinner parties for him. Adam Boreel, the leader of the Dutch Collegiants, came to London and held a dinner for him with Boyle and Henry Oldenburg." 42
41 Jewish Christians and Christian Jews. Dordrecht, Holland: Kluwer Academic Publishers, © 1994, p. 59, used by permission. Richard H. Popkin and Gordon M. Weiner, editors.
42Ibid, pp. 60-61, 63.
A BELIEVER OF THE 1600'S FINANCIALLY BACKS A HEBREW PRESS, WHILE PUNISHING THOSE WHO ACCUSED THE JEWS
Allison Coubert reminds us of this little known fact: "...von Rosenroth spent his entire adult life in the service of Christian August of Sulzbach; for Christian August had equally wide interests and ecumenical sympathies. Not only was he intrigued by the Christian Hebraica to the point of subsidizing a Hebrew press, but his policy toward the Jews, whom he invited to settle in Sulzbah in 1666, was both liberal and protective. The charge of ritual murder was brought against the Sulzbach Jews twice during Christian August's regime, in 1682 and again in 1692. On both occasions he actively combatted the charges and ordered corporeal punishment for anyone bringing false accusations against Jews in the future....it is apparent that seventeenthcentury Europe was criss-crossed by networks of millenarian Christians...." 43
A MEMORIAL PRESENTED TO PRESIDENTS HARRISON AND WILSON—GIVE PALESTINE BACK TO THE JEW
Arthur Kac documented: "On March 5, 1891, William E. Blackstone, of Chicago, presented a memorial to President Harrison on behalf of Israel's restoration to the Holy Land. This was signed by over five hundred of America's leading Protestant clergymen, civil leaders, editors, and publishers. In 1917 Mr. Blackstone repeated his effort, reintroduced his memorial, and that time sent it to President Wilson. Part of the memorial reads as follows: 'Why not give Palestine back to them [the Jews] again? According to God's distribution of nations it is their home—an inalienable possession from which they were expelled by force. Under their cultivation it was a remarkably fruitful land, sustaining millions of Israelites, who industriously tilled its hillsides and valleys. They were agriculturists and producers as well as a nation of great commercial importance— the centre of civilization and religion.
'Why shall not the powers which under the treaty of Berlin, in 1878, gave Bulgaria to Bulgarians and Servia to Servians now give Palestine back to the Jews? These provinces, as well as Rumania, Montenegro, and Greece were wrested from the Turks and given to their natural owners. Does not Palestine as rightfully belong to the Jews?' " 44
43 Ibid, p. 75.
44Arthur W. Kac, The Messiahship of Jesus, pp. 296-297.
GO BACK TO THE LAND OF ABRAHAM
In 1897, John Stoddard wrote: "In a place so thronged with classic and religious memories as Palestine, even a man who has no Hebrew blood in his veins may indulge in a dream regarding the future of this extraordinary people....'Take again the land of your forefathers. We guarantee you its independence and integrity. It is the least that we can do for you after all these centuries of misery. All of you will not wish to go thither, but many will. At present Palestine supports only six hundred thousand people, but, with proper cultivation it can easily maintain two and a half million. You are a people without a country; there is a country without a people. Be united. Fulfill the dreams of your old poets and patriarchs. Go back,—go back to the land of Abraham.' " 45
PROPHECY IN MODERN HISTORY
Concerning today's evangelical love and support of Israel among the millennial Protestants, in their lineage and in relation to their counterparts of centuries past, Regina Sharif says: "One of the most definite effects of the Protestant Reformation was the emerging interest in the fulfilment of Biblical prophecies concerning the End of Time. The core of millenarianism was the belief in the Second Coming of Christ whose return would establish God's kingdom on earth, which was to last for 1,000 years (that is, a millennium). Millenarians regarded the future of the Jewish people as an important element in the events to precede the End of Time. In fact, the literal interpretation of the apocalyptic writings in the Bible led them to conclude that the Millennium was to be heralded by the physical Restoration of the Jews as a nation (Israel) to Palestine....PreReformation semi-sectarian minority movements expressing millenarian yearnings had to remain underground. They were persecuted and suppressed by the Church in Rome and their teachings were branded as heresies....it [millenarianism] did maintain a certain presence and its ideas percolated down to the masses. It continued to find followers in every period of history after the Reformation and finally culminated in 20th Century American fundamentalism which insists that the state of Israel presents the literal fulfilment of prophecy in modern history." 46
45John L. Stoddard, John L. Stoddard's Lectures, Vol. II. Boston: Balch Brothers Co., 1897, pp. 220-221. There are ten volumes of his lectures: "Illustrated and embellished with views of the world's famous places and people, being the identical discourses delivered during the past eighteen years under the title of the Stoddard lectures." This author thanks Dan Levine for pointing out these long-forgotten lectures. 46Regina Sharif, Non-Jewish Zionism, pp. 16-17. Spelling of fulfillment per original.
[ ] mine.
PRESIDENT HARRY S. TRUMAN BAPTIST—ZIONIST
President Harry S. Truman was elected in 1948, the year of Israel's rebirth! Sharif said: "...Truman had shown a sympathetic understanding of Zionism. His own Southern Baptist background and training stressed the theme of the Jews' Restoration to Zion. The members of the Southern Baptist convention were the most enthusiastic pro-Zionist congregations, championing both the religious and historical claims of the Jews to the land of Palestine. Most Baptists were theologically conservative or even fundamentalist and tended to regard the creation of the Jewish state as the evident fulfilment of Biblical prophecies....Truman's religious background played a great part in his later life. By and large a self-taught man, like Abraham Lincoln, he had educated himself in part through the Bible itself. 'As a student of the Bible he believed in the historic justification for a Jewish homeland and it was a conviction with him that the Balfour Declaration of 1917 constituted a solemn promise that fulfilled the age-old hopes and dreams of the Jewish people.' Truman's autobiography, full of Biblical quotations and allusions, also indicates his marked tendency to dwell upon the Judaeo-Christian tradition.
As a Baptist, Truman sensed something profound and meaningful in the idea of Jewish Restoration. It was a known fact that his favourite Biblical passage was the Psalm 137, beginning 'By the rivers of Babylon, there we sat down, yea, we wept, when we remembered Zion'. Truman once confessed that he could never read the account of the giving of the Ten Commandments at Sinai without a tingle going down his spine. 'The fundamental basis of this nation's law,' he declared, 'was given to Moses on Mount Sinai.'
When Eddie Jacobson introduced Truman in 1953 to an audience at a Jewish theological seminary as 'the man who helped create the State of Israel', Truman's response invoked the enduring Zionist theme of exile and Restoration: 'What do you mean 'helped create'? I am Cyrus, I am Cyrus.' Who could forget that it was Cyrus who made possible the return of the Jews to Jerusalem from their exile in Babylon?" 47
There is no doubt of the President's loyalty and great contribution to Israel and the Jewish people, is there? President Truman further stated in October of 1948: "...'What we need now is to help the people in Israel, and they've proved themselves in the best traditions of pioneers. They have created out of a barren desert a
47 Ibid, pp. 106-107.
modern and efficient state with the highest standard of Western civilization....' " 48
President Truman is honored in Israel with a forest named for him. I have visited this wonderful place on several occassions.
REAGAN AND REXELLA ARE ZIONIST
President Ronald Reagan once called Israel "a young, strong, brave nation," in the face of liberal criticism...
48 Ibid, p. 135.
|
Damping Characteristics of Timber Flooring Systems with Respect to Low-Frequency Vibration Modes
Jan WECKENDORF Research Student CTE, SEBE, Napier University Edinburgh, Scotland, UK
Binsheng ZHANG Lecturer in Structural Engineering SEBE, Napier University Edinburgh, Scotland, UK
Abdy KERMANI Professor of Timber Engineering CTE, SEBE, Napier University Edinburgh, Scotland, UK
David REID Senior Lecturer in Structural Engineering SEBE, Napier University Edinburgh, Scotland, UK
Palle ANDERSEN Managing Director Structural Vibration Solutions A/S Aalborg, Denmark
Summary
The vibration serviceability of flooring structures has been of concern for decades. To date, design criteria classifying the dynamic behaviour of different types of timber flooring structures to an acceptable degree have not been well established. Parameters commonly used to investigate and assess vibrational performances of timber floors include natural frequencies, damping ratios, dynamic displacements, velocities, accelerations, mode shapes and static point load deflections. The damping ratio is also used for design purposes, but the value of damping ratio for design is controversial. This paper presents experimental evaluation of the damping ratios on full-scale timber flooring systems for different modes of vibration and details the variation in damping under different dead weights. The test results in this study highlight the need for further research in selecting appropriate values of damping parameters for design purposes.
1. Introduction
In timber constructions there has been an increasing trend of using engineered timber joists to build large-span flooring systems. While these systems usually provide satisfactory static performance, they can infringe serviceability due to undue vibration, creating discomfort to the occupants. The ongoing research programme at Napier University has focused on this serviceability aspect. Extensive experimental and analytical investigations have been conducted on a variety of floor configurations to assess their dynamic performances. Parameters investigated include natural frequencies, damping ratios, mode shapes and unit point load deflections. This paper focuses on the damping characteristics of the timber flooring systems.
Damping, often expressed by the damping ratio, plays an important role in research about floor vibrations as it influences the vibration amplitude of structures and is used as part of design criteria in standards and guides [1-3]. The amplitude damps out more quickly and occupants will become less sensitive to initial vibration velocities if the damping is increasing [3][4]. There is an uncertainty of the damping ratios chosen for design, e.g. 1% suggested in the Eurocode 5 (EC5) [1] and 2% in the UK National Annex to EC5 [2]. The choice of a damping ratio can largely influence the judgement of classifying flooring structures as satisfactory or unsatisfactory regarding their dynamic performances.
This paper presents a range of damping ratios corresponding to the first three vibration bending modes of 24 two-side supported full-scale timber flooring systems with different configurations including three floor sizes, tested in laboratory conditions. Furthermore, the damping ratios for varied dead weight on a flooring system are illustrated in detail. Advanced analysis technique was used for estimating damping ratios (see section 3.1).
2. Literature Review
In 1966 Lenzen published his research work on the vibrational behaviour of composite steel joist concrete slab floors and the human sensitivity to it [4]. He observed that the main influencing factor on human beings from vibrations was the damping and that the presence of occupants increased the damping of the flooring system. However, other kinds of loads would not raise the damping values. The damping of a floor was strongly decreased when being loaded with concrete cylinders.
Rainer and Pernica investigated the effect of two impulse excitation methods and two continuous ones on the modal damping ratios of a large-scale floor fabricated with open-web steel joists and a concrete slab [5]. They further confirmed that humans on a flooring structure add damping to the system and thus that damping ratios obtained from heel-drop tests usually were higher than those measured on bare floors. In addition, the location of the person performing the heel-drop test affected the damping ratio.
Ohlsson explained the effect of dead weight on damping [6]. The damping ratio ζ is defined as the ratio of the damping coefficient c to the critical damping ccr for a system, ζ = c/ccr, so ccr is proportional to m k ⋅ and thus ζ is consequently reduced as a result of added dead weight. He suggested a damping ratio of 1% for the design of normal light-weight floors [3]. It could be reduced to 0.8% for floors of large span or large weight (>150 kg/m 2 ). The vibration serviceability design criteria in the EC5 are based on the work of Ohlsson.
Smith and Chui recommended a value of 3% to be used as damping ratio for light-weight floors [7]. They found a material damping ratio of ∼1% for solid timber (Canadian White Spruce) and conclude that the total damping of a floor would increase with increasing mass, justifying the use of their proposed damping ratio [8]. By summarising varied terms and expressions for damping, they described the dependence of damping on testing and analysing methods and suggested using the viscous damping ratio to express damping magnitude of timber structures.
In general, the damping is often referred to the first mode of vibration, but higher modes may also be influential on the disturbance sensed by occupants [9]. The most annoying vibration mode could also correspond to one of the higher natural frequencies, dependent on the location of the disturbed person on the floor.
Damping is found to be an important factor influencing the response of humans to floor vibrations. However, the determination of the damping is complex, depending on test procedures and data analyses. Humans on floors increase the damping ratio. If another type of dead weight is increased, a negative effect on damping can often be observed. The damping ratios suggested for use in serviceability design of timber flooring structures vary considerably. Inspection of damping ratios of higher modes is also of interest since these higher modes can contribute to annoying dynamic performances.
3. Experimental Investigations and Signal Processing
The experimental work carried out for the investigations in this study comprised dynamic tests on 24 composite timber flooring systems. A floor set-up is shown in Fig.1. All floors were constructed with I-joists and wood-based panels and supported along two edges, in which half the floors were built with JJI-joists and the other half with TJI-joists. The main difference of the joist types was the flange material, either solid timber (JJI-joists) or Laminated Veneer Lumber (LVL) (TJI-joists), whereas the web was always Oriented Strand Board (OSB). The JJI-joist floors had a size of 3.5×2.44 m, six TJI-joist floors had a size of 3.7×4.4 m and the other six had a size of 5.0×4.4 m. Board types used for the decking were particleboard and OSB, which were connected to the joists using screws or glue and screws together. Furthermore, variations were made to the joist arrangements, whereas the joist spacing was kept at 300, 400 and 600 mm. Double beams were also adopted [10]. The floors were simply supported or fixed to the supports by screws. I-joist blocking elements were inserted in two cases, at mid-span or 1/3 spans. The effect of dead weight on a flooring system was also examined.
For the experimental work, a continuous excitation method was adopted, with the input magnitude unknown. The duration of each measurement was 100 sec in minimum. At least 27 points, including two reference points, were selected per flooring structure, on which the responses due to light artificial excitation were measured. The measurement points were equally distributed on the floor surface including locations along the central lines and edges. The selected number of measurement points allowed for identifying all mode shapes and thus natural frequencies of interest after signal processing. Furthermore, the number and location of points on the surface provided a good representation of the overall floor responses. This means that each damping ratio analysed for each floor is the mean value of the measured responses.
Two different analysing methods, the Enhanced Frequency Domain Decomposition (EFDD) and the Stochastic Subspace Identification (SSI) of the ARTeMIS Extractor software package, were used. In the EFDD, the signals are processed by a Fast Fourier Transform (FFT) to obtain the spectral densities in the frequency domain and an inverse FFT is applied to the spectral densities for modal parameter estimation, while the SSI is a time domain approach [11][12]. The application of both methods allowed for verifications of the results. The damping ratios identified from the EFDD regarding the first vibration modes were found to be normally higher than the estimates of the SSI. For higher modes, the results from the two methods were close in most cases. Since the damping estimation of the EFDD may include the measurements on nodes, where no useful response or no response at all can be measured, some damping ratios could be estimated inaccurately. The SSI allows for setting boundaries for the modal parameter estimation and thus unrealistic values can be excluded. Another advantage of the SSI method is that the leakage problem, a bias error, inherent with a Discrete Fourier Transform can be avoided. Leakage can lead to overestimation of damping ratios [13]. Hence, the SSI method has been selected for further analysis towards representation of the results in this paper.
3.1 The Stochastic Subspace Identification Method
The structure tested is assumed to behave linearly and be time-invariant, which basically means that it does not change its dynamic properties during the time of measurement. Furthermore it is assumed that the structure is subjected to multiple broad-banded random excitation sources that persistently excite the frequency range of interest, and that the system response is discretely sampled with a sampling interval denoted T.
Under these assumptions the dynamical system can be described by the stochastic state space system in discrete-time [14-16]:
The first part of this model structure is the state equation and models the dynamic behaviour of the physical system. The second equation is the observation or output equation, since this equation controls the part of the dynamic system that can be observed in the output of the model. In this model of the physical system, the measured system response yt is generated by two stochastic processes wt and vt. These are called the process noise and the measurement noise and are assumed to be Gaussian white noise. The process noise is the input that drives the system dynamics whereas the measurement noise is the direct disturbance of the system response.
The philosophy is that the dynamics of the physical system is modelled by the n×n state matrix A. Given an n×1 input vector wt, this matrix transforms the state of the system, described by the n×1 state vector xt, to a new state xt+1. The dimension n of the state vector xt is called the state space dimension. The observable part of the system dynamics is extracted from the state vector by forward multiplication of the p×n observation matrix C. The p×1 system response vector yt is a mixture of the observable part of the state and some noise modelled by the measurement noise vt.
3.2 Determination of modal parameters
Assuming that Eq.(1) has been determined using some estimation method, it is straight forward to obtain the natural frequencies, damping ratios and mode shapes by eigenvalue decomposition of the state matrix A:
where the columns of V are the n eigenvectors of A and [µi] is a diagonal matrix containing the associated n eigenvalues of A. If the system only contains modes with damping less than the critical damping, then the eigenvalues and eigenvectors are organised in complex conjugated pairs, one pair for every mode. In this case the number of modes the system contains is n/2.
The natural frequency fi and damping ratio ζi of each of the n/2 modes are determined directly from the eigenvalues as:
where λi is the continuous time equivalent eigenvalue. | λi | is the absolute value of λi, and Re(λi) is the real part.
The mode shape vectors Φi of the n/2 modes is given by Φi = C Vi where Vi is the ith column of V.
3.3 Estimation of the state space system
In order to estimate the system (1), system theory is applied to establish the predictor of the model [17]:
This system is called the innovation state space system. The major difference between this system and the system (1) is that the state vector has been substituted with its prediction, and that the two input processes of the system have been converted into one input process – the innovations. This state space system is widely used as model structure in operational modal analysis [15][16].
From Eq.(4) it can be seen that if sufficiently many states of the system (1), e.g. j states, can be predicted, i.e. ˆ i x and ˆ i+1 x , then the A and C matrices can be estimated from the following least regression problem:
This is a valid approach since the innovations are assumed to be Gaussian white noise. Since A and C are assumed to be time-invariant this regression approach will be valid even though the predicted state ˆ i x and ˆ i+1 x originates from a non-steady state Kalman filter [17].
Hence, the fundamental problem to solve in the stochastic subspace identification technique is to extract the predicted states ˆ i x from the measured system response yt. When these states are estimated, A and C are estimated by Eq.(5) and the modal parameters by Eq.(3).
It is beyond the scope of this paper to explain the details of the estimation of the states in the Stochastic Subspace Identification method, but a detailed description can be found in [17].
4. Results
4.1 Damping Ratio Variation for Different Types of Timber Flooring Systems
The damping ratios of the first three vibration bending modes have been dealt with separately. A potential correlation in the damping ratios with modifications of the structural system was examined. Some of the results were rather conclusive. Since damping ratios cannot be always determined very accurately, even when much care was taken during the analysis, the damping ratios have been divided into groups with an increment of 0.5%. The ranges of the frequencies fi of all 24 structures for the first three modes are listed in Table 1a, and the lowest, highest and mean values for the damping ratios ζ i in Table 1b. The minimum and maximum damping may not correspond to the minimum and maximum frequencies.
Fig. 2 shows the damping ratios as histograms for each of the modes. The columns present the numbers of damping ratios in a specified range, and the curves represent the density functions for normal distribution based on the mean value and standard deviation of the exact damping ratios determined. This normal distribution has to be considered with care, since a variety of flooring structures were included in the figures. However, it indeed indicates the range of typical damping ratios of timber floors.
Table 1a - Minimum and maximum natural frequencies for the 24 test floors
| | Mode 1 | Mode 2 |
|---|---|---|
| Minimum modal frequency f [Hz] i,min | 12.17 | 13.18 |
Table 1b - Minimum, maximum and mean damping ratios for the 24 test floors
| | | Mode 1 | | Mode 2 | | |
|---|---|---|---|---|---|---|
| Minimum damping ratio ζ [%] i,min | | 1.16 | | 0.84 | | |
| Maximum damping ratio ζ [%] i,max | | 3.95 | | 1.72 | | |
| | Mean damping ratio ζ [%] i,mean | | 2.54 | | 1.10 | 1.18 |
It has been found that the damping ratios of the first mode usually spread more widely than those of higher modes. Fig. 2 shows that the maximum damping ratios are exceptional since only one value laid in the specified range for each individual mode. The ratios for the first mode usually were below 3.5% and those for the second and third modes usually below 1.5%. Fig. 2a) also shows two very low damping ratios below 1.5% for the first mode. These damping ratios belong to the floors where the dead weight was increased without increasing flooring stiffness. Where only structural modifications took place, the damping ratios are all above 2%.
Since only the non-structural modifications with added dead weights yielded damping ratios below 2% (even below 1.5%) for the first mode, a separate analysis has been conducted to study the degree of the effect of added weight. A relatively high value of ∼4% was found for one system, but no special consideration is given to this value here. Further separation of the structural systems to identify the effect on damping in more detail is identified as an area for future investigations.
a) Damping ratios corresponding to the first bending mode
b) Damping ratios corresponding to the second bending mode
4.2 The Effect of Additional Dead Weight on Damping
The increase in dead weight of the floor was achieved by equally distributing sand bags on the top surface of the floor. The original floor mass of ~17 kg/m² was first increased to ~47 kg/m² by 30 kg/m² and then to ~72 kg/m² by another 25 kg/m². The effect of the raised weight on the damping ratios ζ i is illustrated in Fig. 3. The test data is listed in Table 2, including natural frequencies fi and the corresponding damping ratios ζ i.
Table 2 - Natural frequencies fi and the corresponding damping ratios ζ i for variation in weight
| Floor weight [kg/m²] | f [Hz] 1 | ζ [%] 1 | f [Hz] 2 | ζ [%] 2 | f [Hz] 3 | ζ [%] 3 |
|---|---|---|---|---|---|---|
| 17.36 kg/m² | 22.16 | 2.83 | 27.58 | 1.37 | 33.79 | 0.94 |
| 47.46 kg/m² | 14.66 | 1.45 | 15.96 | 1.02 | 18.38 | 1.34 |
| 72.46 kg/m² | 12.17 | 1.16 | 13.18 | 1.02 | 15.35 | 1.39 |
b) Mode 2
c) Mode 3
Fig. 3 - Damping ratios for increasing floor weight
It can be seen that there was a monotonic reduction in damping for the first mode with the increasing dead weight. Compared to the light-weight floor with a mass of ~17 kg/m² the damping ratios decreased by 49% and 59% respectively for the first and second increment in mass. The second mode responded similarly with a reduction of 26% to the weight increment initially and then became unchanged. The third mode reacted reversely. The reduction trend in damping of the first mode for increasing dead weight observed by other researchers can be confirmed by this study.
5. Discussion, Conclusions and Further Work
It has been shown that for the tested light-weight floors, the damping ratios corresponding to the first mode of vibration are normally higher than those of the second or third mode, mainly in the range of 2.0-3.5% with a mean value of 2.5%. The damping ratios for the second and third modes usually lie in the range of 0.8-1.5% with mean values of 1.1% and 1.2%, respectively. If the mass of the floor is not significantly changed, the damping ratios for the first mode are above 2%.
Since the weight plays a major role for the first vibration mode, damping ratios used to assess dynamic performances of bare floors for design should closely depend on dead weight. The use of a damping ratio of 2% for design is just reasonable for light-weight structures (say ~20 kg/m² or below) if only the first mode is considered, but may not always be on the very safe side. It should be mentioned that natural frequencies higher than the first one can also contribute to annoying vibrations. For heavier floors lower limits for the damping ratio should be adopted.
The effect of weight on dynamic performances of floors, in particular on damping ratios, needs to be further investigated, since heavier floors clearly exhibit reduced damping capabilities with respect to the first natural frequency, which is often considered to be the most important one regarding design.
6. Acknowledgements
Oregon Timber Frame Ltd. provided material (incl. TJI-joists) and facilities for experimental work on twelve of the described flooring structures. James Jones & Sons Ltd. provided material for experimental work on the other twelve composite timber floors. The Royal Academy of Engineering, UK financially supported the visit of this conference. All their support is gratefully acknowledged.
7. References
[1] British Standards Institution, BS EN 1995-1-1 Eurocode 5: Design of Timber Structures - Part 1-1: General - Common Rules and Rules for Buildings, 2004.
[2] British Standards Institution, The UK National Annex to EN 1995-1-1 Eurocode 5: Design of Timber Structures - Common Rules and Rules for Buildings, 2004.
[3] Ohlsson S. V., Springiness and Human-Induced Floor Vibrations: A Design Guide, Swedish Council for Building Research, 1988.
[4] Lenzen K. H., "Vibration of steel joist-concrete slab floors", AISC Engineering Journal, Vol. 3, No. 3, 1966, pp. 133-136.
[5] Rainer J. H. and Pernica G., "Damping of a floor sample", Proceedings of ASCE Specialty Conference on Dynamic Response of Structures, Atlanta GA., 1981, pp. 859-873.
[6] Ohlsson S. V., Floor Vibrations and Human Discomfort, PhD thesis, Chalmers University, 1982.
[7] Smith I. and Chui Y. H., "Design of lightweight wooden floors to avoid human discomfort", Canadian Journal of Civil Engineering, Vol. 15, No. 2, 1988, pp. 254-262.
[8] Chui Y. H. and Smith I., "Quantifying damping in structural timber components", Proceedings of the 2nd Pacific Timber Engineering Conference, 1989, pp. 57-60.
[9] Alvis R., An Experimental and Analytical Investigation of Floor Vibrations, MSc Thesis, Virginia Polytechnic Institute and State University, 2001.
[10] Weckendorf J., Zhang B., Kermani A. and Reid D., "Effects of local stiffening on the dynamic performance of timber floors", Proceedings of the 10th World Conference on Timber Engineering, Miyazaki, Japan, 2008.
[11] Brincker R., Ventura C. E. and Andersen P., "Damping estimation by frequency domain decomposition", Proceedings of the 19th International Modal Analysis Conference (IMAC), Florida, 2001, pp. 698-703.
[12] Brincker R. and Andersen P., "Understanding stochastic subspace identification", Proceedings of The 24th International Modal Analysis Conference (IMAC), Missouri, 2006.
[13] Zhang L., Tamura Y., Yoshida A., Cho K., Nakata S. and Naito S., "Ambient vibration testing and modal identification of a building", Proceedings of the 20th International Modal Analysis Conference (IMAC), California, 2002.
[14] Aoki M., State Space Modeling of Time Series, Springer-Verlag, ISBN 0-387-52869-5, 1990.
[15] Ljung L., System Identification – Theory for the user, Prentice-Hall, ISBN 0-13-881640-9, 1987.
[16] Söderström T. and Stoica P., System Identification, Prentice-Hall, ISBN 0-13-127606-9, 1989.
[17] Van Overschee P. and De Moor B., Subspace Identification for Linear Systems: Theory Implementation - Applications, Kluwer Academic Publishers, ISBN 0-7923-9717-7, 1996.
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Titration of isoflurane using BIS index improves early recovery of elderly patients undergoing orthopedic surgeries
[Le titrage de l'isoflurane à l'aide du BIS peut hâter la récupération des patients âgés en chirurgie orthopédique]
Jean Wong FRCPC, Dajun Song MD, Hannah Blanshard FRCA, Deidre Grady MD, Frances Chung FRCPC
Purpose: This study was designed to investigate the effect of bispectral index (BIS) monitoring on the recovery profiles, level of postoperative cognitive dysfunction, and anesthetic drug requirements of elderly patients undergoing elective orthopedic surgery with general anesthesia.
(PC), la valeur du BIS n'était pas connue des anesthésiologistes et l'isoflurane a été titré selon les normes de la pratique clinique. Pour les patients du groupe BIS, l'isoflurane a été titré de façon à maintenir un BIS entre 50 et 60.
Methods: Sixty-eight patients over the age of 60 were randomized into one of two groups. In the standard practice (SP) group, the anesthesiologists were blinded to the BIS value, and isoflurane was titrated according to standard clinical practice. In the BIS group, isoflurane was titrated to maintain a BIS value between 50–60.
Results: The total isoflurane usage was 30% lower in the BIS group compared to the SP group (5.6 ± 3 vs 7.7 ± 3 mL, P <0.05). The time to orientation was faster in the BIS group compared to the SP group (9.5 ± 3 vs 13.1 ± 4 min, P <0.001). There were no differences in the postoperative psychometric tests between the two groups.
Conclusions: There was no difference in the level of postoperative cognitive dysfunction between the two groups. However, titration of isoflurane using the BIS index decreased utilization of isoflurane and contributed to faster emergence of elderly patients undergoing elective knee or hip replacement surgery.
Objectif : Rechercher l'effet du monitorage par l'index bispectral (BIS) sur les profils de récupération, le niveau de déficit cognitif postopératoire et les besoins d'anesthésiques chez des patients âgés qui subissent une intervention orthopédique non urgente avec anesthésie générale.
Méthode : Soixante-huit patients de plus de 60 ans ont été répartis au hasard en deux groupes. Pour ceux du groupe de pratique courante
Résultats : L'utilisation totale d'isoflurane a été plus basse de 30 % dans le groupe BIS, comparé au groupe PC (5,6 ± 3 vs 7,7 ± 3 mL, P < 0,05). Le retour à la conscience a été plus rapide dans le groupe BIS, comparé au groupe PC (9,5 ± 3 vs 13,1 ± 4 min, P < 0,001). Les tests psychométriques postopératoires n'ont présenté aucune différence intergroupe.
Conclusion : Le niveau de déficit cognitif postopératoire n'était pas différent d'un groupe à l'autre. Cependant, le titrage de l'isoflurane à l'aide de l'index BIS a permis de réduire l'utilisation d'isoflurane et a favorisé une récupération plus rapide chez des patients âgés qui subissent la mise en place d'une prothèse totale de hanche.
H E percentage of the population over the age of 65 will increase to approximately 12.5% by the beginning of the 21 st century. 1 This population has a high likelihood of requiring some type of surgical intervention, thus a greater number of elderly patients will present for anesthesia and surgery. 2 The incidence of postoperative cognitive deficits in general surgical patients has been reported to be 5–10% for all age groups, and increases to 10–15% in elderly patients. 3–5 T
From the Department of Anesthesia, Toronto Western Hospital, University Health Network, University of Toronto, Toronto, Ontario, Canada.
Address correspondence to: Dr. Jean Wong, Department of Anesthesia, Toronto Western Hospital, University Health Network, University of Toronto, 399 Bathurst Street, Toronto, Ontario M5T 2S8, Canada. Phone: 416-603-5118; Fax: 416-603-6494; E-mail: email@example.com
Supported in part by a grant from Aspect Medical, Newton, MA, USA.
Accepted for publication August 10, 2001.
Revision accepted October 22, 2001.
Postoperative cognitive dysfunction may contribute to increased perioperative morbidity. 6 Therefore, it is important to minimize the risk of postoperative cognitive dysfunction.
The bispectral index (BIS) is a continuous processed electroencephalography parameter that has been developed to measure the hypnotic effects of anesthetic and sedative agents on the brain. 7 Previous studies have shown that BIS guided titration of the hypnotic agents propofol, desflurane, and sevoflurane led to faster recovery profiles. 8,9 The elderly orthopedic patient population may be at higher risk for delayed recovery and postoperative cognitive dysfunction, thus this group of patients may benefit from BIS monitoring.
This study was designed to investigate whether BIS monitoring improves clinical anesthetic delivery, recovery profiles, and decreases the level of postoperative cognitive dysfunction in elderly patients undergoing total knee or hip replacement surgery with general anesthesia compared to standard clinical practice.
Methods
Approval was obtained from the institutional Ethics Committee for this prospective, randomized controlled trial. Informed consent was obtained from all patients. Inclusion criteria were ASA class I–III patients >60 yr of age scheduled for elective orthopedic knee or hip replacement surgery.
Exclusion criteria were significant cardiorespiratory or other end-organ disease, depression or psychiatric disorders, dementia, previous cerebrovascular accident, head trauma, inadequate command of English, and drug or alcohol abuse. Patients were excluded if they scored <24 on the preoperative baseline Mini Mental State Exam (MMSE) performed upon arrival in the same day admission unit.
Patients were randomized to receive general anesthesia with either BIS guided titration of anesthesia or standard clinical practice. A block randomization with concealed varying block sizes was performed with computer generated random numbers.
Preoperatively, a research assistant interviewed the patients and conducted psychometric tests including the MMSE, 10–12 Trieger dot test 1 3 and digit symbol substitution test (DSST). No premedication was given.
Routine monitoring included a 5-lead electrocardiogram, pulse oximeter, and non-invasive blood pressure cuff. All patients had BIS sensors (Aspect Medical Systems Inc., Newton, MA, USA) applied to the forehead and temple by a research assistant. The BIS values were displayed and recorded by an Aspect EEG monitor (model A-1050, Aspect Medical Systems, Newton, MA, USA). An iv infusion of normal saline was established in the patient's upper extremity. The BIS value was recorded continuously prior to induction until after the patient was awake and responding to verbal commands.
In both groups, general anesthesia was induced with propofol 1–2 mg·kg – 1 iv, fentanyl 2–3 µg·kg –1 iv, midazolam 1 mg iv and endotracheal intubation was performed after administration of rocuronium 0.6 mg·kg –1 iv.
All of the four anesthesiologists participating in this study had greater than five years of experience providing anesthetic patient care. In the standard practice (SP) group, the anesthesiologist was blinded to the BIS value by turning the BIS monitor away from the anesthesiologist's view. The administration of isoflurane and fentanyl were adjusted according to standard clinical practice and to provide a rapid recovery.
In the BIS group, the anesthesiologist adjusted the administration of isoflurane and fentanyl to maintain a BIS index of 50–60.
In both groups, patients were ventilated and anesthesia was maintained with isoflurane and 60–70% nitrous oxide in oxygen at 3 L·min – 1 for the first five minutes, then the gas flow was decreased to 1.5 L·min –1 . Intermittent bolus doses of iv rocuronium (0.2–0.3 mg·kg –1 ) were administered as needed.
In the SP group, if the patient exhibited hypertension (mean arterial pressure >25% above baseline), and tachycardia (heart rate >90 beats·min –1 ), the attending anesthesiologist had the options of increasing the inspired isoflurane concentration or administering fentanyl 25–50 µg iv or labetolol 5–10 mg iv. The mode of treatment was at the discretion of the attending anesthesiologist.
In the BIS titrated group, if the patient exhibited hypertension, or tachycardia, the mode of treatment was dependent on the BIS index. If the BIS index was >60, anesthesia was deepened by increasing the inspired isoflurane concentration until the BIS index was between 50–60. If the BIS index was already in the targeted range, and the patient exhibited hypertension or tachycardia, fentanyl 25–50 µg iv was administered. If the BIS index was <50, isoflurane was decreased and fentanyl 25–50 µg iv was administered for hypertension or tachycardia if the patient showed signs of inadequate analgesia (i.e., lacrimation, grimacing, movement, etc.) or labetolol 5–10 mg iv was administered if the patient did not show signs of inadequate analgesia.
In both groups, 15 min prior to the end of surgery, fentanyl 0.5–1.0 µg·kg –1 iv was administered. In the SP group, ten minutes prior to the end of surgery, the inspired concentration of isoflurane was decreased
according to usual clinical practice. In the BIS group, ten minutes prior to the end of surgery, the isoflurane concentration was adjusted to maintain a BIS of 60–70. Reversal of neuromuscular blockade was achieved with neostigmine (0.05 mg·kg –1 ) and glycopyrrolate (0.01 mg·kg –1 ) five minutes prior to the discontinuation of inhalational agents. In both groups the isoflurane and nitrous oxide were discontinued at the end of surgery.
The usage (mL) of isoflurane was calculated using the formula described by Dion (usage of volatile anesthetic (mL)=dialed concentration × total fresh gas flow × duration at that concentration × molecular weight divided by 2412 × density. 14
The times to awakening (eye opening to verbal command), extubation, and time to readiness for transfer to postanesthesia care unit (PACU) was determined at one-minute intervals from discontinuation of the isoflurane.
The time to orientation to person, place and time was determined by assessing the patient at one-minute intervals in PACU. The Aldrete score was assessed at 15-min intervals by a research assistant blinded to group assignment, to determine readiness for discharge from PACU (i.e., Aldrete score >9). 15 The MMSE, DSST, and Trieger dot test were conducted at 30, 60, 90 and 120 min after arrival in PACU, and at 24, 48, and 72 hr postoperatively. Symptoms of clinical cognitive dysfunction (i.e., reduced ability to maintain attention to external stimuli, disorganized thinking, disorientation, memory impairment, etc.) 16 reported from nurses, family members, research assistant, or patient (all blinded to group assignment) were recorded. The patients received patient controlled analgesia (PCA) morphine postoperatively. At the 72-hr interview, the patients were asked a series of questions relating to whether they had any recall of intraoperative events (Appendix). The date of discharge from hospital and reasons for delay in discharge were recorded. The patients were interviewed by telephone at 14 days after surgery to assess whether they had any recall of intraoperative events and sleep disturbances.
Parametric data were analyzed using t tests for comparison between groups. The emergence and recovery times between the two groups were analyzed by Kaplan-Meier survival analysis using the Log Rank (Mantel-Cox) statistic. Nonparametric variables including the scores in the MMSE, DSST, and Trieger dot test between the two groups were analyzed using Kruskal Wallis test or Chi square test with Yates' correction, as appropriate. A difference in drug requirements between the two groups was tested by unpaired t test. A P value of <0.05 was considered significant.
TABLE I Demographic data
Values are expressed as mean ± SD or numbers. BIS=bispectral index.
TABLE II Intraoperative drug usage
Values are expressed as mean ± SD; *P <0.05. BIS=bispectral index.
Data are expressed as mean values ± SD or numbers (n).
A power analysis (a=0.05, ß=80%) was performed prior to the initiation of the study. This analysis suggested that 28 patients in each group would be adequate to detect a 20% reduction in the times from discontinuation of anesthetics to orientation [assumption of 13 ± 3.4 min (mean ± standard deviation) in the SP group based on a pilot study].
Results
Sixty-eight patients were enrolled in this study; however, eight patients (three from the SP group, and five from the BIS group) were excluded from the analysis for protocol violations. Two patients had bipolar disorder; two patients received propofol near the end of surgery; two patients received excessive fentanyl near the end of surgery; and one patient desaturated necessitating discontinuation of nitrous oxide intraoperatively. There was no difference in demographic data between the two groups (Table I).
The average end-tidal concentration of isoflurane during surgery was lower in the BIS group than the SP group (0.39 ± 0.5 vs 0.53 ± 0.2, P <0.001). The total isoflurane usage was lower (30%) in the BIS group compared to the SP group (5.6 ± 3 vs 7.7 ± 3 mL, P <0.05). There were no differences between the two groups in any other drug usage (Table II).
TABLE III Recovery times
Values are expressed as mean ± SD; *P <0.05. BIS=bispectral index. PACU=postanesthesia care unit.
TABLE IV Intraoperative BIS index
Values are expressed as mean ± SD; *P <0.05. BIS=bispectral index.
TABLE V Mini mental state exam scores
Values are expressed as mean ± SD. BIS=bispectral index.
The time to orientation was faster in the BIS group compared to the SP group (9.5 ± 3 vs 13.1 ± 4 min, P <0.001). A survival analysis comparison of the time to orientation after discontinuation of inhalational anesthetic agents in the BIS and SP groups is shown in the Figure. The time to achieve an Aldrete score of >9 was faster in the BIS group than the SP group (16.9 ± 2.2 vs 19.1 ± 2.1 min, P <0.05). There was a trend toward faster discharge from PACU in the BIS group than the SP group, however this did not reach statistical significance (Table III).
The average BIS index was lower in the SP group than the BIS group during surgery (44.3 ± 8.8 vs 51.0
FIGURE The percentiles of the Kaplan-Meier product-limit distribution of the times from discontinuation of general anesthetics to patient orientation. Thick line: BIS-titrated group. Thin line: standard practice group.
± 4.9, P <0.05), and during anesthesia, i.e., from induction to start of emergence (47.2 ± 7.1 vs 52.5 ± 4.4, P <0.05). The BIS values were similar between the two groups upon discontinuation of anesthesia (Table IV). None of the patients reported awareness.
Postoperatively, there were no differences in the MMSE (Table V), Trieger Dot test, and DSST between the BIS and SP groups at any time. Clinical cognitive dysfunction was recorded in nursing notes of one patient in the SP group on postoperative days two and three.
Discussion
The use of BIS monitoring resulted in a 30% reduction in the use of inhalational anesthetic required to maintain general anesthesia in elderly patients undergoing elective hip or knee arthroplasty. The reduction in use of hypnotic agent contributed to the faster time to orientation in the BIS group than the standard practice group. The lower BIS index in the SP group compared to the BIS group during surgery and anesthesia was consistent with the higher isoflurane usage in the SP group. Our results are consistent with other studies, which have shown that BIS monitoring decreases maintenance requirements of inhalational anesthetic agents, and improves time to orientation. A randomized blinded study of female outpatients undergoing gynecological surgery showed that BIS monitoring reduced sevoflurane and desflurane usage by 30–38%. BIS monitoring has reduced maintenance requirements of iv hypnotic anesthetic agents including etomidate (30% reduction), 17 and propofol (22% reduction). 8
In the absence of a gold standard for measuring the effects of anesthetics on the brain, autonomic activity such as changes in blood pressure and heart rate have been used to titrate anesthetic agents. However, this has been shown to have poor correlation with anesthetic depth. 1 8 As well, the high prevalence of cardiovascular disease and subsequent drug use in elderly patients may inhibit typical hemodynamic responses to surgical stimulation.
The minimal alveolar concentration (MAC) of isoflurane and other volatile anesthetic gases decreases with increased age. 19–21 Monitoring of the hypnotic effect of volatile anesthetics may help optimize the appropriate use of hypnotics, analgesics, and vasoactive drugs. A recent study examining the effect of increased age on the BIS index showed that increased age did not change the BIS index associated with clinical endpoints for sedation. As well, the BIS index was a better predictor of depth of sedation than end-tidal sevoflurane concentration. 2 1 Another study found that increased age had no effect on the rate of BIS reduction with increasing propofol concentration. 2 2
In our study, the faster time to orientation in the BIS vs standard practice group is consistent with other studies. In a study of ambulatory gynecological surgical patients, the times to orientation were faster in the BIS-titrated group vs the control group receiving desflurane 8.4 ± 2.4 vs 10.5 ± 4.2 min, and sevoflurane 13.2 ± 4.0 vs 10.2 ± 2.8 min respectively. 9 The times to reach the recovery endpoints of eye opening (6.3 vs 9.5 min) and responding to command (6.7 vs 10.5 min) were also faster in the BIS vs standard practice group of patients receiving propofol, alfentanil and nitrous oxide. 8 In our study, the time to achieve an Aldrete score >9 was faster in the BIS than the SP group. The trend toward faster times to discharge from PACU of patients in the BIS group may have been significant if our sample size had been larger.
A large multicentre study reported the incidence of postoperative cognitive dysfunction in elderly patients was 25.8% one week after major non-cardiac surgery, and 9.9% three months after major non-cardiac surgery. 2 3 The authors used the MMSE, and six other neuropsychological tests. The reported incidence of postoperative cognitive dysfunction ranges between 28–41% for elderly patients in the orthopedic surgery group. 4,5 The wide range for reported incidence might be attributed to differences in diagnostic criteria, pop- ulations under study, and differences in surveillance methods. 6 The low incidence of reported postoperative cognitive dysfunction in our study may be related to the small sample size.
Postoperatively, we did not find significant differences in the neuropsychological tests between the BIS group and the SP group. The MMSE, Trieger Dot Test, and DSST were used in this study because they are commonly used tests of cognition which are easy to conduct, have a high compliance rate among elderly subjects, and can be used for serial testing in fluctuating conditions such as the perioperative period. 10,13 The time required to complete the three tests, on average was approximately ten minutes. However, the MMSE, Trieger Dot Test, and DSST may not be sensitive enough to detect mild cognitive deficits, and possible learning effects of repeated tests may have obscured detection of postoperative deterioration in test performance. 2 4 As well, administration of postoperative PCA morphine may have minimized any differences between the two groups.
Another limitation of this study is that the power analysis was based on detecting a difference in early recovery i.e., the time to orientation between the two groups. Thus, the sample size may be inadequate to detect a difference in the level of postoperative cognitive dysfunction between the two groups.
None of the patients in our study reported recall; however, we would require a larger sample size to find a difference between the two groups since the incidence of intraoperative recall during general anesthesia is low. 2 5
In summary, titrating isoflurane using BIS monitoring led to a 30% reduction of isoflurane maintenance requirements, and faster emergence and earlier recovery of elderly patients undergoing elective hip or knee arthroplasty.
APPENDIX Postoperative questionnaire
What is the last thing that you remember before you went to sleep for your operation?
What is the first thing that you remember after your operation?
Can you remember anything between those two periods?
Did you dream during your operation?
References
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3 Gustafson Y, Brannstrom B, Berggren D, et al. A geriatric-anesthesiologic program to reduce acute confusional states in elderly patients treated for femoral neck fractures. J Am Geriatr Soc 1991; 39: 655–62.
4 Williams-Russo P, Urquhart BL, Sharrock NE, Charlson ME. Post-operative delirium: predictors and prognosis in elderly orthopedic patients. J Am Geriatr Soc 1992; 40: 759–67.
5 Rogers MP, Liang MH Daltroy LH, et al. Delirium after elective orthopedic surgery: risk factors and natural history. Int J Psychiatry Med 1989; 19: 109–21.
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8 Gan TJ, Glass PS, Windsor A, et al. Bispectral index monitoring allows faster emergence and improved recovery from propofol, alfentanil, and nitrous oxide anesthesia. Anesthesiology 1997; 87: 808–15.
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Botanical Journal of the Linnean Society
Blackwell Science, LtdOxford, UKBOJ
1501
6171
Original Article
HYDRAULICS AND XYLEM IN TEMPERATE HARDWOODS
G. S. ELLMORE
ET AL.
Donald Kaplan's Legacy: Influencing Teaching and Research
Guest edited by D. A. DeMason and A. M. Hirsch
Comparative sectoriality in temperate hardwoods: hydraulics and xylem anatomy
GEORGE S. ELLMORE*, AMY E. ZANNE and COLIN M. ORIANS
Department of Biology, Tufts University, Medford, Massachusetts, USA
Received November 2004; accepted for publication September 2005
In wood, lateral transport of water and minerals occurs readily in 'integrated' trees but is more restricted in 'sectored species'. Dye distribution and a novel hydraulic technique are used to quantify species-specific differences in sectoriality in three temperate hardwoods, Betula papyrifera, Acer saccharum and Quercus rubra. Sectoriality was related to key elements of xylem structure: intervascular pitting, vessel diameter and vessel grouping. Perfusion of 0.5% safranin through isolated roots showed root-to-branch dye transport was most extensive in B. papyrifera and least extensive in Q. rubra. To test sectorialty using hydraulics, 20 mM KCl solution was pushed at 0.1 MPa through 5-cm wood segments, before and after occluding the direct axial outlet with glue, with flow rate measured in grams of solution expelled over time. Direct (axial) conductance (g MPa − 1 s − 1 ) through unglued outlets was compared with indirect (tangential) conductance around occluded outlets. Species with high indirect/direct conductance ratios (Integration Index) are the most integrated. Integration Index ranged from 0.26 in B. papyrifera to 0.02 in Q. rubra. Macerates showed that B. papyrifera has much greater percentage of cell wall area covered with intervascular pits than does A. saccharum or Q. rubra. Vessel grouping was closest in B. papyrifera and vessels were most isolated in Q. rubra. Widest diameter vessels occurred in Q. rubra, where they concentrated in springwood. Intervascular pitting, vessel diameter and grouping are wood traits that contribute to the continuum of sectoriality in trees, and may influence the ability of tree species to dominate in homogeneous or in patchy environments. © 2006 The Linnean Society of London, Botanical Journal of the Linnean Society, 2006, 150, 61–71.
ADDITIONAL KEYWORDS: bordered pits – diffuse porous – functional variation – hydraulic conductance – intervascular pits – ring porous.
INTRODUCTION
A sessile and autotrophic lifestyle dictates that plants exploit their fixed environmental space to the fullest. Plants are well known for their ability to respond to both spatial and temporal heterogeneity (patchiness) in resource availability (Terashima, 1992; Robinson, 1994; Pearcy, Gross & He, 1997). For example, roots of grasses growing in nutrient-poor dunes elongate, branch and live longer when they encounter resourcerich pockets, such as buried nests of turtle eggs (Stegmann, Primack & Ellmore, 1988). This results in a surge of mineral uptake into the shoots, as measured by gamma-emitting tracers in intact plants. Other reports show that species differ in their ability to transport resources captured by one part of the plant to other parts (Watson & Casper, 1984; Marshall, 1996; Orians et al ., 2004).
*Corresponding author. E-mail: firstname.lastname@example.org
Once captured, water and minerals are transported to distant organs. They may then spread throughout the plant, or they may concentrate into a portion, or sector, of the shoot. Vascular connections between roots and sectors of the shoot provide a structural mechanism that concentrates resources into sectors of the plant rather than spreading them throughout. Vascular restrictions may affect plant growth, morphology and chemistry. Split-root experiments with tomato have demonstrated that roots grown in nutrient-rich soil patches preferentially supply orthostichous leaves and branches (Orians, Ardón & Mohammad, 2002).
0024-4074The Linnean Society of London, 2005January 2006
Differential sectoriality in herbaceous plants is mediated by primary xylem grouped in bundles that branch and fuse around leaf gaps (Price, Hutchings & Marshall, 1996; Orians, Pomerleau & Ricco, 2000). Sectoriality in woody plants is mediated by vessel-to-vessel connectivity (Orians, Babst & Zanne, 2005a).
In long-lived trees, a sectored anatomy may be expressed in several ways. Artisanal potters making traditional ash glazes (Tichane, 1987) recognize that mineral content (hence colour) of oak ash glazes made from different branches of the same tree can differ by as much as 30% (Y. and S. Rybczynski, pers. comm.). For oak, this suggests that certain branches make up mineral-rich sectors. In maple trees, leaf colour change in autumn occurs first in a subset of branches on any given tree (Fig. 1). Elsewhere, a sectored morphology is indicated by patchy dieback patterns within the crown (Davis et al ., 2002) or shown experimentally by restricted spread of dyes injected into the trunk (Kozlowski & Winget, 1963; Shigo, 1985; Larson, Doubt & Matthes-Sears, 1994; Tyree & Zimmermann, 2002). These results suggest that sectored transport generates intracrown variation in traits, although somatic mutations may also play a role.
Differences in sectoriality among trees have been demonstrated by split-root experiments (Orians et al., 2004). Uptake patterns of dye and mineral isotopes showed that Betula spp. are more integrated than Acer spp. or Populus spp. Split-root experiments are, however, time-intensive and costly. A more rapid technique could facilitate exploration into how differential sectoriality affects plant responses to their environment, the distribution of plant species and plant– herbivore interactions (Orians & Jones, 2001).
Figure 1. Autumn leaf colour change in Acer saccharum growing on Tufts University campus in Medford, Massachusetts. Autumn coloration develops in a subset of branches (sectors) earlier than in others, indicating differences in tissue quality between sectors of the crown.
In this study we complement traditional dye-uptake studies with a novel hydraulic technique that allows us to quantify differences in sectoriality in the wood of three temperate hardwood trees (Betula papyrifera, Acer saccharum and Quercus rubra). We measure direct axial conductance and indirect tangential conductance (persisting after the direct pathway was blocked). A comparison of indirect to direct conductances (Integration Index) quantifies the relative ease of tangential spread in wood, allowing a continuous spectrum of integrated–sectored transport. We develop this hydraulic approach as a rapid tool for quantifying sectoriality in trees.
Hydraulic conductance must depend on anatomical features of vessels (Carlquist, 2001). Our second goal is to identify key anatomical traits in secondary xylem that influence the degree of sectoriality in trees. Features, such as extensive sidewall pitting, that promote tangential spread between vessels (Kitin et al., 2004) are likely to be well developed in integrated trees because such vessel structure allows material to flow around the trunk and throughout the crown. On the other hand, sectored wood should contain features that promote axial conductance or resist tangential flow (Jones & Lord, 1982). These could include low intervascular exchange brought on by sparse pitting or by large distances between neighbouring vessels, both of which tend to isolate water-conducting elements, and by large vessel diameter. We report relationships of xylem traits such as pitting, vessel grouping and vessel element diameter to hydraulic measures of sectoriality, allowing us to focus on xylem traits that help explain differences among species.
MATERIAL AND METHODS
STUDY SPECIES
Three species were selected for this study: Acer saccharum Marsh., Betula papyrifera Marsh. and Quercus rubra L. They exemplify contrasting life histories in hardwood forests, and we have found differences in sectoriality in saplings of Acer and Betula (Orians et al., 2004). In addition, they provide a range of xylem structure with A. saccharum and B. papyrifera having diffuse-porous wood and Q. rubra being ring-porous. This allowed us to relate anatomical features to the hydraulic properties of wood.
Acer saccharum, B. papyrifera and Q. rubra are all important components of eastern North American forests (McWilliams et al., 2000), often growing in association with each other (Samuelson & Hogan, 2003). They range considerably in shade tolerance and silvical traits. Acer saccharum is shade tolerant and a late-successional dominant of mesic sites (Delcourt & Delcourt, 2000; McWilliams et al., 2000; Samuelson & Hogan, 2003). It often occupies cool north-facing slopes and is replacing pioneer species of oak as it competes against less shade-tolerant hardwoods (Fralish & Franklin, 2002). By contrast, B. papyrifera is an early-successional tree, intolerant of shade. It occupies sandy or rocky soils, including those at disturbed sites (Marchand, 1987; Delcourt & Delcourt, 2000; Fralish & Franklin, 2002). Compared with A. saccharum and B. papyrifera , Q. rubra is intermediate in shade tolerance. Although growing in association with A. saccharum and B. papyrifera , it tends to occupy drier subxeric soils and prevails on south- and west-facing slopes (Delcourt & Delcourt, 2000). Quercus rubra becomes a suppressed understorey species when competing against shade-tolerant A. saccharum (Fralish & Franklin, 2002).
DYE TRANSPORT IN SAPLINGS
Dye transport was used to test for the ease of resource spreading (degree of integration – sectoriality). Dye was supplied to isolated roots on 1-year saplings of B. papyrifera, A. saccharum and Q. rubra. Saplings were grown in the greenhouse after having over-wintered in pots outdoors. Four saplings of each species were removed from pots with their roots rinsed of soil and then held in a beaker of water. With the shoot clamped to a ring stand for support, a single lateral root was cut under water then immersed for 24 h in a filtered solution of safranin-O (0.5% in deionized water). After 24 h, leaves were removed and ovendried for 48 h at 60 °C to quantify leaf biomass on each branch, as an indicator of the transpiration sink strength drawing dye into each branch. Dye distribution was noted by peeling bark away from branches to reveal presence of any red-stained wood, and the percentage of stained branches was determined.
HYDRAULICS IN BRANCH SEGMENTS
To compare degree of sectoriality across species, the extent of tangential flow contributing to hydraulic conductance was tested in woody branch segments from mature trees. Branch samples were taken from four individuals of B. papyrifera, A. saccharum and Q. rubra growing in eastern Massachusetts. Samples ranging in thickness from 0.8 to 1.1 cm were harvested in late summer and cut to internode lengths of 5.5 cm. Samples were flushed with and stored in 95% EtOH passed through a 0.45 µm filter (Millipore Corp.). After storage, samples were flushed again with filtered 20 mM KCl. Samples were allowed to remain in 20 mM KCl for at least 3 h at 4 °C after which preserved samples maintain similar conductance to that of fresh samples (A. Zanne, unpubl. data).
To determine both tangential spread and axial flow, flushed woody internodes were trimmed with razor blades to 5 cm. The proximal inflow surface was
plugged with two coats of acrylic glue (Super Bonder Loctite 409 and 712 fixer, Loctite Corp.), except for a 60° pie section of sapwood that was left open (Fig. 2, I). The pathway of axial flow was then visualized by sending safranin-O (0.1% in 20 mM filtered KCl) through the inflow section for 10 min or until 5 mL of stain solution passed through the internode. The stained cells allowed us to visualize the axial flow path and account for any spiralling of flow that occurred over the 5-cm pathway. Internodes were then flushed with 10 mL of filtered 20 mM KCl. Axial conductance was measured by pushing 20 mM filtered KCl through the inflow section at 0.1 MPa, and measuring outflow from the unglued distal surface to a balance (Fig. 2, II). Conductance (K) was determined as, K = flow rate/ pressure (g MPa − 1 s − 1 ).
Tangential spread was measured by blocking axial flow. To this end, 180° of distal outflow surface was occluded with glue such that the red-stained cells denoting axial flow were completely blocked and centred in the middle of the 180° glued section. The 20 mM filtered KCl was again pushed through the proximal inlet, and conductance measured through the partially occluded distal outlet (Fig. 2, III). High levels of outflow around the blocked axial route (Ktangential) indicate that fluid can transfer out of glued vessels and into unoccluded ones, suggesting integrated wood able to spread material throughout the crown.
Species vary greatly in Kaxial and this variation could influence values of Ktangential if rapid axial flow allows for more rapid tangential flow. Our Integration Index accounts for this variation, as each species served as its own internal control. Because Ktangential was measured on a distal outlet with half the cross-sectional area of that for Kaxial (180° of the distal end was unglued for Ktangential vs. 360° for Kaxial), we calculate the following:
Integration Index = 2(Ktangential)/Kaxial.
Species with high values (approaching 1.0) are integrated, and those with low values (approaching 0.0) are sectored.
ANATOMY OF XYLEM
Traits related to intervascular pitting, vessel distribution and vessel diameter were measured because they are most likely to influence the pathway of water movement. Intervascular pitting was measured from wood macerates of 3–4 individuals per species using a modified Jeffrey's method (Ruzin, 1999). Wood segments
(3 cm long) were vacuum infiltrated in 1 : 1 10% HNO3 and 10% CrO3, and macerated for 40 h at 60 °C. After washing in deionized water, macerates were stained in filtered safranin-O (1% in 100% EtOH) for 3 days at 60 °C. Samples were de-stained in EtOH, mounted on slides and photographed at 400× with a digital camera (Olympus BX40-F) attached to a microscope using Magnafire SP software (Olympus Optical Co. Ltd). Intervascular pitting in wide pit fields of vessel sidewalls was measured from micrographs. From each wood macerate we measured pitting of ten vessel elements. These measurements were used to compare mean percentage pitfield area occupied by pits for each individual plant (N = 3–4 replicates per species). Images were printed and two parallel lines 25 µm apart were drawn along the transverse axis of each vessel element in broad pit fields where pits were clearly visible. In the segment between the lines, pits were counted. The lengths and widths of five pits down the centre of the segment were averaged and the formula for the area of an ellipse was used to estimate average pit chamber area. Total pit area of the segment was estimated by multiplying average pit area by the total number of pits. From these measurements, we present the percentage of pitfield wall area occupied by pits.
Differences in vessel distributions and diameters were determined from micrographs of wood cross-sections (∼40 µm) stained in safranin (0.1% aq.), mounted in glycerol and photographed as above. To measure distance to nearest tangential neighbour, prints were made of wood cross-sections. Ten focal vessels were chosen randomly such that five vessels were measured each in springwood and summerwood of the 2003
growth ring. For each focal vessel, edge-to-edge distance to the nearest tangential neighbour was measured and average nearest-neighbour distance was calculated.
Statistical analyses were performed with JMP statistical software (Version 126.96.36.199, SAS Institute Inc.). A one-way analysis of variance was used to test for differences among species in the different traits. Significance of differences between species was determined using Least Squares Means Differences Student's t-test.
RESULTS
YE D DISTRIBUTION AND INTEGRATION INDEX
Saplings showed striking differences in their ability to distribute dye (F = 162.32, P < 0.001). In this study, Q. rubra was least capable of spreading point-source safranin throughout the crown. In a sample of four B. papyrifera saplings, stain spread to 17 out of 18 branches (94%) regardless of branch position relative to the root entry point of stain (Orians et al., 2004). By contrast, safranin spread to 53% of branches of A. saccharum and only 38% in Q. rubra. Leaf biomass per branch was a poor predictor of branch staining in these species, because stain spread to branches with small leaf biomass as often as it did to branches with large leaf biomass. In A. saccharum, which has opposite phyllotaxis, stained branches tended to oppose unstained branches (data not shown).
Lateral conductance in blocked vessels (Ktangential) measured in branch xylem of mature trees provided a hydraulic measure of transfer capacity, a wood's potential for allowing lateral spread driven by pressure gradients in the crown. The species differed in Ktangential with Q. rubra exhibiting the lowest capacity for indirect transfer (Fig. 3A; F = 8.18, P < 0.003). Integration Index (Fig. 3B) provided a more precise gauge of relative integration (potential for lateral flow) because it has a defined theoretical maximum of 1.0 (completely integrated) and a minimum of 0.0 (completely sectored). The highest Integration Index occurred in B. papyrifera followed by A. saccharum and finally by Q. rubra (F = 19.61, P < 0.001). Compared with Q. rubra, fluid was ten times more able to pass through lateral channels in A. saccharum and more than 50 times more able to take lateral channels in B. papyrifera (Fig. 3B), when supplied by the same pressure gradient.
ANATOMY OF PATHWAYS
Wood macerates of branches from mature trees revealed the arrangement of intervascular pits in vessel walls (see Orians et al., 2005a for images). Betula
papyrifera had the highest density of intervascular pits and its pits had small (2–4 µm) chamber size, features shared throughout the genus (Brown, Panshin & Forsaith, 1949; Orians et al., 2004). The placement of pits produced alternate lateral wall pitting and a polygonal outline to the packed pits. Compared with B. papyrifera, intervascular pits in vessel walls of A. saccharum were more diffuse (less densely packed) and had larger pit chambers (6–10 µm diameter), in an alternate arrangement. In Q. rubra, pit chamber diameters again ranged from 6 to 10 µm, but were the most oval and widely scattered of the three woods tested, and had a vaguely alternate configuration. Based on ten samples of macerates made from each of three individuals for our test species, B. papyrifera had greater percentage of wall area in pits than did the two other species (F = 162.3, P < 0.001), with more than 24% of the cell wall area in pits. Acer saccharum and Q. rubra had 9 and 12%, respectively, of their wall space in pits.
Vessel diameter and radial distribution were measured from wood cross-sections of 3-year-old branches (Figs 5–7). Diffuse-porous B. papyrifera and A. saccharum have growth rings marked by denser fibres at the outer margin. In our B. papyrifera samples, larger vessel diameters ranged from 40 to 50 µm. These vessels were most often clumped in radial groups of three or more (Fig. 5). Vessel diameter did not vary consistently across the growth ring in B. papyrifera. Instead, wide and narrow vessels intermingled across the growth ring. The range of vessel diameters in B. papyrifera was much smaller than in Q. rubra. In our A. saccharum samples, vessel diameter was fairly uniform (50–60 µm) and vessels tended to be solitary (ungrouped) and evenly distributed throughout the growth ring (Fig. 6). In contrast to the two diffuse-porous species, strong differences in vessel diameter size classes occurred in the ring-porous Q. rubra (Fig. 7). Growth ring boundaries were easily distinguished by gradually reduced vessel diameter in summerwood. Springwood vessels were approximately 100 µm wide whereas summerwood vessels were 30 µm or less. In Q. rubra vessels did not aggregate into radial groups. Cross-sections showed B. papyrifera with the most radial vessel grouping, Q. rubra the least, with A. saccharum being intermediate between the two (Figs 5–7).
Average distance between tangentially neighbouring vessels was used as an estimate of vessel isolation related to tangential flow. Nearest-neighbour distance between vessels in cross-sections should be a good indicator of the likelihood for lateral flow between vessels in our 5-cm segments, as close vessels are likely to come into contact (Kitin et al., 2004). Nearest tangential neighbours were more than three times further in Q. rubra and almost two times further in
A. saccharum than in B. papyrifera (Fig. 8). Thus, B. papyrifera vessels had the most extensive interconnections both radially (Fig. 5) and tangentially, probably facilitating spread of water around the stem. Quercus rubra had the least radial (Fig. 7) and tangential vessel interconnections, probably reducing spread of water around the stem.
DISCUSSION
Our results show that trees differ in their degree of sectoriality, and they help establish an integration– sectoriality continuum. Rather than describing species as integrated vs. sectorial, we use hydraulic and anatomical data to measure sectoriality as a comparative trait.
Movement of water and nutrients through constrained pathways from roots to shoots will in theory produce differences in tissue quality within the crown. Some portions of the crown will be better provided with water, nutrients and other resources than will others. Nitrate experimentally supplied through isolated lateral roots preferentially increased size and chlorophyll content of leaves directly above those roots (in the same orthostichy) in Acer sp., but not in Betula sp. (V. Gloser, K. Libera & C. Orians, unpubl. data). In the field, early leaf colour change in a subset of branches within an otherwise green crown may be an expression of tissue heterogeneity (Fig. 1). In Betula spp., leaf colour changes throughout the crown at the same time, leaving no indication of tissue quality differences among sets of branches. For those taxa (such as maple) that exhibit sectoriality, tissue quality differences within crowns may direct activity of herbivores and pathogens seeking nutrient-rich sectors (Orians & Jones, 2001).
PATTERNS OF TANGENTIAL SPREAD
In a strongly sectored plant, flow of material between roots and crown will be channelled narrowly. Our results show that the most narrowly channelled taxon was Q. rubra, which spread dye to one-third of its branches, whereas in B. papyrifera dye travelled to almost all branches in the same period (Orians et al., 2004). By quantifying dye spread in terms of branches reached after 24 h, we have a measure of sectoriality that suggests B. papyrifera (94% of its branches stained) to be 2.5 times more integrated than is Q. rubra (38% stain coverage). Our dye-spread measurements in whole saplings are useful in comparing sectoriality between taxa rather than as absolute values. Compared with saplings, tall trees have longer root-to-branch pathways that probably increase the opportunity for lateral flow given the right pressure gradient. Double saw-cut experiments on Betula, Acer and Quercus sp. (Tyree & Zimmermann, 2002) provide evidence of differences in tangential conductance in older trees. Lateral flow pathways can bypass a xylem wound within 1 cm of overlapping cuts in Betula, and 10 cm in Acer, but require 8 m to do so in Quercus. Thus, we expect the pattern of sectoriality between species to remain similar between saplings and mature trees. This could be tested further by injecting dye into their trunk (Phair & Ellmore, 1984; Tyree & Zimmermann, 2002) and noting its distribution throughout the crown. Based on dye spread from roots to branches in saplings, the taxa we tested fall along an integration–sectoriality spectrum in order from most integrated to most sectored: B. papyrifera, A. saccharum, Q. rubra.
In trees, the trunk and branches serve as links between roots and leaves. Having demonstrated a range of sectoriality in entire plants, we compared the hydraulics in 5-cm segments of their branches (Fig. 3). We expected branch hydraulics to indicate the similar patterns of sectoriality as did dye distribution in whole plants. This was indeed the case. Species varied greatly in Ktangential. When the pathway of axial flow was blocked Ktangential was high in B. papyrifera, moderate in A. saccharum and low in Q. rubra (Fig. 3A). Similar relationships were found with our Integration Index (Fig. 3B). We recognize that this index does not account for known differences in vessel length among species: species with shorter vessels than the sample length should encounter greater axial resistance due to end walls and thus may appear more integrated. However Ktangential is not compromised by this limitation because axial resistance is raised experimentally to 100% for all species. Overall, our method describes potential pathways along which resources can move but the likelihood of these pathways being used in intact trees depends on pressure gradients along the pathways.
In terms of hydraulics, differences in Ktangential indicate that the wood of B. papyrifera was 1.4 times more integrated than that of A. saccharum and 5 times more integrated than that of Q. rubra, while the index of integration suggests that B. papyrifera is 2 and 50 times more integrated than A. saccharum and Q. rubra, respectively. Compared with dye distribution percentages, hydraulic conductance was measured on a constant 5-cm length of branch internode and revealed slightly greater differences in sectoriality than did dye distribution. Dye uptake data rated B. papyrifera saplings 2.5 times more integrated than saplings of Q. rubra.
We recognize that hydraulic conduction measurements taken from 5-cm segments overestimate axial flow, and hence overestimate sectoriality in intact trees. Species, such as Quercus spp., with average vessel lengths in excess of 5 cm are likely to have many vessels run entirely through the segment without supplying a vessel endwall. This should underestimate resistance to axial flow and explain why Ktangential and the Index of Integration result in different estimates of relative sectoriality even though the relative ranking remained the same. Artefacts from vessel length disparities can be reduced by measuring hydraulics in branch segments that exceed average vessel length for the wood being tested (Zimmermann & Jeje, 1981).
ANATOMICAL IMPLICATONS FOR SECTORIALITY
Patterns of sectoriality are mediated by xylem structure. Several anatomical features could allow flow to tangential pathways, driven by lateral pressure differences in the crown. Sectoriality can be seen as a consequence of a sharp difference between low axial resistance and high lateral resistance. As the difference diminishes, lateral flow becomes more significant and wood becomes more integrated, able to respond to pressure differences caused by wind currents, differential shading and other influences on transpiration that act asymmetrically on the crown. Resistance to axial flow increases with narrow vessels, short vessels and scalariform perforation plates (Schulte & Castle, 1993; Baas, Wheeler & Chase, 2004), all of which occur to a greater degree in B. papyrifera than in our other two test species. Vessel width and length are usually coupled (Zimmermann & Jeje, 1981), with narrow vessels also being shorter and hydraulically less efficient (more resistant to axial flow) because of Hagen–Poiseuille flow. In addition, shorter vessels have more endwalls along the axial pathway, where axial flow will be resisted by pits (Zwieniecki, Melcher, & Holbrook, 2001a). With increased pit resistance in the axial pathway, axial resistance approaches lateral resistance, making lateral flow more likely and favouring integration, as seen in B. papyrifera (Fig. 3B).
Vessel diameter and perforation plate structure may be two wood characters that affect integration– sectoriality. Another is pitting. Resistance to flow through vessel walls, be they endwalls of the axial pathway or the tangential walls associated with lateral flow, is imposed by intervascular pits in the secondary cell wall (Chiu & Ewers, 1993). We predicted that the degree of hydraulic integration in our species would be proportional to the extent of intervascular pitting in each wood, but that was not the case. As predicted, vessel pit density was 2.5 times higher in B. papyrifera than in A. saccharum, and our hydraulics put B. papyrifera as 5 times more integrated than A. saccharum. In Q. rubra, however, the percentage of wall as pits was slightly higher than that of A. saccharum (Fig. 4), despite an extremely low Integration Index (Fig. 3B). Pitting alone appears to be an incomplete predictor of intervascular transfer capacity. Two factors may contribute to this result. First, pit resistance is determined by pit membrane porosity rather than by pit chamber diameter (Jarbeau, Ewers & Davis, 1995; Choat et al., 2003; Sperry, 2003). Recently, Sperry & Hacke (2004) modelled the variation in pore sizes found in pit membranes, and Sano (2004, 2005) used scanning electron microscopy to find openings between microfibrils in pit membranes of Betula platyphylla and Acer mono. Porosity in those species was a function of pit membrane quality rather than size of the pit chamber. Large openings (high porosity) in the pit membrane will favour integration, as water can move more freely through walls bridged by porous pits. It is also possible that trees regulate their degree of integration, as pit membrane porosity changes in response to ion concentration (Zwieniecki, Melcher & Holbrook, 2001b). This was not a variable in our study because all species tested were perfused with the same solute concentration. Second, close vessels are likely to be connected within 2 cm or less of the plane of section, even in straight grained ringporous wood such as that of Fraxinus (Kitin et al., 2004). We found vessels in B. papyrifera and A. saccharum to be much closer to their nearest tangential neighbour than were vessels of Q. rubra (Fig. 8), thus better predicting hydraulic differences in sectoriality between Q. rubra and A. saccharum than did pitting. It may be that measuring the number of pit fields per unit vessel length, or the percentage of total wall that was pitted, would more accurately predict sectoriality than does our measure of pit percentage in pitted areas. Such a measure would account for portions of vessel wall that do not contact other vessels.
In summary, several anatomical traits seem to work together to determine degree of sectoriality. For the three species measured, we found sectoredness to relate positively with increasing axial conductance, wide isolated vessels and low pitting density within
pit fields. That ring-porous species are more sectored agrees with recent measures of sectoriality along leafto-leaf pathways (Orians, Smith & Sack, 2005b).
COMPARATIVE INTEGRATION–SECTORIALITY
In documenting differences in sectoriality we open the way for co- and multivariate linkage between extent of sectoriality and xylem structure (Baas, Wheeler & Chase, 2000; Orians et al., 2005a), evolution (Sperry, 2003; Baas et al., 2004; Maherali, Pockman & Jackson, 2004), life history suites (Reich et al., 2003; Ackerly, 2004), climate (Wiemann et al., 1998), shoot allometry and plant architecture (Preston & Ackerly, 2003). We are extending our methods to other species to understand better the range of lateral flow expressed in wood.
Different environments may select for species cohorts that concentrate near one end of an integration–sectored axis. The most integrated species in our study (B. papyrifera) is diffuse-porous and occupies spatially heterogeneous (rocky soils), often disturbed habitats (Fralish & Franklin, 2002). It has high potential for sharing patchily acquired resources throughout the fast-growing crown. The price to be paid in temperate zones may be a short life because, along with water, integrated wood can spread embolisms and vascular pathogens, and is vulnerable to air seeding, all of which may restrict short-lived B. papyrifera in the north-east USA (Marchand, 1987; Wargo & Auclair, 2000). Integrated wood may be most limiting in seasonally arid areas, such as chaparral, known to have many ring-porous species (Davis et al., 2002; Baas et al., 2004). It remains to be seen if similar limitations are experienced by trees growing in disturbed spatially heterogeneous areas less prone to embolism, such as riparian sites in gravel or rocky riverbeds of tropical lowlands.
Among the three species in our study, ring-porous Q. rubra is the most strongly sectored. This may allow this species to be long-lived by concentrating resources into growing or reproductive sectors, and by isolating sectors that are diseased or embolized (Castello, Leopold & Smallidge, 1995). The price to be paid may be slower growth, but if the association between sectored ring-porous wood and seasonality holds up as we study more species, we predict that the prominence of sectored species may increase as the pattern of wet and dry events intensifies with global climate change (Meehl & Tebaldi, 2004).
Having developed hydraulic and structural measures of integration–sectoriality as a functional trait, more species can be tested for their distribution along this continuum, grouped by architecture (monopodial vs. sympodial), ease of propagation, pest resistance, climate, occurrence along resource gradients, phylog- eny, etc. In this way, we hope to use integration–sectorialty as an axis of ecophysiological variation to help explain tree diversity and forest dynamics in heterogeneous environments, including those associated with global climate change.
ACKNOWLEDGEMENTS
We thank Nancy Harris and Kate Sweeney for collecting data from dye distribution experiments and wood cross-sections. We are grateful to Randi Rotjan for her technical assistance. Funding was provided by the Draupner Ring Foundation (to G.S.E.) and by the Andrew Mellon Foundation (to C.M.O.).
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Early Modern Culture
Volume 13 Shakespeare in the Anthropocene
5-28-2018
"Anthropocentric Signatures": Writing Nature in Doctor Faustus
McKenna Rose
Follow this and additional works at: https://tigerprints.clemson.edu/emc
Recommended Citation
McKenna Rose (2018) ""Anthropocentric Signatures": Writing Nature in Doctor Faustus," Early Modern Culture: Vol. 13 , Article 16. Available at: https://tigerprints.clemson.edu/emc/vol13/iss1/16
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Article 16
"Anthropocentric Signatures": Writing Nature in Doctor Faustus
MCKENNA ROSE
n the final scene of Christopher Marlowe's Doctor Faustus (B-Text, 1616), Faustus's friends rush into his Wittenberg apartment to ascertain if he has survived the "dreadful night" (B 5.3.2) that has just passed. 1 The First Scholar urges the other two to investigate with a description of an event so extreme that he measures it on a geological scale: I
Come, gentlemen, let us go visit Faustus, For such a dreadful night was never seen Since first the world's creation did begin. Such fearful shrieks and cries were never heard. Pray heaven the doctor have escaped the danger. (B 5.3.1-5) 2
Faustus has not "escaped the danger" (B 5.3.1-5) that the First Scholar worries he might have suffered. Instead, a grisly scene confronts the Scholars when they enter: Faustus's body has been torn apart, and the pieces have been scattered about his study. The Scholars survey the scene and conclude that what they thought may have been a storm was actually Faustus being ripped limb from limb in fulfillment of the pact he made with the Devil. The Third Scholar, for instance, reads the scene before him and surmises, "The Devils whom Faustus served have torn him thus/For, twixt the hours of twelve and one, methought/I heard him shriek and call aloud for help,/At which self time the house seemed all on fire" (B 5.3.7-11). Faustus's brutal murder confirms for the three friends what he told them the night before: he paid Lucifer for twenty-four years of "cunning" (B 5.2.65) with his body and soul. Faced with the evidence of his dead body, what first sounded like a storm appears to the Scholars to have been manmade.
The Scholars attribute Faustus's death to the Devils he served, but the mystery of the underlying cause of the event that the three friends investigate persists. The "shrieks and cries" (B 5.3.4) the First Scholar heard are likely, as the Third Scholar surmises, Faustus howling in pain. And yet, he did not witness Faustus scream as he was torn to pieces by the Devils, so there is no way for the First Scholar to know for certain that Faustus is the source of the sounds he heard the night before. Furthermore, the final act of the B-Text features other moments in which it is difficult to discern the difference between Devils and the weather. Each time the Devils enter during the fifth act, the B-Text marks their entrance with a stage direction for "Thunder" (B 5.2.1 and B 5.3.186) and also "Thunder and
lightning" (B 5.1.1). These sound cues align the Devils with meteorological events. While Faustus can see the Devils because of his compact with Lucifer, other characters cannot; they only hear the thunder. Beyond marking for the audience the providential differences between Faustus and the other Scholars, the alignment of the storm with the Devils suggests that the weather is something conjured by man. The "shrieks and cries" (B 5.3.4) of Faustus's death even rival the creation of the world. To get to the bottom of the entanglement of storms with Devils, natural events with the speech acts of man, these scenes of meteorological and linguistic entanglement require interpretation. The final scene offers an example of the confusion that surrounds the causes of events which appear at once metrological and manmade. Not only do Faustus's friends lack the terms necessary to describe the event because it is both climatological and manmade, they also struggle to interpret an event that Faustus makes and that also unmakes him. After all, the event leaves the subject of the play literally in pieces. In an effort to understand Marlow's unruly conflation of climate and man, this essay argues that Doctor Faustus's final scene heralds the arrival—perhaps without knowing it— of the Anthropocene, a term that names the age in which man is the greatest climatological force on earth.
Part I. Doctor Faustus and the Anthropocene
Faustus's bloody end is a warning to those who expect that nature can be controlled or altered without repercussions. Though rooted in the late sixteenth and early seventeenth century in which it was written, performed, and published, Doctor Faustus anticipates the mechanistic concept of nature that has come to define contemporary attitudes toward the nonhuman. As is well known, Doctor Faustus stages the destruction that early imperial and proto-scientific ideology visited on the environment. Emily Bartels, for example, argues that all of Marlowe's published plays are "deeply invested in supporting or subverting the idea of English supremacy, and with it, England's right to the world's resources." 3 Similarly, William Tate, explains that the play's obsession with the accumulation of wealth signifies in the context of "the exploitation of New World resources." 4 Like Tate, Sarah Hogan finds in Faustus's project the stirrings of "the relatively novel seventeenth-century ideal of nature as raw material." 5 Not only does Doctor Faustus stage the ways in which early imperialist ideology authorizes the exploitation of natural resources, but the play also dramatizes a concept of nature pliant to human will. Downing Cless, for instance, argues that the rise of science shapes Faustus's understanding of the natural world as inexhaustible and easily subdued. 6 Both the proto-imperial and proto-scientific contexts, which Marlowe encodes in his play, anticipate a view of nature as remote in space and time. The play figures both the Early Modern and contemporary environmental crisis through Faustus's violent excesses in which he assumes that natural resources are endlessly exploitable and distinct from humans. Despite Faustus's own assumptions about his relationship to the natural world, the confusion that
Shakespeare and the Anthropocene
permeates the distinction between man and the weather, which the final scene dramatizes, suggests the impossibility of such a distinction.
The final scene of Doctor Faustus suggests that there really is no way to tell where nature ends and culture begins, and Anthropocene helps describe this lack of distinction. If humans are most responsible for shaping climate, then nature is not remote or separate from humans. According to Timothy Clark, one consequence of the Anthropocene is that "Natural events may now take on an opaque or debatable element of 'meaning.'" 10 That the Scholars are able to interpret the scene of Faustus's death in relation to its cause reflects such Anthropocentric opacities. The Scholars assume that they can interpret the meaning and causes of the event that kills Faustus. Even though at the thematic level the play imagines that nature is remote in ways that allow Faustus to exploit the world around him, that nature is something that calls for interpretation in the final scene suggests that the boundaries between nature and culture are blurred. The scholars ask of Faustus's last night on earth, as Clark asks of the
Since Doctor Faustus was first published in 1604, again in 1616, and likely performed from approximately 1588-1640, the play provides an exemplary instance of the human becoming a geological force. Geologists Simon L. Lewis and Mark A. Maslin mark the start of the Anthropocene, the age in which humans exert the greatest geological force on the environment, to 1610. In their article, "Defining the Anthropocene," Lewis and Maslin "review the historical genesis of the idea and assess anthropogenic signatures in the geological record against the formal requirements for the recognition of a new epoch." 7 They suggest that the geological record, specifically "the appearance of New World plant species in Old World sediments," shows that European expansion, which inaugurated an unprecedented exchange of species across continents, as well as the decimation of human life and community through disease, pushed the world into a new geological era. 8 Though scientists read changes at geological scale in "stratigraphic material, such as rock, glacier ice, or marine sediments," Lewis and Maslin appreciate that the growing recognition of humans as a climatological force is "an act with consequences beyond geology." 9 Not only do their findings invite scholars of all disciplines to engage in an investigation of the shifting perimeters of periodization, their understanding of Anthropocene also redefines the human in relationship to the natural world. Faustus provides an example of ways Early Modern practices—colonial expansion, trade, resource extraction—helped to make the ecologies we presently inhabit. Because he satisfies his appetite for luxury goods, exotic fruits, and building materials at the expense of the environment he inhabits, Faustus leaves his own signature in the historical/geological record that has helped to forge what we call the Anthropocene. He trades his body and soul for magic powers so that he may mine gold from India, acquire pearl from the ransacked ocean, and obtain fruit out of season from far-flung corners of the world. The powers for which Faustus loses his soul represent the historical forces that led to the expansion, extermination, and extinction of plants, animals, and people, which Lewis and Maslin find recorded in the stratigraphic record. And it is precisely this manmade become geological which invites and defies interpretation because sedimentary layers conflate cultural and natural production.
Anthropocene in general, "Is this a 'cultural' or 'natural' phenomenon?" 11 Or rather, the Scholars and the play more broadly rely on sets of cultural signifiers to describe a potentially "natural" weather event because the event is itself a cultural production.
Even while Doctor Faustus is a play about a magus who lands himself in hell because he uses his great gifts for himself and not the glory of God, the play also suggests that describing the natural world according to religious iconography is another failed project. That is, a progressive narrative gets applied to the history of the way humans understand nature, and Doctor Faustus represents a paradigm shift in the story. So here you have represented a group of sixteenth century scholars who attribute a climatological event to the Devil, while at the same time Faustus himself eschews theology and theological explanations of the natural world for one of dominion. For Faustus, the natural world and its events are not the result of divine intervention, but rather humans acting on inert material. Faustus represents a move toward natural philosophy, a move in which the natural is not a set of signifiers for humans to decipher, but a set of materials for humans to appropriate. That turn from the Great Chain of Being to a New Scientific model shuts down a theory of the universe in which geological events are an expression of God's will. The New Science, for which many critics argue Faustus stands, rejects the notion that the natural world, like God's will, is something that calls for interpretation. 12 Ironically, the period of Early Modern history in which Faustus was written also disentangled itself from a discourse that understood natural events as divine and legible symbols of heavenly intent. The divestment, the turn from God to man, from heavenly intent to an inert natural world, ushered in an age of exploitation and unfettered resource extraction. Such exploitations are contiguous with climate change in our contemporary moment in which human consumption, combustion, and extraction causes and accelerates "natural" disasters such as wild fires and hurricanes. Anthropocene not only names the epoch in which human activity effects the nonhuman world, but the term also describes ways the weather humans have helped to make has meanings to which we must be attentive now more than ever. So while Early Modern audiences may have recognized Faustus's friends' attribution of the bad weather to the will of supernatural forces, the scene is worth recalling in our present moment, a moment in which the consequences of human force on the environment is keenly felt, because it describes the Early Modern beginnings of contemporary climatological crises, which, like the play itself, repeats in the historical and geological record.
The three Scholars may interpret the forensic evidence laid out before them, i.e. the mangled corpse, thunder, and lightening, as the result of divine intervention, but the series of events that produced the body parts, the sound effects, and the flashes of light, are not directly traceable. Instead Faustus's exploitation of the natural world, both real and imagined, results in the final grisly scene in much the same the way that unchecked carbon emissions now conclude in super storms and the acceleration of coastal flooding. That said, Faustus is more than an allegory to caution audiences against excessive exploitation and the dangers of assuming that nature and culture are split. Doctor Faustus contributes to the terminal effects of resource exploitation with which the world presently
Shakespeare and the Anthropocene
contends. The play was played at the earliest London theaters, the Belsavage, the Theater, and the Rose, and the timber required to build these theaters likely strained Early Modern London's already depleted timber stores. 13 In addition to the trees felled to build the theaters in which Doctor Faustus was performed, the play's enduring popularity with Early Modern audiences was due in part to the addition of increasingly spectacular scenes and special effects. Doctor Faustus was one of the Early Modern period's most popular plays, so the play was in repertory almost every season from at least 1589, when the Belsavage closed, to approximately 1640, when the play was performed by Prince Charles's Men at the Fortune. 14 In order to draw audiences back to see the play over and over, Henslowe and his company added costly firework displays, extra devils, and spectacular scenes to the version of the play that the A-Text records. 15 The final act of the B-Text, for instance, may have rendered Faustus's bloody corpse in chunks of meat and stage blood amid the tableau of books and papers as a surprise ending for an audience familiar with the earlier version of the play. 16 Ensuring the continued popularity and success of Doctor Faustus was itself an ever-increasing drain on resources, as well as a project that assumed that those resources were available in unlimited supply. The drive to keep the play fresh and in repertory is an example of Anthropocentric practices that convert nature into culture and in so doing result in shortage on the one hand and accumulation on the other. But since the mass storehouse that Doctor Faustus eventually becomes is itself always growing and changing it takes on organic potentials, which render the whole manmade constellation—all the printed play texts, stage properties, and the materials that constitute the theater—difficult to distinguish from the resources out of which it is constituted.
Part II. Anthropocentric Constellations
Reading Doctor Faustus as project which exploits and accumulates nature not only accounts for how it is a key text in the origin of the Anthropocene, but also shows how humans are incorporated into the material they exploit. Because Doctor Faustus stages the ecological context of the late sixteenth century in which it was written and initially performed, scenes of expansion and extraction, such as Mephistopheles's fetching of the grapes from the southern hemisphere, Faustus's conjuring of the trees into a bulwark, and Faustus's signing of the deed in blood, encode the origin of the Anthropocene. These moments are freighted with the first disastrous effects that humans have on the natural world, as they point toward the modern crisis of warming and extinction. In other words, the play stages the inevitable extinction that is the consequence of the inchoate imperialism, which Faustus's fantasies of accumulation represent.
Though Faustus's appetite for extraction makes it difficult to discern the ways in which he is enmeshed in the larger ecologies of the play, I suggest that reading Faustus as a character who is always included within larger material systems puts pressure on the very definition of the human both at the start of the
Anthropocene and in its current iterations. Near the end of their European travels, for example, Faustus sends Mephistopheles to fetch "a dish of ripe grapes" (B 4.6.19) from a "far country" (B 4.6.23) to satisfy the food cravings of the Duchess of Vanholt. Mephistopheles's nearly instantaneous retrieval of the grapes from the southern hemisphere, the "contrary circle . . . where they have fruit twice a year" (B 4.6.29-31), marks a fulfillment of the conditions laid out in the first deed of gift that Faustus makes with Lucifer. In the deed, Faustus agrees to give his body and soul to Lucifer, so long as "Mephistopheles shall do for him and bring him whatsoever" (2.1.100). Not only does the fetching of the ripe grapes satisfy the terms of the bargain, but the action also provides, as many critics argue, a concrete example of the exploitation of natural resources. 17 The way that Faustus frames the Duchess's desire for the grapes also recalls his own predilection for accumulation when he explains, "I have heard that great-bellied women do long for things are rare and dainty" (B 4.6.10-12). The fetching of the grapes out of season anticipates contemporary food production, which strains resources through a global supply chain and also reinforces hierarchical, imperialist divisions all of which have dire environmental consequences. Furthermore, the grapes, or the stage properties that represented the grapes on the Early Modern stage, are not remote in space and time, but rather a part of the local ecosystems that the playing of Doctor Faustus initially strained.
Faustus, along with his colleagues in the magical arts, Cornelius and Valdes, begin the play by engaging in fantasies of resource stripping. Valdes imagines controlling the "spirits of every element" (1.1.122) so that "From Venice shall they drag huge argosies,/And from America the golden fleece / That yearly stuff old Philip's treasury" (1.1131-34). Not to be outdone, Cornelius expects: "The spirits tell me they can dry the sea/And fetch the treasure of all foreign wrecks— /Ay, all the wealth that our forefathers hid/Within the massy entrails of the earth" (1.1.145-49). Their machinations are a response to Faustus's initial fantasy:
How I am glutted with conceit of this! Shall I make spirits fetch me what I please, Resolve me of all ambiguities, Perform what desperate enterprise I will? I'll have them fly to India for gold, Ransack the ocean for orient pearl, And search all corners of the new-found world For pleasant fruits and princely delicacies. (1.1.80-86)
As the lines above indicate, Faustus hazards his body and soul for the sort of power that would allow him to "ransack" (1.1.84) the natural world, and Mephistopheles entering "again with the grapes" (B SD 4.6.22) is the most direct fulfillment of Faustus's initial resource extracting desires. The fetching of the grapes can also be read as indication of Faustus's failure. Faustus suffers an eternity of torture in hell for what amounts to a fleeting moment, a conjurer's trick that falls far short of his grandiose initial expectations. Still, if we consider Faustus's
Shakespeare and the Anthropocene
potentially terraforming desires within the context of the Anthropocene, then we may see the out-of-season grapes not as a parlor trick, but as the issue of a huge infrastructure. While the play never stages the sort of environmental devastation that Faustus, Valdes, and Cornelius dream of visiting on it, fetching grapes out of season is a massive project that entangles the government, the church, and the academy, while also possessing the power to "dry the sea" (1.1.149). The grapes are not so much an example of the smallness of Faustus's art, rather they are cultural objects that present as natural and in so doing invite the interpretation of ecocritics in much the same way that the final event of the B-text invites the interpretation of the Scholars.
In addition to the grapes, pearls, gold, and other unnamed delicacies, Faustus composes a bulwark out of what he perceives as the raw materials of the natural world. For instance, in the B-text, when the soldiers ambush Faustus and Mephistopheles on the road to Wittenberg from the Emperor Alexander's court, Faustus commands the trees to move, and they produce a fortification that protects him and Mephistopheles. He issues the command, which conflates trees with people, "Base peasants, stand!" (B 4.2.100), and then the stage directions explain that "[Trees come between Faustus and the Soldiers]" (SD B 220.127.116.11). After he realizes that the trick works, Faustus laughs and says,
For lo, these trees remove at my command And stand as bulwarks 'twixt yourselves and me To shield me from your hated treachery. Yet to encounter this your weak attempt, Behold an army comes incontinent. (B 4.2.101-105)
Faustus imagines himself to be wholly separate from nature in this moment. While deforestation is one consequence of such imagining, his tragic ending, which is indecipherable from a meteorological event, also comes about, however indirectly, because he commands the trees and ransacks the Earth. And yet for all his authority over the natural world, for all his ability to exploit natural resources and convert them into self-serving compositions, Faustus is incorporated into the ecosystem of the play. The bit with the moving trees is at once a citation of Marlowe's source text, the Damnable Life, in which, "suddenly all the bushes were turned into horsemen" as well as a further example of anthropocentric illegibility in which fire and thunder are the consequence of human action. 18 Furthermore, the trees that seem to move of their own accord also provide a metatheatrical commentary on the wood that was cut and processed to create the theaters in which Doctor Faustus was initially staged. Similar to the fetching of the grapes and his desire to "ransack the oceans" (1.1.84), the moving of the trees, both within the fiction of the play and in terms of the theater itself, is only possible through dense networks of resource exploitation. Though Faustus conceives of himself as divided from the trees he commands, his conjuring is contingent on his own materiality. After all, through the deed of gift, which makes the actions above possible, Lucifer extracts Faustus's body and soul.
That Faustus is a victim of a storm of his own making presages the dangers of our own climatological moment. Doctor Faustus helps us understand that to live in the Anthropocene is to live in a time in which we are beset not only by the crisis of super storms, but also by a crisis of how to interpret those storms. As Faustus's fellow Scholars show, when man makes the weather, the weather can signify in all sorts of unexpected ways. And while the deep contentions surrounding man-made environmental crisis troubles scientists and humanists alike, the event in which Doctor Faustus culminates has reparative potential. Storms that are both man-made and meteorological force us all to work together to make sense of their meaning.
Part III: Anthropocentric Signatures
In order to fulfill his initial fantasies of accumulation, fantasies that result in fetching grapes from the southern hemisphere and moving trees at his command, Faustus signs his name in blood to a deed of gift. Just as he starts to write the deed of gift in blood to Lucifer, the blood spills on the stage, and Faustus exclaims to Mephistopheles, "My blood congeals, and I can write no more" (2.2.61). The two characters have very different reactions to the interruption caused by the blood's transformation from liquid to solid. Mephistopheles regards the transformation as an elemental process. The blood's congealing is of no more concern for him than water freezing into ice, so he exits to "fetch [Faustus] fire to dissolve it straight" (2.1.63). Unlike Mephistopheles, Faustus regards the "staying of the blood" (2.1.59) as an event that requires a close textual analysis to understand:
What might the staying of my blood portend? Is it unwilling I should write this bill? Why streams it not, that I may write afresh? 'Faustus gives to thee his soul'—Ah, there it stayed! Why shouldst thou not? Is not thy soul thine own? Then write again: 'Faustus gives to thee his soul.' (2.1.59-69)
Because the blood seems to congeal each time he attempts sign his soul away, this scene challenges Faustus's status as a bounded subject, who is separate from nature. The staying of the blood suggests, instead, that Faustus is a collection of material parts even prior to the signing of the deed. From the moment when Mephistopheles orders Faustus to "Stab thine arm courageously" (2.1.49), and he notes, "this blood trickles from mine arm" (2.1.56), the blood has the potential to signify in unintended ways as it spills out onto the stage staining everything it comes into contact with. As Lowell Gallagher explains, "The blood appears charged with an incipient meaningfulness that arrives in advance of the text he is poised to write. In other words, the very matter used to produce the document is already a text, sort of." 19 Blood is a figure that signifies in a variety of prior contexts in the play, for example Faustus daydreams about making Beelzebub an offering
Shakespeare and the Anthropocene
of the "blood of new born-babies" (2.114). The blood in which Faustus inscribes his deed of gift is itself a text in advance of his writing with it in both the fiction of the play and at the level of its staging. Faustus's treatment of the stage blood as a text reflects on the very processes by which the play text is transmitted, and also shows how the natural world, the elements Faustus wants to exploit, are indecipherable from his own material body.
Faustus's famous signature is itself a sedimentary layer in the literary and geological archive. Doctor Faustus ends where it began, with Faustus in his study in what at first glance seems like an indisputable conclusion that looks back at the fantasy of endings with which the play opens. And yet, to the extent that the play dramatizes "writing" with body parts, what seems like Faustus's inevitable conclusion is really a beginning. Here he is, "torn asunder" (B 5.3.7) and dispersed among the books in his study. The stage properties that depict the limbs and books sit side by side on stage to suggest ways in which Faustus was always an assemblage of objects and body parts. From the very first, Faustus is an exemplary figure of exploitation: he is "swoll'n" (Prologue 20) and later "glutted" (1.1.80) by a fantasy of accumulation that includes, but is not limited to, pearl, gold, silk, fruits, all the secrets of foreign kings, war machines, and Germany. The things he keeps and stores up, the texts and objects that have survived previous contexts only to accumulate in his study, form an ecosystem into which he is literally incorporated in the finale. Because Faustus both represents the first flush of world-conquering humans and is always a network of material across which agency is diffuse, he offers some insight into the geological shift, which is as consequential as the First Scholar suggests when he compares the "dreadful night" (B 5.3.2) of Faustus's death to the "first creation of man" (B 5.3.2). When Doctor Faustus concludes with a scene in which scholars collaborate with one another to read mysterious events in the natural world written through the legacy of resource exploitation, the play stages for contemporary ecocritics a method for approaching not only Early Modern drama but also the human-become geological of the Anthropocene.
Ultimately Faustus is able to sign the deed "By me, John Faustus" (2.1.114) in his blood, but the trace of this weird moment of the blood's resistance remains. The signature is ironic, of course, because at the same time that Faustus is proving that he is a unique signatory present at the time of signing, he is both citing the Faustusbook and acting the whole scene out in a play, which can be repeated indefinitely. So while the stage signature is supposed to emphasize Faustus's singularity, the scene shows how the origin points of human dominion can repeat indefinitely in the absence of the signatory. That the bargain can and does make meaning without Faustus, is just one example of extra human agency in this scene. At the same time, the recalcitrant blood shows how the very material of Faustus's own body writes itself into this exemplary instance of anthropogenic signature. The signing of the deed provides an instance of cooperative agency that challenges definitions of Renaissance subjectivity that Faustus initially embodies and also suggests the human of the Anthropocene has been in pieces since its inception.
Notes
1. Doctor Faustus survives in two printed editions: the 1604 A-text and the 1616 B-text. While the final scene of the B-Text is likely one of several "adicyones in doctor faustus," for which Philip Henslowe notes in his Diary that he paid to William Byrd and Samuel Rowley, this essay assumes that the two texts of Doctor Faustus are interlaced despite the B-Text's collaborative authorship and substantial variants. See Philip Henslowe, Henslowe's Diary, ed. W.W. Greg (London: A.H. Bullen, 1904), 174. Given that the two texts are inextricable, all quotations follow Christopher Marlowe, Dr. Faustus: The A-and B-texts (1604, 1616), A Parallel-Text Edition, Revels Student Edition. eds. David Bevington and Eric Rasmussen (Manchester: Manchester University Press, 2014). For more on the shifting critical consensus of the relative authority of the two texts of Doctor Faustus, see Leah Marcus, "Textual Indeterminacy and Ideological Difference: The Case of Doctor Faustus" in Critical Essays on Christopher Marlowe. ed. Emily C. Bartels (London: G.K. Hall & Co., 1997), 15-38. Marcus highlights some contentious moments in the debate over the two texts of Doctor Faustus, a debate that ranges from W.W. Greg, who prefers the B-Text and derides the A-text's "'feebleness,' 'gibberish,' and 'inappropriate rant,'" to Constance Brown Kuriyaam, who argues the B-Text is "an aesthetic monstrosity and critical nightmare," (qtd. Marcus 18-19). This essay concurs with Paul Menzer's suggestion that Doctor Faustus "may have more closely resembled a deck of cards, liable to cutting, shuffling, and reshuffling" (224), than two discrete texts, the one more authoritative than the other. See Paul Menzer, "Fractional Faustus," Christopher Marlowe the Craftsman: Lives, Stage, and Page, eds. Sarah K. Scott and M.L. Stapleton (Surrey: Ashgate, 2010), 215-225.
2. Unless otherwise noted, citations of Doctor Faustus presume no variation between the two texts.
4. William Tate, "Solomon, Gender, and Empire in Marlowe's Doctor Faustus," Studies in English Literature 37, no .2 (1997): 257-76, 259.
3. Emily Bartels, Spectacles of Strangeness: Imperialism, Alienation, and Marlowe (Philadelphia: University of Pennsylvania Press, 1993), xiv.
5. Sarah Hogan, "Of Islands and Bridges: Figures of Uneven Development in Bacon's New Atlantis," Journal of Early Modern Culture 12, no. 3(2012): 28-59, 53.
6. Downing Cless, "Ecologically Conjuring Doctor Faustus" Journal of Dramatic Theory and Criticism 20, no.2 (2006): 145-167.
8. Lewis and Maslin, 175.
7. Simon L. Lewis and Mark A. Maslin, "Defining the Anthropocene," Nature 519, no. 7542 (2015): 171-180, 171.
9. Lewis and Maslin, 175.
10. Timothy Clark, "Nature, Post Nature," in The Cambridge Companion to Literature and the Environment, ed. Louise Westling (Cambridge: Cambridge University Press, 2013), 75-89, 79.
11. Clark, 80.
13. That Philip Henslowe's father Edmund was Master of Ashdown forest, leads Vin Nardizzi to wonder if the forest might be "the source of (some of) the wood and timber needed for the Rose playhouse?" in Wooden O's: Shakespeare's Theatres and England's Trees (University of Toronto Press, 2013), 144.
12. For more on Doctor Faustus and the rise of science see Tobias Döring, "Magic, Necromancy, and Performance: Uses of Renaissance Knowledge in Marlowe's Doctor Faustus," Magic, Science, Technology and Literature, eds. Jarmila Mildorf et. al. (Hamburg: Lit Verlag, 2008); and Christa Knellwolf King, Faustus and the Promises of the New Science, c. 1580-1730: From the Chapbooks to the Harlequin Faustus (Farnham: Ashgate Publishing LTD., 2008).
14. David Bevington, "The Performance History," in Doctor Faustus: A Critical Guide (London: Continuum, 2010), 41-71, 43.
Shakespeare and the Anthropocene
15. For more on the famous contemporaneous, eye-witness accounts of extra devils magically appearing onstage during performances of Doctor Faustus see E.K. Chambers, The Elizabethan Stage, vol. 3 (Oxford: Clarendon Press, 1923), 3:423-424.
16. For more on the quantity of butchered animals the Early Modern theater used to stage blood, guts, and severed limbs see Lucy Munro, "'They Eat Each Other's Arms': Stage Blood and Body Parts," in Shakespeare's Theater and the Effects of Performance, Eds. Farah Karim-Cooper and Tiffany Stern (London: Bloomsbury, 2013), 73-94; and Andrew Gurr, "Comments on Staging Blood," in Stage Blood: A Roundtable (Shakespeare's Globe Theatre History Seminar, Proceedings and Conclusions, 2006), 10-17.
17. See Toni Francis, "Imperialism as Devilry: A postcolonial Reading of Doctor Faustus," Doctor Faustus a Critical Guide (London: Continuum Press, 2010), 111-123. Francis reads the fetching of the grapes out of season as an example of Faustus's "imperial power and dominion over the earth" (120). See also Jane Hwang Degenhardt, who explains that the access and acquisition of grapes in winter suggest that "the magic for which Faustus has sold his soul to the devil is, in this instance, that of effortless global commerce—or, rather the ability to attain a foreign commodity while by passing the means of production and the contingencies of exchange." "The Reformation, Inter-imperial World History, and Marlowe's Doctor Faustus," PMLA 130, no. 2 (2015): 402.
19. Lowell Gallagher, "Faustus's Blood and the (Messianic) Question of Ethics," English Literary History 73, no.1 (2006): 1-29, 43.
18. William Rose, ed., History of the Damnable Life and Deserved Death of Doctor John Faustus, 1592 (Whitefish: Kessinger Publishing, 2003), 155.
___
McKenna Rose is a Marion L. Brittain Postdoctoral Fellow at the Georgia Institute of Technology. Her essay "Surviving The Tempest: Ecologies of Salvage on the Early Modern Stage" is published in Shakespeare. She is currently working on a book called Bad Collections: Catastrophic Accumulation in Early Modern Drama.
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MARINERS' ADVISORY COMMITTEE
FOR THE BAY AND RIVER DELAWARE MEETING
June 11, 2015 MINUTES
The Regular Quarterly Meeting of the Mariners' Advisory Committee for the Bay and River Delaware was held June 11, 2015 at Ristorante LaVeranda Philadelphia. Captain Jon Kemmerley presided over the meeting. The meeting was called to order at 1100 hours and there were 49 members, associates and interested parties in attendance.
I. Welcome
Captain Jon Kemmerley welcomed members and guests.
II. Reading of the Minutes
Captain Mike Nesbitt moved that the reading of the March 2015 Minutes, seconded. Captain Wayne Bailey seconded, all approved.
III. Report of the Treasurer
MAC Treasurer Rick Iuliucci, reported a balance of $13,589.00.
IV. Army Corps of Engineers (ACOE)
Tim Rooney handed out and reported on the following information.
END OF ACOE REPORT
He added that there are no air gap restrictions while work proceeds on the Senator Roth Bridge and prospects on the Inter-coastal Waterway job for dredging at the Cape May Lewes Ferry Terminal area are being planned for the fall.
Captain Broadley inquired about the Marcus Hook rock removal. Mr. Rooney while unsure of the exact timeframe offered the following information: It's on a two year cycle, December through March; and will include blasting and bucket removal.
It was discussed that the lower end of Reach E is scheduled for 2016 with a hopper dredge.
Captain Roberts inquired about the availability of a safety boat under the canal bridge. Mr. Rooney didn't think that there would be one but will speak with Tim Kelly and advise accordingly.
V. NOAA
Darren Wright reported the following: The Ben Franklin Bridge air gap project and the water level station at Tioga have been delayed slightly and he'll have an update at the September MAC meeting. No handouts were distributed.
VI. Aids to Navigation USCG
Mr. Mike Davis supplied the following handout:
Sector Delaware Bay Aids to Navigation Report
June 2015
1. Ice Season Recovery: The Sector Delaware Bay area of responsibility suffered 144 total ice related discrepancies to aids in the Delaware Bay, Delaware River (and tributaries), and the NJ ICW. To put that in perspective, there were 119 total discrepancies caused by the 2014 ice season and Hurricane Sandy combined. To date, all but six have been corrected permanently.
2. Seasonal Aid Reliefs: ANT Philadelphia, ANT Cape May and USCGC WILLIAM TATE completed spring seasonal reliefs in accordance with the Light List.
3. Lighted Ice Radar buoys (LIRs): USCGC WILLIAM TATE deployed six hulls this past winter, all in the Upper Delaware River. D5 dpw desires as much feedback as possible on how the buoys are performing, and what impact it has to shipping/night transits/etc over the course of the ice season.
4. Proposal to add AIS synthetic Aids to Navigation: AIS Synthetic AtoN markers have been added to the following aids in addition to the physical hull already on station:
Delaware Bay Approach Lighted Whistle Buoy CH (LLNR 1485) New Castle Range Lighted Buoy 1N (LLNR 2720) New Castle Range Lighted Gong Buoy 3N (LLNR 2740) Chesapeake and Delaware Canal Junction Lighted Buoy CD (LLNR 2745) Please feel free to comment on the usefulness of the AIS signal on these aids.
5. Delaware River 45' Deeping Waterway Design Project: To date, D5 (dpw) has identified 150 buoys and ten ranges that require changes. Project will require two new ranges and affect 14 anchorages. Est. cost $22.6 mil (AC&I funded). D5 (dpw) will address waterway AtoN changes with primary users and pilots for their feedback.
6. Range upgrades to LED optics: We are in the process of upgrading range optics to LED on the following aids: Enterprise Upper Range Front and Range Rear Lights Enterprise Lower Range Front and Range Rear Lights Kinkora Upper Range Front and Range Rear Lights
7. Keystone Range: The range has been discontinued and we are in the process of developing a plan and identifying funding for the removal of the structures.
8. Fisher Point Range: No update available for the range realignment.
9. Devlin Lower Range Front Light: CGC SLEDGE rebuilt the RF during the week of May 25, 2015 and ANT Philadelphia installed lighting equipment. The RR optics were converted from incandescent to LED in conjunction with the construction of the new RF. The dayboards removed and the light characteristics will change to Fl R 2.5(1) characteristic. The old RF structure was removed by ANT Philadelphia.
10. Salem River Range Rear Light: D5 (dpw) has issued an OPORDER for discontinuing the Directional LT that was previously the RF. When the range was built the lateral aids were 100% buoys. Since then, the buoys have been replaced by JRIRS supported lateral aids. We have no plans for discontinuation of the light until there is a plan in place for either marking or removing the stone/concrete structure on which the structure is built.
11. Baker Range: The structural condition of the range rear tower necessitates its reconstruction and relocation. The current Baker Range Front Light will be converted to the rear light and a new Baker Range Front Light will be constructed (see below). The project calls for LED optics and solarization, preserving the signal characteristics. The project, with a construction cost estimate of $3.7M has been submitted to and approved by Coast Guard Headquarters.
12. Harbor of Refuge LT: We are planning for the installation of a MRASS unit which will eliminate the seasonal availability of the current sound signal and will make the signal available on demand to the user. MRASS is activated by the mariner keying the microphone on channel 83A five times within a ten second period. Each key of the microphone should have approximately one second pause between key strokes. After activation the signal will sound for 30 minutes and then secure itself. MRASS has been installed on Cape May Canal West Entrance North Jetty Light 11 and Manasquan Inlet Light 3.
13. Elbow of Cross Ledge Light & Miah Maull Shoal Light: Plans were expedited for solarization of Miah Maull when the submarine cable supplying electrical power from Fortescue to Elbow of Cross Ledge Light and then on to Miah Maull Shoal Light was severed. We have completed solarization of Elbow and are well on the way to
completion of Miah Maull. The red sector on Miah Maull will be retained and plans are to retain the RACON and install Mariner Radio Activated Sound Signal (MRASS). We anticipate completion in the next few weeks. The Fourth Order Fresnel Lens has been removed from Miah Maull and will be on display at Sector Delaware Bay in the near future.
14. Port Mahon: The MAC had forwarded a request from Vane Brothers towing (under contract for fuel deliveries for Dover AFB) in reference to lighting the buoys in Port Mahon Approach Channel. We reviewed the channel and determined that due to water depths the only option would be 5x11 hulls, which are in critically short supply. Additionally the waterway review indicated fairly high rate of off station buoys. The charted depths indicate depths sufficient for fixed structures, and a proposal was recommended to Vane Brothers to establish three fixed lighted aids, discontinuance of Mahon River Light (located behind fuel pier), and discontinue several additional buoys. The recommendation was acceptable to the user and we have initiated the project design. The project will include changing three buoys to three new fixed lights (James River Ice Resistant Structures), discontinuance of Mahon River Light, discontinuance of four additional buoys, and repositioning/renumbering of the channel aids. Projected project start date is spring 2015 and will potentially be accomplished in phases.
VII. Sector Delaware Bay
COTP Cooper reported that this area is experiencing an energy renaissance occurring on the river and noted additional demands on the Coast Guard due to that. He advised the MAC that Lt. Mike Weaver is working to put together a fact gathering effort of all these new activities such as LNG bunkering, shipbuilding, oil by rail and offshore wind projects. He asked that the members of the MAC reach out to Mike so that we don't leave anything off the fact gathering report.
He added that Chevron is exploring the possibility of locating an offshore oil platform at the upper end of Big Stone Beach anchorage, or above, for a period of 6 to 18 months for non-drilling purposes. The platform has a 400 x 400 footprint and will be in repair during that time.
The William Tate has a Change of Command this summer.
June 1 st was the beginning of Hurricane Season.
We have 84 permits that have been processed for marine events so far including a Tall Ship Parade.
VIII. Old Business
Presentations on Offshore Energy Programs
USCG D5 Kristie Bailey and U.S. Wind Inc representative Paul Rich, Director of Development
IX. New Business
MARCUS HOOK ANCHORAGE ROCK REMOVAL SUB-COMMITTEE
Mike Nesbitt of Sun Logistics reported on the impact of rock removal at Marcus Hook Anchorage on ship and tug/barge traffic. He requested forming a sub-committee of all affected businesses. It was discussed to add interested commercial and industrial parties to the group including pipeline owners. It was decided to meet after the MAC meeting to begin formalizing plans.
ADDENDUM REQUEST TO MAC ADVISORY section LOWER RIVER AND BAY #3.
Captain Kemmerely reported the following:
The following appendix was drafted to be added to the MAC Recommendations to calculate block coefficient.
"Back when this particular guideline was crafted the majority of ships that were in excess of Panamax beam were bulk ships; tankers/obos (ore/bulk/oil). Most of those ships needed to transit during flood current due to the speed that they made.
We are in the middle of a situation today where more and more post Panamax containerships are able to make a lot better speed. Hamburg Sud ships that call Holt Logistics are arriving at the beginning of ebb tide. The ships are able to make decent speed but are being delayed waiting for the flood tide.
They actually would have more under keel clearance proceeding up the river at the very beginning of the ebb rather then waiting for the flood. This is costing them a tremendous amount of money when their ships get bumped. This is hurting their competitive advantage. We have spoken to a lot of pilots and docking maters about this over the last 7 months and have decided to present a motion to alter the MAC guidelines slightly.
Most containerships fall under this block coefficient threshold of 7 allowing these ships to come up at the beginning of the ebb tide unless weather situations arise where its deemed best to wait for the flood tide.
The change is as follows:
All vessels having a block coefficient of point 7 ( .7 ) and above over Panamax beam, in excess of a freshwater draft of 35.6 feet, shall only transit during flood current."
Captain Roberts moved to accept the motion effective immediately. Captain Wayne Bailey seconded. All approved.
X. Adjournment
Captain Kemmerley announced the next meeting of the MAC is scheduled for September 10, 2015 at 1100 hours at the LaVeranda Restaurant at Penn's Landing.
With no further agenda items or discussion, Captain Roberts moved that the meeting be adjourned Darren Wright seconded. The meeting was adjourned at 1250 hours.
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March 2002 Issue
President Curt Lewis 815-633-4280 email@example.com
Vice President Newell Haxton 630-495-0414 firstname.lastname@example.org
Secretary Robert Rydin 630-513-5947 email@example.com
Treasurer Ray Konrath 630-968-8776
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Inside this issue:
CLGC Soaring Seminar
1,2
2003 Region 7 Soaring
Contest
2,3
St. Louis XCountry Camp 3
March Meeting
4
Website: http://aerotow.evl.uic.edu/clgc/index.html
March 4 , 2002
Winter Soaring Seminar 2002
The opportunities to have a renowned soaring expert such as Derek Piggott speak at a local safety seminar are rare. Two years ago the Council tried it but a vicious winter storm managed to change our plans. This year we were able to have Derek stop here before making his way home to London after the SSA Convention. He bracketed the Saturday speaker schedule with a soaring safety presentation first thing in the morning and a regale of his movie flying experiences later in the afternoon. It was a rare treat to share his experiences at all levels of our sport. Watching movies in which he flew and his recounting how they were actually made changes the way you view those movies.
Jim Short and Tim Gossfeld followed Piggott's morning session with an update of the aviation security situation now that some time has passed since the September 11 th terrorist attacks. While many of us feel that the FAA has been unfair to general aviation with restrictions and their timing, Jim reminded us that we now have an additional agency to deal with that is concerned with national security. Educating this new agency so they understand our role in aviation has been important to maintaining our flying privileges. Besides coffee being available all day an excellent lunch was catered by Berto's Deli consist-
ing of three types of sub sandwiches, lettuce salad, fruit salad, Italian cookies, soda, chocolate sheet cake (thanks to my wife), and pretzels to munch on in the afternoon. During the lunch we were fortunate to see an impromptu slide show on the six-year restoration of the Pfenninger Elfe PM-3 by Graham McLean of Cheshire, UK. We tend to think that L/Ds of 40+ to 1 are recent but here was a wooden ship from 1951 that was 43/1!
After lunch Curt Lewis presented his thoughts on introducing cross-country glider flying. Curt recently got his CFIG and brings a new and humorous approach to an age-old problem; how to get glider pilots to leave the security of the home field. Everyone in the audience has been or is at that point as evidenced by the comments as Curt made his points. John Cochrane also presented, for him, a new program. We have all read his articles in SOARING regarding how and where to fly fast cross-country
speeds. But this time his emphasis was on final glides and low energy situations, high stress and our reaction to it, and conscious and unconscious control inputs in flying situations. John reviewed contest-related accidents and the events that produced them to support his feeling that we need to understand how and why we make our flying decisions.
Every one of these speakers had relevant and interesting things to say. I cannot recall a seminar I have attended where the speakers and their subject matter have held the audience so tightly. The day was full for the 92 registered attendees. Sky Soaring used this day as their annual safety meeting so they were there in force at 28 members. A gaggle of 24 pilots represented Hinckley. Eleven members of the Wisconsin Soaring Society managed to find the school auditorium, which speaks well for their cross-country skills. Park Forest South Aviation Group had four members present, Chicago Glider members numbered around ten, Hartford Wisconsin five, Illini Glider Club one, Caesar Creek Soaring Club one, and the remaining attendees were unaffiliated. Fi-
2003 Region 7 Soaring Contest Call for Contest Organization Committee
The Chicagoland Glider Council is scheduled to sponsor the region 7 soaring contest in 2003. In order to plan for this event, the council has put together a contest organizing committee. Council members who wish to participate in this committee should contact Rich Carlson (630) 971-8736 or email@example.com for details.
The SSA regional contests are designed to bring new pilots into the contest arena. Contests run for 5 to 7 days with 1 to 2 practice days preceding the start of the contest. A contest's success is measured by several factors. These include 1) the weather. Having good weather that challenges the pilots skills is always a plus; 2) the organization. Having a strong organization means that few, if any, problems impact the contestants or their crews; and 3) the social events. Having something for the crews and support staff to do is what makes contests memorable.
To make this contest a success CLGC will need to find people willing to fill the following positions.
* Contest Manager: The contest manager is in overall charge of the contest. They are responsible for ensuring that the contest site is usable and that day-to-day operational problems are
nally, its new owner, Steve Stauber, and two of that sites' regulars represented Sylvania Soaring Adventures. I think all would concur that our $25 day gave everyone a huge bang for their buck.
Afterwards, twenty-four attendees who didn't want the day to end, continued on to a private room at the Downers Grove Founders Hill Mini-Brewery where they enjoyed dinner, drinks, and more stories with the irrepressible Derek. Congratulations go to John Phelan who did a masterful job organizing the day along with the best audio/visual equipment one can imagine, Steve Wasilowski for finding the largest breakfast, calorie laden muffins we have ever seen (plus a dozen other important things), Agass Baumgartner for helping with the morning registration crunch, and Jim Short whose idea sparked this seminar and who graciously shared his home with our guest speaker.
Ray Konrath - Treasurer and Registration dealt with. The contest manager does not need to have any flying experience.
* Social Director: The social director's task is to organize the non-flying activities to keep the crews and support staff happy. These non-flying activities can include BBQ cook-outs, pot-luck dinners, or group outings to movies on rain days. The social director does not need to have any flying experience.
* Banquet Coordinator: One of the typical contest social events is an evening Banquet to allow folks to catch up with each other. The banquet coordinator's task is to manage this important event. The banquet coordinator does not need to have any flying experience.
* Community Liaison: With pilots and crews coming from around the region 7 area, there is a great need for motel's, dinning, laundry services, and other non-flying support services. The community liaison's task is to survey the local contest area and to highlight the gems. The community liaison does not need to have any flying experience.
* Scorer: The scorer's task is to operate the scoring computer program. The use of GPS flight recorders and computerized scoring programs have greatly simplified this task. The scorer does not need to have any flying experience.
* Weatherman: The weatherman is responsible for gathering the days soaring forecast and presenting this information at the daily pilots meeting. This task has been greatly simplified due to the abundance of data available on the Internet and from FSS. The weatherman does not need to have any flying experience.
* Competition Director: The competition director is responsible for evaluating the days soaring conditions and assigning the flying task to each competition class. The competition director works with a small committee of pilots who are flying in the contest to make the final task selection. The competition director must be an experienced X-C pilot, who is not allowed to fly in the contest.
cer is responsible for the flight operations during launch. They ensure that glider pilots, tow pilots, and wing runners operate in a safe manner. The operations office should be a pilot and must be familiar with soaring ground operations.
As you can see, a regional contest needs many more nonpilots than pilots to fill these critical positions. This is the first in a series of articles that the council will be publishing about the upcoming region 7 contest. Future articles will cover other topics including the benefits this contest will provide to the council and the sport of soaring. If you would like more details, or you would like to volunteer for one of these positions, then contact Rich Carlson as described above.
* Chief Operations Officer: The chief operations offi-
Rich Carlson PIK-20 (N8)
Subject: News from Silvercreek Glider Club
Mark your calendars!
SGC and SLSA will be hosting a Cross-Country Weekend on Friday June 7th, Saturday June 8th and Sunday June 9th. Things will be slightly less formal than last year's Camp. We intend to spend most of the time flying. A couple of experienced contest pilots will lead a discussion each morning on different topics, to be announced. We will have BBQs and social activities, just like last year.
Last year's Camp gave our novice pilots a chance to catch the "cross-country bug." It gave our student pilots a chance to learn and hear fascinating stories from the "pros." It gave SGC and SLSA folks a chance to work together, to meet other pilots and to make new friends. Our friends from Indy and Minnesota enjoyed our facilities and hospitality. Everyone had a great time and we had requests for another Cross-Country event in 2002!
This year's event is being organized/coordinated by Keith Mary (firstname.lastname@example.org). You can also send an e-mail to email@example.com or simply reply to this e-mail.
Please feel free to contact us with any questions, comments, suggestions, etc. Please go to www. silvercreekgliderclub.com and visit our link to the XC page. We will update it regularly as more information becomes available. We will send another email in a few days outlining the duties/jobs available.
Thanks!
Comrades to the South to hold Cross Country
Camp! CLCG members have graciously been invited to participate. Be advised—"seats" are limited. Early registration is encouraged !
Mark your Calendar
We meet the second Tuesday of each month at 7:30 pm at Herrick Jr. High School., Downers Grove, IL. The meeting schedule is:
March 12 April 9
| Sun | Mon | Tue | Wed | Thu | Fri |
|---|---|---|---|---|---|
| 2 | 3 | 4 | 5 | 6 | 7 |
| 9 | 10 | 11 | 12 | 13 | 14 |
| 16 | 17 | 18 | 19 | 20 | 21 |
| 23 | 24 | 25 | 26 | 27 | 28 |
Join us at Herrick Jr. High School for our March (12th) meeting. Our primary speaker will be Pat Knight — on the subject of Motor Gliders — and specifically her experience flying the KatanaExtreme ( pictured below)!
Herrick Jr. High 4435 Middaugh From Ogden Ave (Rt 34)…. Turn south on Saratoga, right
When once you have tasted flight, you will forever walk the earth with your eyes turned skyward, for there you have been, and there you will always long to return.
Leonardo da Vinci
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International Journal of Engineering Research and Modern Education (IJERME)
ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
ACADEMIC STRESS AMONG CHILDREN AND PARENTS RESPONSIBILITIES TO OVERCOME STRESS
Dr. Jincy Jacob
Assistant Professor, Dept. of social work, Srinivas Institute of Management Studies, Mangalore, Karnataka
Abstract:
Index Terms: Academic Stress, Students, Parents, Responsibilities, Strategies & Management
The Indian school education system is text book-oriented that focuses on rote memorisation of lessons and demands long hours of systematic study every day. The elaborate study routines that are expected by school students span from the morning till late evening hours, leaving little time for socialisation and recreation. This leads to stress among children. Stress is a necessary and inescapable concomitant of daily livingnecessary because without some stress we would be listless and apathetic creatures and unavoidable because it relates to any external event, it is agreeable or anxiety producing. Stress is defined as a feeling of tension that is both biological and psychological. A person's response towards stress depends on whether an event is appraised as a challenge or a threat. Academic pressure by the parents as well as the children are themselves tensed about their career and future, when fail to cope up with the situation or fail to satisfy their needs then it results in to stress and depression. Parents and teachers support is considered as one of the most important way of coping with academic stress.
1. Introduction:
The modern world, which is said to be a world of achievement, is also a world of stress. One finds stress everywhere; whether it is within the family, business organization or any other social or economic activity. Stress is physiological and psychological imbalance. It arises due to the demands on a person and that person's inability to meet those demands. Academic Stress in the students can be very taxing on the parents and the students themselves. Stress has been tightening its grip on the students, as they have to compete at every step of their academic career in this fast moving world. Academic stress is the product of a combination of academic related demands that exceed the adaptive resources available to an individual (Wilks, 2008). Academic pressure by the parents as well as the children are themselves tensed about their career and future, when fail to cope up with the situation or fail to satisfy their needs then it results in to stress and depression. Social support is considered as one of the most important way of coping with academic stress. Students are the budding future of a nation and it is imperative for the teachers, parents and caregivers to understand the factors which might be stressful to students and recognize ways to help them cope up with such situation.
Stress is a necessary and inescapable concomitant of daily living-necessary because without some stress we would be listless and apathetic creatures, and unavoidable because it relates to any external event, it is agreeable or anxiety producing. Stress is defined as a feeling of tension that is both biological and psychological. Stress consists of any event in which environmental demands, internal demands or both tax or exceed the adaptive resources of the individual, social system or tissue system. A person's response towards stress depends on whether an event is appraised as a challenge or a threat.
International Journal of Engineering Research and Modern Education (IJERME) ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
Academic performance is mainly a function of students' study habits referring to the student's way of study whether systematic, efficient or inefficient. The study habits that influence the academic performance of a student include: time management, setting realistic academic targets, setting rewards on completion of a task, revision, organization of materials, and notes-taking during lectures. Hence, study habits are coping strategies used by students to overcome academic stress so that they can meet the demands imposed on them by the academic environment. There are various coping strategies used by students when experiencing academic stress. Some resort to avoidant coping; alcohol/drug abuse, denial and behavioral disengagement; while others cope actively through acceptance, planning, and positive reframing and taking the necessary steps to overcome the academic stress.
The self-worth of students in the Indian society is mostly determined by good academic performance, and not by vocational or other individual qualities. Indian parents report removing their TV cable connections and vastly cutting down on their own social lives in order to monitor their children's homework. Because of academic stress and failure in examination, every day Indian students commit suicide.
Students may be experiencing irritability because of lack of proper sleep at night. Then it is a Wakeup call for parents.
Symptoms which are helpful in identifying the stressful behaviors of Students:
They may be unable to concentrate on academics and sports.
Students may be having unexplained fears or increased anxiety.
Students may be experimenting with drugs and alcohol.
Students isolate from family activities or peer relationships.
Students may complain about headaches or stomach aches.
Students may have poor appetite and low immunity
It is widely acknowledged that parents play a significant role in the cognitive, social and emotional development of their children. Through their role, parents provide children with socialization to cultural and societal norms and values meant to prepare them for the navigation of the communities in which they live and the needs of the society they will encounter in the future (Miller and Goodnow, 1995).
2. Role and Responsibilities of Parents:
Family, which serves as a first school for the child, appears to be an important source of rising expectations. Parents have an important positive or negative influence on the academic aspirations and achievements of children. An adolescent is strongly and positively identified with parental model but if that model is indifferent to or suspicious and critical of educational values and goals, the young person is likely to adapt him/ her to respective parent model. Review of relevant literature revealed that family and parents significantly affect child's performance in many spheres of life. Molnar (1979) found that parents' education and home environment play a significant role in child's academic achievement.
Parental involvement leads to better social adjustment and academic achievement, on the other hand over aspirations and negative attitude of the parents lead to depression and stress among students. Parents usually set unrealistically high goals for their children and expect them to come up to their expectations. When children are unable to come up to the expected standards, they are accused of being lazy or dull which induces a sense of inferiority among adolescents and sometimes leads to drastic outpourings by them in the form of mental disorders depressions, stress and even suicides.
International Journal of Engineering Research and Modern Education (IJERME) ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
3. How Parents Can Help Their Child:
Build trust with your child.
Be aware of your child's behaviors and emotions.
Encourage the expression of feelings.
Encourage them to tell you if they feel overwhelmed.
Teach and model good emotional responses.
Encourage healthy and diverse friendships.
Encourage physical activity, good nutrition, and rest.
Remind your child of his or her ability to get through tough times, particularly with the love and support of family and friends.
Teach your child to solve problems.
Keep your child aware of anticipated family changes.
Use encouragement and natural consequences when poor decisions are made.
Help your child select appropriate extracurricular activities and limit over scheduling.
Make your child aware of the harmful effects of drugs and alcohol before experimentation begins.
A number of approaches are currently being used to treat and control stress responses. Major methods include Stress Management, Relaxation techniques, Biofeedback, Drugs and Yoga that all can have therapeutic psychological effects. Stress management is a large family of techniques ranging from methods to reduce the occurrence of stress to techniques which can be used by people who feel overwhelmed by stress. Stress management refers to a wide spectrum of techniques and psychotherapies aimed at controlling a person's level of stress for the purpose of everyday living. Yoga, humour and reading are simple effective methods to help reduce academic stress among children.
4. Strategies of Stress Management:
Parents and teachers can help children to express anger positively. Children have a right to feel angry or upset. Allow them the opportunity to express their feelings. Teach positive ways to release anger. They can punch a pillow (teaches children to punch soft things that does not hurt themselves or others), count to 10, talk to someone about angry feelings, go for a walk, or take time out to rest and relax. Positive anger releases give the child time to accept his/her anger and not hurt themselves and others in the process.
Stress is part of every one's life. Academic Stress among students can create havoc in their life. Under Academic stress the performance gets hindered and students can take wrong decisions under the influence of stress. Social support is considered as one of the most important way of coping with academic stress. In order to overcome deviant behaviors the parents play a constructive role in channelizing energies of the students. Proper care should to be taken in helping to take the right decisions which may affect their future. Hence, Students need to receive appropriate direction, nurturing, encouragement and guidance from significant adults for their successful transition into adult life. (Linden, 2005).Students must learn and practice coping skills to get them through an immediate conflict or problem. Coping strategies must emphasize self responsibility to find positive, nondestructive ways to find relief. Communication skills involve being able to talk and selecting a good listener. It is important to express feelings, vent emotions and talk about the problems and issues.
5. Conclusion:
International Journal of Engineering Research and Modern Education (IJERME)
ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
They need help to learn problem – solving skills, sorting out the issues, setting goals and making plans to move forward, are skills that can be taught and practiced.
6. References:
1. Agolla J.E, Ongori H. An Assessment of Academic Stress among Undergraduate Students: The Case of University of Botswana Educational Research and Review 2009; vol. 4(2), pp: 63-70.
3. Bernstein DA, Penner LA, Stewart AC, Roy EJ. Psychology (8 th edition).Houghton Mifflin Company Boston: New York. 2008.
2. Ang RP, Huan VS. Academic Expectations Stress Inventory (AESI): development, factor analysis, reliability and validity. Educational and Psychological measurement 2006; vol. 66, pp: 522-539.
4. Busari AO. Stress Inoculation Techniques in Fostering Adjustment to Academic Stress among undergraduate Students. British Journal of Humanities and Social Sciences.2011; vol. 2(1), pp: 229-243.
6. Clift JC, Thomas ID. Student workloads. Higher Education, 1983; vol. 2, pp: 446447.
5. Chand P, Sethi AS. Occupational Factors in the development of Work Stress, Indian Journal of Industrial Relations.1997.
7. Conner J, Pope D, Galloway M. Success with Less Stress Health and Learning, 2010; vol. 67(4), pp: 54-58.
8. Deb S, Majumdar B, Sun J. Academic stress, parental pressure, anxiety and mental health among Indian school student. Paper presented at the International journal.
10. Miller P, Goodnow J. Cultural practices: Toward an integration of culture and development. In J. Goodnow, P. Miller & F. Kissel (Eds.) Cultural Practices as Contexts for Development. San Francisco, CA: Jossey-Bass, 1995.
9. Linden W. Stress Management, Library of congress cataloging – in – publication Data, 2005, p.121.
11. Molnar P. Social and personality conditions of students' requests to continue studies in higher education. Mgyar Pzsichological Szemle, 1979, pp: 225-237.
12. Wilks SE. Resilience and Academic Stress: The Moderating Impact of Social Support among Social Work Students. Advances in Social Work, 2008; vol.9 (2) pp: 106-125.
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INTERNATIONAL RESEARCH JOURNAL OF PHARMACY
www.irjponline.com
ISSN 2230 – 8407
Review Article
DENDRIMER: THE RECENT DRUG DELIVERY SYSTEM
Prusty Amaresh*
Asst. Professor, St. Mary's College of B. Pharmacy, Surampalem, AP, India
Article Received on: 03/12/11 Revised on: 14/01/12 Approved for publication: 08/02/12
*E-Mail: email@example.com
ABSTRACT
Dendrimers are a new class of polymeric materials. They are highly branched, monodisperse macromolecules (meaning of a consistent size & form). The structure of these materials has a great impact on their physical and chemical properties. As a result of their unique behavior dendrimers are suitable for a wide range of biomedical and industrial applications. They possess empty internal cavities & many functional end groups which are responsible for high solubility & reactivity. They are produced in an interactive sequence of reaction steps, in which each additional interaction leads to a higher generation dendrimer. Key Words: Dendrimer, higher generation dendrimer
INTRODUCTION
First discovered in the yearly 1980's by Donald Tomalia and co-workers 1 , these hyper branched molecules were called dendrimers. The term originates from 'dendron' meaning a tree in Greek. At the same time, Newkome's group 2 independently reported synthesis of similar macromolecules. They called them arborols from the Latin word 'arbor' also meaning a tree. The term cascade molecule is also used, but'dendrimer' is the best established one.
Dendrimers possess three distinguished architectural components namely
(I) Iinitiator core
(II) Interior layers (generations) composed of repeating units, radically attached to the interior core.
(III) Exterior (terminal functionality) attached to the outermost interior generations.
Synthesis
Dendrimers are generally prepared using either a divergent method or a convergent 3 there is a fundamental difference between these two construction concepts. In the divergent methods, dendrimer grows outwards from a multifunctional core molecule. The core molecule reacts with monomer molecules containing one reactive and two dormant groups giving the first generation dendrimer. Then the new periphery of the molecule is activated for reactions with more monomers. The process is repeated for several generations and a dendrimer is built layer after layer. The divergent approach is successful for the production of large quantities of dendrimers. Problems occur from side reactions and incomplete reactions of the end groups that lead to structure defects. To prevent side reactions and to force reactions to completion large excess of reagents is required.
The convergent methods were developed as a response to the weaknesses of the divergent synthesis 4 . In the convergent approach, the dendrimer is constructed stepwise, starting from the end groups and progressing inwards. When the growing branched polymeric arms, called dendrons, are large enough, they are attached to a multifunctional core molecule .The convergent growth method has several advantages. It is relatively easy to purify the desired product and the occurrence of defects in the final structure is minimized. It becomes possible to introduce subtle engineering into the dendritic structure by precise placement of functional groups at the periphery of the macromolecule. The convergent approach does not allow the formation of high generations because steric problems occur in the reactions of the dendrons and the core molecule. The first synthesized dendrimers were polyamidoamines (PAMAMs). They are also known as starburst dendrimers 5 . The term 'starburst' is a trademark of the Dow Chemicals Company. Ammonia is used as the core molecule. In the presence of methanol it reacts with methyl Acryl ate and then ethylenediamine is added.
At the end of each branch there is a free amino group that can react with two methyl acryl ate monomers and two ethylenediamine molecules. Each complete reaction sequence results in a new dendrimer generation. The half-generation PAMAM dendrimers (e.g., 0.5, 1.5, 2.5) possess anionic surfaces of carboxyl ate groups. The number of reactive surface sites is doubled with every generation. The mass increases more than twice.
Types of Dendrimers
1. PAMAM Dendrimer
Poly (amidoamine) dendrimers (PAMAM) are synthesized by the divergent method starting from ammonia or ethylenediamine initiator core reagents, a molecular weight of over 9, 30,000 g/mol have been obtained (by comparison, the molecular weight of human hemoglobin is approximately 65,000 g/mol). PAMAM dendrimers are commercially available, usually as methanol solutions. Starburst dendrimers is applied as a trademark name for a sub-class of PAMAM dendrimers based on a tris-aminoethylene-imine core. The name refers to the star like pattern observed when looking at the structure of the high-generation dendrimers of this type in two-dimensions.
2. PAMAMOS Dendrimer
Radially layered poly (amidoamine-organosilicon) dendrimers (PAMAMOS) are inverted unimolecular micelles that consist of hydrophilic, nucleophilic polyamidoamine (PAMAM) interiors and hydrophobic organosilicon (OS) exteriors.
3. PPI Dendrimer
PPI-dendrimers stand for "Poly (Propylene Imine)" describing the propylamine spacer moieties in the oldest known dendrimer type developed initially by Vögtle.These dendrimers are generally poly-alkyl amines having primary amines as end groups, the dendrimer interior consists of numerous of tertiary tris-propylene amines.
Page 10
4. Multilingual Dendrimers
In these dendrimers, the surface contains multiple copies of a particular functional group.
5. Chiral Dendrimers
The chirality in these dendrimers is based upon the construction of a constitutionally different but chemically similar branches to chiral core.
6. Hybrid Dendrimers Linear Polymers
These are hybrids (block or graft polymers) of dendritic and linear polymers.
7. Amphiphilic Dendrimers
They are built with two segregated sites of chain end, one half is electron donating and the other half is electron withdrawing.
Advantages of Dendrimers in Comparison with other Polymers
The classical polymerization process, which results in linear polymers, is usually random in nature and produces molecules of different sizes, whereas size and molecular mass of dendrimers can be specifically controlled during synthesis. Dendrimers are monodisperse macromolecules, unlike linear polymers. Because of their molecular architecture, dendrimers show some significantly improved physical and chemical properties when compared to traditional linear polymers. In solution, linear chains exist as flexible coils; in contrast, dendrimers form a tightly packed ball. This has a great impact on their rheological (it's property of the flow behavior) properties.
Applications
Dendrimers have been tested in preclinical studies as contrast agents for magnetic resonance. Magnetic resonance imaging (MRI) is a diagnostic method producing anatomical images of organs and blood vessels. Placing a patient in a generated, defined, inhomogeneous magnetic field results in the nuclear resonance signal of water, which is assigned to its place of origin and converted into pictures? Addition of contrast agents improves sensitivity and specificity of the method. Gadolinium salt of diethylenetriaminepentaacetic acid (DTPA) issued clinically but it diffuses into the extra venous area due to its low molecular mass 6 . Dendrimers due to their properties are highly suited for use as image contrast media. Several groups have prepared dendrimers containing gadolinium ions cheated on the surface 7, 8 .
There are attempts to use dendrimers in the targeted delivery of drugs and other therapeutic agents. Drug molecules can be loaded both in the interior of the dendrimers as well as attached to the surface groups.Sialylated dendrimers, called sialodendrimers. Dendrimers can be used as coating agent's to protect or deliver drugs to specific sites in the body or as time-release vehicles for biologically active agents. 5Fluorouracil (5FU) is known to have remarkable antitumour activity, but it has high toxic side effects. PAMAM dendrimers after acetylating can form dendrimer-5FU conjugates 9 . The dendrimers are water soluble and hydrolysis of the conjugates releases free 5FU. The slow release reduces
5FU toxicity. Such dendrimers seem to be potentially useful carriers for antitumour drugs.
Dendrimers can act as carriers, called vectors, in gene therapy. Vectors transfer genes through the cell membrane into the nucleus. Currently liposomes and genetically engineered viruses have been mainly used for this. PAMAM dendrimers have also been tested as genetic material carriers 10, 11 .
Recent advancement of Dendrimer in cancer therapy
With an eye toward developing a delivery vehicle for anticancer agents that are poorly soluble in water, a research team at Boston University and the Research Triangle Institute (RTI) has developed a biocompatible dendrimer that wraps itself around water-insoluble drugs. The investigators have used this dendrimer to create water-soluble formulations of three promising anticancer agents belonging to the camptothecin family, which also includes the widely used drugs topotecan. This research is reported in the journal Cancere search. Polyamidoamine (PAMAM) dendrimers has received much attention for their ability to solubilize waterinsoluble drugs and their ability to promote the transport of drugs across biomembranes. In one study an efficient transdermal drug delivery system (TDDS) consisting of a polyhydroxyalkanoate (PHA)-based system with a polyamidoamine dendrimer was examined for the transdermal delivery of tamsulosin. By adding the dendrimer, the dendrimer-containing PHA matrix achieved the clinically rerequired amount of tamsulosin permeating through the skin model
REFERENCES
1. Tomalia, D.A., Baker, H., Dewald, J.R., Hall, M., Kallos, G., Martin, S., Roeck, J., Ryder, J. & smith, P. (1985) a new class of polymers: StarburstDendriticmacromolecules. Polym. J. 17, 117–132.
2. Newkome, G.R., Yao, Z.Q., Baker, G.R. & Gupta, V.K. (1985) Cascade molecules: a new approach to micelles, a 27-arborol. J. Org. Chem. 50, 2003–2006. 199-208.
3. Hodge, P. (1993) Polymer science branches out. Nature 362, 18–19. 24 November 1993
4. Hawker, C.J. & Fréchet, J.M.J. (1990) Preparation of polymers with controlled molecular architecture. A new convergent approach to dendritic macromolecules. J. Am. Chem. Soc. 112, 7638–7647.
5. Alper, J. (1991) Rising chemical "stars" could play many roles. Science 251, 1562–1564.
6. Fischer, M. & Vögtle, F. (1999) Dendrimers: Fromdesign to applications – A progress report. Angew.Chem. Int. Edn. 38, 884–905.
7. Wiener, E.C., Auteri, F.P., Chen, J.W., Brechbiel, M.W., Gansow, O.A., Schneider, D.S., Belford, R.L., Clarkson, R.B. & Lauterbur, P.C. (1996) Molecular dynamics of ion-chelate complexes attached to dendrimers. J. Am. Chem. Soc. 118, 7774–7782.
8. Bryant, L.H., Brechbiel, M.W., Wu, C., Bulte, J.W.M., Herynek, V. & Frank, J.A. (1999) Synthesis and relaxometry of high-generation (G=5, 7, 9, and 10) PAMAM dendrimer-DOTA-gadolinium chelates.J. Magn. Reson. Imaging 9, 348–352.
9. Zhuo, R.X., Du, B. & Lu, Z.R. (1999) In vitro release of 5-fluorouracil with cyclic core dendritic polymer.J. Controlled Release 57, 249–257.
10. Bielinska, A.U., Kukowska-Latallo, J.F., Johnson, J., Tomalia, D.A. & Baker, J.R. (1996) Regulationof in vitro gene expression using antisense oligonucleotides or antisense expression plasmids transected using starburst PAMAM Dendrimers.Nucleic Acids Res. 24, 2176–2182.
11. Kukowska-Latallo, J.F., Raczka, E., Quintana, A., hen, C.L., Rymaszewski, M. & Baker, J.R. (2000) Intravascular and endobronchial DNA delivery to murine lung tissue using a novel, nonviral vector.Hum. Gene Therapy 11, 138 .
Prusty Amaresh IRJP 2012, 3 (2)
Table 1: Properties of Dendrimer and linear polymers
| Sr. No. | Property | Dendrimers | Linear Polymers |
|---|---|---|---|
| 1 | Structure | Compact, Globular | Not compact |
| 2 | Synthesis | Careful & stepwise growth | Single step polycondensation |
| 3 | Structural control | Very high | Low |
| 4 | Architecture | Regular | Irregular |
| 5 | Shape | Spherical | Random coil |
| 6 | Crystallanity | Non-crystalline, amorphous materials -lower glass temperatures | Semi crystalline/crystalline materials -Higher glass temperatures |
| 7 | Aqueous solubility | High | Low |
| 8 | Nonpolar solubility | High | Low |
| 9 | Viscosity | Non linear relationship with molecular weight | Linear relation with molecular weight |
| 10 | Reactivity | High | Low |
| 11 | Compressibility | Low | High |
| 12 | Polydispersity | Monodisperse | Polydisperse |
|
Safety and reliability of a three-state system at variable operation conditions
47
SCIENTIFIC PROBLEMS
OF MACHINES OPERATION
AND MAINTENANCE
2 (166) 2011
KRZYSZTOF KOŁOWROCKI * ZBIGNIEW SMALKO **
Safety and reliability of a three-state system at variable operation conditions
Key words
Three-state system, operation, reliability, safety, risk, prediction.
Słowa kluczowe
System trójstanowy, eksploatacja, niezawodność, bezpieczeństwo, ryzyko, predykcja.
Summary
There is proposed the method of reliability analysis of a three-state system at variable operations conditions. Introduced are the notions of the conditional and unconditional the threestate system reliability functions, the mean values of system lifetimes in the reliability state subsets and in the particular reliability states, the system risk function, and the moment when the system risk function exceeds its permitted level. These characteristics are determined for an exemplary three-state system operating at four operation states.
* Gdynia Maritime University, Morska 81-87 Street, 81-225 Gdynia, Poland.
** Air Force Institute of Technology, Księcia Bolesława 6 Street, 01-494 Warsaw, Poland.
Introduction
Most real technical systems are structurally very complex, and they often have complicated operation processes. Large numbers of components and subsystems and their operating complexity make the evaluation and prediction of their reliability, availability, and safety difficult. The time dependent interactions between the systems' operation processes, changing of operation states and the systems' structures and their component reliability and the changing of safety states and processes are evident features of most real technical systems. The common reliability or safety and operation analysis of these complex technical systems is of great value in the industrial practice.
Thus, taking into account the importance of the safety and the operating process effectiveness of real technical systems, it seems reasonable to expand the two-state approach [2, 3] into multi-state approach [2, 4, 6-7] in their reliability and safety analysis. The assumption that the systems are composed of multi-state components with reliability states or safety states degrading in time [2, 4, 6, 7] allows the possibility for more precise analysis of their reliability, safety, and effectiveness of operational processes. This assumption allows us to distinguish a system reliability or critical state of safety to be exceeded, which is either dangerous for the environment or does not assure the necessary level of its operation process effectiveness. Therefore, an important system reliability or safety characteristic is the time to the moment of exceeding the system reliability or critical safety state and its distribution, which is called the system risk function. This distribution is strictly related to the system multi-state reliability function and the system multi-state safety function, which are the basic characteristics of the multi-state system.
In the particular case of a three-state system reliability analysis, for instance, the best reliability state ensuring full safety of a system operation, the worse permissible critical system reliability state and the worst non-permissible system reliability state can be distinguished.
In the reliability analysis of real systems, we find systems with complicated operation processes, also considering human factors, which have a significant influence on their reliability and safety. Many technical systems belong to the class of systems changing their reliability parameters at their variable operation conditions.
A convenient approach to the solution of his problem is modelling those systems operation processes using semi-Markov processes [1, 5], together with a multistate approach to their reliability analysis [2, 3]. This approach allows us to construct a joint general model of systems reliability related to their operation processes [3, 4, 6, 7].
Reliability of a three-state system at variable operation conditions
In the multistate reliability analysis to define the system with degrading components, we assume the following:
– n is the number of the system components;
– Ei, i = 1, 2,..., n, are components of a system;
– All components and a system under consideration have the reliability state set {0, 1,..., z}; ,1 ≥ z
– The reliability states are ordered, and the reliability state 0 is the worst and the reliability state z is the best;
– Ti(u), i = 1, 2,... ,n, are independent random variables representing the lifetimes of components Ei in the reliability state subset {u, u + 1,..., z}, while they were in the reliability state z at the moment t = 0;
– T(u) is a random variable representing the lifetime of a system in the reliability state subset {u, u + 1,..., z} while it was in the reliability state z at the moment t = 0;
– The system states degrades with time t;
– S(t) is a system S reliability state at the moment t, ), ,0 ∞ ∈< t given that it was in the reliability state z at the moment t = 0.
– Ei(t) is a component Ei reliability state at the moment t, ), ,0 ∞ ∈< t given that it was in the reliability state z at the moment t = 0; and,
The above assumptions mean that the reliability states of the system with degrading components may be changed in time only from better to worse [3, 6, 7]. The way in which the components and the system reliability states change is illustrated in Figure 1.
worst state best state
Fig. 1. Illustration of a system and components reliability states changing Rys. 1. Ilustracja zmian stanów niezawodnościowych starzejącego się system wielostanowego
In the particular case of a three-state system, we assume that the system can stay in the following reliability states:
2 – a reliability state ensuring full safety of system operation,
1 – a critical reliability state ensuring less permissible system operation safety,
0 – a reliability state non-ensuring permissible system operation safety.
Moreover, we assume that the changes of the system operation process have an influence on its reliability, and we distinguish the following four operation states: z1, z2, z3, z4.
Under those assumptions, we define a system conditional three-state reliability function as follows:
where
and T ( b ) (0) is the conditional system lifetime in the reliability state subset {0, 1, 2}, T ( b ) (1) is the conditional system lifetime in the reliability state subset {1, 2}, T ( b ) (2) is the conditional system lifetime in the reliability state subset {2}, while the system is at the operation state zb, b = 1, 2, 3, 4.
In the case when the system operation time is sufficiently large, the unconditional system reliability function is as follows:
where
and T(0) is the unconditional system lifetime in the reliability state subset {0, 1, 2}, T(1) is the unconditional system lifetime in the reliability state subset {1, 2}, T(2) is the unconditional system lifetime in the reliability state subset {2} is given by the vector [6], [7]
where,
whereas, p1, p2, p3, p4 are the limit values of the instantaneous probabilities of the system operation process Z(t) staying at the particular operation states z1, z2, z3, z4.
Applying the above formulae, it is possible to determine [3, 7] the mean values ), 1( µ ) 2 ( µ of the unconditional lifetimes T(1), T(2) of the system staying, respectively, in the reliability state subsets {1, 2}, {2}
where µb(1), µb(2), b = 1, 2, 3, 4, are the mean values of the conditional system lifetimes In the reliability state subsets {1,2}, {2}, while the system is at the operation state zb, b = 1, 2, 3, 4, determined by the following formulae:
Having at our disposal the system mean unconditional lifetimes in the reliability state subsets, it is possible to determine the mean values ), 1( µ ) 2 ( µ of the system unconditional lifetimes in particular reliability states 1,2, namely
Moreover, it is possible to determine the system risk function defined by
and the moment when the system risk function exceeds the permitted level δ , given by
where r –1 (t) is the inverse function of the system risk function r (t).
An exemplary system at variable operation conditions reliability and risk prediction
We consider the three-state system that is operating at four-operation states z1, z2, z3, z4, respectively, with the probabilities as follows:
We assume that its conditional reliability functions in the reliability state subsets {1,2} and {2}, respectively are as follows:
Under those assumptions, according to (3), the system unconditional reliability function is
where
Using the above formulae (4)-(5), it is possibile to determine the mean (2) in the values ), 1( µ ) 2 ( µ of the system unconditional lifetimes T (1), T reliability state subsets {1,2}, {2} that amount
Hence and from (6), the mean values ), 1( µ ) 2 ( µ of the system unconditional lifetimes in the particular reliability states 1, 2 are
Additionally, considering (7) and (8), the system risk function is given by
whereas, the moment when the system risk function exceeds the permitted level δ = 0.05 is
. 70
≅ τ
Summary
In this paper, the three-state approach to the reliability analysis of technical systems is presented. The possibilities of this approach are illustrated by an exemplary system for which the basic characteristics like the system unconditional reliability function, the mean values of the unconditional lifetimes in the reliability state subsets and in the particular reliability states, the system risk function, and the moment when the system exceeds the permitted level are determined. The proposed procedure for complex technical system reliability evaluation may be successfully applied to determine the real technical systems reliability and their reliability and operation costs optimisation.
References
1. Grabski F.: Semi-markowskie modele niezawodności i eksploatacji. Monografia, Polska Akademia Nauk, Instytut Badań Systemowych PAN, Warszawa 2002.
2. Kołowrocki K.: Reliability of Large Systems. Elsevier 2004.
3. Kołowrocki K.: Reliability and risk evaluation of complex systems in their operation processes. International Journal of Materials & Structural Reliability, Vol. 4, No 2, 2006, 129-147.
4. Kołowrocki K., Soszyńska J.: Reliability and safety of complex technical systems and processes: modeling – identification – prediction – optimization. Springer 2011.
5. Limnios N., Oprisan G.: Semi-Markov Processes and Reliability. Birkhauser, Boston 2001.
6. Soszyńska J.: Analiza niezawodności systemów w zmiennych warunkach eksploatacji. Rozprawa doktorska, Polska Akademia Nauk, Instytut Badań Systemowych PAN, Warszawa 2007.
7. Soszyńska J.: Systems reliability analysis in variable operation conditions. International Journal of Reliability, Quality and Safety Engineering. System Reliability and Safety, Vol. 14, No 6, 2007, 617-634.
Bezpiecze ń stwo i niezawodno ść systemu trójstanowego w zmiennych warunkach eksploatacji
Streszczenie
Zaproponowana jest metoda analizy niezawodności systemu trójstanowego w zmiennych warunków eksploatacji. Wprowadzone są pojęcia warunkowych i bezwarunkowych trójstanowych funkcji niezawodności systemu, wartości średnie bezwarunkowych czasów przebywania systemu w podzbiorach stanów oraz w poszczególnych stanach niezawodnościowych, funkcja ryzyka systemu oraz moment przekroczenia dopuszczalnego poziomu funkcji ryzyka. Charakterystyki te wyznaczone są dla przykładowego systemu trójstanowego eksploatowanego w czterech stanach eksploatacyjnych.
|
Contents
QoS: Enhancements to Single QoS Policy Definition for a Physical Interface (L3/1C/nD) Including Match FR-DLCI
The L3/1C/nD feature allows you to provision multiple Frame Relay DLCI subinterfaces under the same policy map on a physical port. The enhanced match fr-dlci class-map configuration command now permits a range of DLCIs to be specified on a single command line. This feature is intended for service providers.
Feature History
Finding Support Information for Platforms and Cisco IOS Software Images
Use Cisco Feature Navigator to find information about platform support and Cisco IOS software image support. Access Cisco Feature Navigator at http://www.cisco.com/go/fn. You must have an account on Cisco.com. If you do not have an account or have forgotten your username or password, click Cancel at the login dialog box and follow the instructions that appear.
* Prerequisites, page 2
* Information About L3/1C/nD Including Match FR-DLCI, page 2
* How to Implement L3/1C/nD Including Match FR-DLCI, page 2
* Configuration Examples for L3/1C/nD Including Match FR-DLCI, page 7
* Additional References, page 10
* Command Reference, page 12
Prerequisites
Knowledge of how to use the Cisco Modular Quality of Service Command line Interface (MQC) is required to create Quality of Service (QoS) class maps, policy maps. See the "Related Documents" section on page 11 for further information.
The QoS: Enhancements to Single QoS Policy Definition for a Physical Interface (L3/1C/nD) Including Match FR-DLCI is supported on the following Cisco 12000 Series ISE line cards:
Supported Cisco 12000 Series Internet Services Engine (E3) Line Cards
* 1-Port Channelized OC-12/STM-4 (DS1/E1) ISE Line Card Product Number: CHOC12/DS1-IR-SC=
* 1-Port Channelized OC-48/STM-16 (DS3/E3, OC-3c/STM-1c, OC-12c/STM-4c) POS/SDH ISE Line Card
Product Number: CHOC48/DS3-SR-SC=
* 4-Port Channelized OC-12/STM-4 (DS3/E3, OC-3c/STM-1c) POS/SDH ISE Line Card Product Number: 4CHOC12/DS3-I-SCB=
* 16-Port OC-3c/STM-1c POS/SDH ISE Line Card Product Numbers: 6OC3X/POS-I-LC-B=, 16OC3X/POS-M-MJ-B=
Information About L3/1C/nD Including Match FR-DLCI
The L3/1C/nD feature provides a mechanism whereby a physical interface is provided to a single customer (1C) and multiple Frame Relay DLCIs (nD) are provisioned for that customer. Each DLCI supports a logically separate service at Layer 3 (L3). The aggregate bandwidth of all DLCIs can be a subrate of the physical interface. A single Modular Quality of Service Command line interface (MQC) policy can be applied at the physical interface level rather than at each DLCI level to shape the aggregate rate and enforce the service policy, but still maintain policing or shaping behavior appropriate to the class of traffic. Quality of Service (QoS) features can be applied to the inbound and outbound directions that include an enhanced match fr-dlci class-map configuration command.
How to Implement L3/1C/nD Including Match FR-DLCI
This section contains the following procedures:
* "Configuring Class Maps" section on page 2 (required)
* "Configuring and Attaching Policy Maps to a Main Interface" section on page 4 (required)
Configuring Class Maps
An implementation of the L3/1C/nD feature may require configuring multiple class maps. To configure class maps, complete the following procedure.
SUMMARY STEPS
1. enable
2. configure terminal
3. class-map [match-all | match-any] class-map-name
4. match ip precedence number
5. match fr-dlci dlci-number [- dlci-number]
6. exit
7. Repeat Steps 3 through 5 for each class that you want to create.
8. exit
9. show class-map
DETAILED STEPS
Configuring and Attaching Policy Maps to a Main Interface
After a policy map is created, the next step is to attach the policy map to an interface. Policy maps can be attached to either the input or output direction of the interface.
To attach the policy map to an interface, perform the following steps:
1. enable
2. configure terminal
3. policy-map policy-map-name
4. class class-name
5. shape average 20000000
6. service-policy policy-map-name
7. exit
8. exit
9. interface serial0
10. encapsulation {frame-relay | hdlc | ppp}
11. service-policy {history | input | output} policy-map-name
12. exit
13. show running-config interface serial0
DETAILED STEPS
4
SUMMARY STEPS
5
Restrictions
* If an L3/1C/nD policy is applied to a main interface, any policies applied to any subinterfaces associated with the main interface are disallowed.
* If no policy is configured on the main interface, policies can be applied to subinterfaces.
* If a hierarchical policy map is applied to a Frame Relay Main interface, only a single class with portshaping is supported (class-default). No other classes can be configured as part of the hierarchical policy.
* The legacy rate-limit interface configuration command cannot be applied to a subinterface if an L3/1C/nD service policy is applied to the main interface.
* No match fr-dlci support exists for extended DLCI identifiers.
* A policy attached to the main interface is associated (or shared) with all the corresponding subinterfaces.
* Policies attached to subinterfaces are not associated or shared with the main interface. No statistics of individual classes under the main interface policy associated to the subinterfaces are provided.
* The match protocol class-map configuration command is not supported.
Configuration Examples for L3/1C/nD Including Match FR-DLCI
Note Better performance can be derived by using contiguous DLCI numbers in class maps.
In the following example, a hierarchical policy map named "parent" calls a policy map named "child." The policy map "child" defines three service classes that filter traffic by IP precedence on Frame Relay DLCIs configured on the subinterfaces. The policy map "parent" is applied to the main interface.
Creating the Classes
```
Router# configure terminal Router(config)# class-map match-all prec0 Router(config-cmap)# match ip precedence 0 Router(config-cmap)# match fr-dlci 16 Router#(config-cmap)# exit Router(config)# class-map match-all prec1 Router#(config-cmap)# match ip precedence 1 Router#(config-cmap)# match fr-dlci 17-19 Router#(config-cmap)# exit Router(config)# class-map match-all prec2 Router(config-cmap)# match ip precedence 2 Router(config-cmap)# match fr-dlci 20 Router#(config-cmap)# exit Creating the Policy Maps Router(config)# policy-map parent Router(config-pmap)# class class-default Router(config-pmap-c)# shape average 20000000 Router(config-pmap-c)# service-policy child Router#(config-pmap-c)# exit Router#(config-pmap)# exit Router(config)# policy-map child Router(config-pmap)# class prec0 Router(config-pmap-c)# shape average 4000000 Router(config-pmap-c)# queue-limit 1000 packets Router(config-pmap-c)# exit Router(config-pmap)# class prec1 Router(config-pmap-c)# bandwidth 4000 Router(config-pmap-c)# random-detect Router(config-pmap-c)# random-detect precedence 1 1000 packets 2000 packets 1 Router(config-pmap-c)# exit Router(config-pmap)# class prec2 Router(config-pmap-c)# shape average percent 20 Router(config-pmap-c)# exit Router(config-pmap)# exit Configuring the Interface and Subinterfaces Router(config)# interface serial0 Router(config-inf)# encapsulation frame-relay IETF Router(config-inf)# service-policy output parent Router(config-inf)# exit Router(config)# interface Serial0.1 point-to-point
```
8
```
Router(config-inf)# description Intranet Service Router(config-inf)# frame-relay interface-dlci 16 Router(config-inf)# exit Router(config)# interface Serial0.2 point-to-point Router(config-inf)# description Internet Service Router(config-inf)# frame-relay interface-dlci 17 Router(config-inf)# exit Router(config)# interface Serial0.3 point-to-point Router(config-inf)# description Internet Service Router(config-inf)# frame-relay interface-dlci 18 Router(config-inf)# exit Router(config)# interface Serial0.4 point-to-point Router(config-inf)# description Internet Service Router(config-inf)# frame-relay interface-dlci 19 Router(config-inf)# exit Router(config)# interface Serial0.5 point-to-point Router(config-inf)# description Managed VoIP Service Router(config-inf)# frame-relay interface-dlci 20 Router(config-inf)# exit Router(config)# exit Verifing the Configuration
```
```
Router# show run interface serial0 Building configuration... Current configuration : 156 bytes ! interface serial0 no ip address no ip directed-broadcast encapsulation frame-relay service-policy output parent end Router# show running-config interface serial0.1 Building configuration... Current configuration : 156 bytes ! interface serial0.1 point-to-point ip address 192.168.14.1 255.255.255.0 no ip directed-broadcast frame-relay interface-dlci 16 end Router# show running-config interface serial0.2 Building configuration... Current configuration : 140 bytes ! interface serial0.2 point-to-point ip address 192.168.18.1 255.255.255.0 no ip directed-broadcast frame-relay interface-dlci 20 end
```
L3/1C/nD Service Provider Configuration Example 1
```
class-map match-all real-time match fr-dlci 100 match ip dscp 46 match access-group <acl> class-map match-any bursty-low match ip dscp 18 20 match access-group <acl> class-map match-any bursty-high match ip dscp 26 28 match access-group <acl> class-map match-all best-effort match fr-dlci 101 match ip dscp 0 match access-group <acl> policy-map parent-out class class-default shape average percent <%> <ms> ms service-policy child policy-map child class real-time priority police cir percent <%> [bc <ms> ms] /* using shaped rate */ class bursty-high bandwidth percent <%> /* using shaped rate */ random-detect [precedence-based | dscp-based | discard-class-based] random-detect {precedence | dscp | discard-class} <num> <min_th> ms <max_th> ms [mpd] /* using shaped rate */ police cir percent <%> [bc <ms> ms] /* using shaped rate */ class bursty-low bandwidth percent <%> random-detect [precedence-based | dscp-based | discard-class-based] random-detect {precedence | dscp | discard-class} <num> <min_th> ms <max_th> ms [mpd] /* using shaped rate */ police cir percent <%> [bc <ms> ms] class class-default /* best effort */ bandwidth percent <%> random-detect [precedence-based | dscp-based | discard-class-based] random-detect {precedence | dscp | discard-class} <num> <min_th> ms <max_th> ms [mpd] /* using shaped rate */ set ip dscp 0
```
L3/1C/nD Service Provider Configuration Example 2
```
class-map match-all real-time match fr-dlci 100 match ip dscp 46 match qos-group <x> class-map match-any bursty-low match ip dscp 18 20 match qos-group <x> class-map match-any bursty-high match ip dscp 26 28 match qos-group <x> class-map match-all best-effort match fr-dlci 101 match ip dscp 0 match qos-group <x> policy parent-out class class-default
```
```
shape average percent <%> <ms> ms service-policy child policy-map child class real-time priority police cir percent <%> [bc <ms> ms] /* using shaped rate */ class bursty-high bandwidth percent <%> random-detect [precedence-based | dscp-based | discard-class-based] random-detect {precedence | dscp | discard-class} <num> <min_th> ms <max_th> ms [mpd] /* using shaped rate */ class bursty-low bandwidth percent <%> random-detect [precedence-based | dscp-based | discard-class-based] random-detect {precedence | dscp | discard-class} <num> <min_th> ms <max_th> ms [mpd] /* using shaped rate */ class class-default /* best effort */ bandwidth percent <%> random-detect [precedence-based | dscp-based | discard-class-based] random-detect {precedence | dscp | discard-class} <num> <min_th> ms <max_th> ms [mpd] /* using shaped rate */ interface POS3/0 encapsulation frame-relay service-policy output parent-out service-policy input input-policer end interface POS3/0.100 point-to-point frame-relay interface-dlci 100 description e.g. VoIP VPN ip vrf forwarding voip-vpn end interface POS3/0.101 point-to-point frame-relay interface-dlci 101 description e.g. Internet service end interface POS3/0.102 point-to-point frame-relay interface-dlci 102 description e.g. Intranet VPN ip vrf forwarding intra-vpn end
```
Additional References
The following sections provide references related to QoS: Enhancements to Single QoS Policy Definition for a Physical Interface (L3/1C/nD) Including Match FR-DLCI.
Related Documents
Standards
MIBs
RFCs
11
Technical Assistance
Command Reference
This section documents modified commands. All other commands used with this feature are documented in the Cisco IOS Release 12.3 command reference publications.
* match fr-dlci
* show class-map
* show policy-map interface
match fr-dlci
To specify the Frame Relay data-link connection identifier (DLCI) number as a match criterion in a class map, use the match fr-dlci command in class-map configuration mode. To remove a previously specified DLCI number as a match criterion, use the no form of this command.
match fr-dlci dlci-number [- dlci-number] no match fr-dlci dlci-number [- dlci-number]
Syntax Description
Defaults
No default behavior or values
Command Modes
Class-map configuration
Command History
Usage Guidelines
Examples
This match criterion can be used in main interfaces and point-to-multipoint subinterfaces in Frame Relay networks, and it can also be used in hierarchical policy maps.
Enter as many individual DLCI numbers or DLCI ranges as needed. Individual DLCI and DLCI ranges can be used together when configuring this command.
In the following example a class map called "class1" has been created; and the Frame Relay DLCI numbers 233, 510 to 516, 600, 612 to 615 and 700 have been specified as match criteria. Packets matching this criteria are placed in class1.
Router# configure terminal
Router(config)#class-map class1
Router(config-cmap)# match fr-dlci 233 510-516 600 612-615 700
Router(config-cmap)#end
13
Related Commands
show class-map
To display all class maps and their matching criteria, use the show class-map command in EXEC mode.
show class-map [class-map-name]
class-map-name
(Optional) Name of the class map. The class map name can be a maximum of 40 alphanumeric characters.
No default behavior or values
EXEC
You can use the show class-map command to display all class maps and their matching criteria. If you enter the optional class-map-name argument, the specified class map and its matching criteria are displayed.
In the following example, a class map called "c1" has been defined, and Frame Relay DLCI numbers 311, 355, 550 to 570, 600, and 612 to 650 have been specified as match criteria:
Router# show class-map class map match-all c1
match fr-dlci 311 355 550-570 600 612-650
Syntax Description
Defaults
Command Modes
Command History
Usage Guidelines
Examples
15
Related Commands
16
Table 1 describes the significant fields shown in the display.
Table 1 show class-map Field Descriptions
show policy-map interface
To display the packet statistics of all classes that are configured for all service policies either on the specified interface or subinterface or on a specific permanent virtual circuit (PVC) on the interface, use the show policy-map interface command in EXEC mode.
show policy-map interface interface-name [vc [vpi/] vci] [dlci dlci] [input | output]
The absence of both the forward slash (/) and a vpi value causes the vpi value to default to 0. If this value is omitted, information for all virtual circuits (VCs) on the specified ATM interface or subinterface is displayed.
EXEC
17
Syntax Description
Defaults
Command Modes
Command History
Usage Guidelines
Examples
18
The show policy-map interface command displays the configuration for classes on the specified interface or the specified PVC only if a service policy has been attached to the interface or the PVC.
The following sample output of the show policy-map interface command displays the statistics for the Serial4/0/2 interface, to which a service policy called "p1" is attached. The Frame Relay DLCI numbers 311, 500 to 505, 600, and 610 to 630 have been specified as the match criteria for the traffic in the class called "c1".
Router# show policy-map interface
```
Serial4/0/2 Service-policy input: p1 Class-map: c1 (match-all) 45 packets, 4680 bytes 5 minute offered rate 0 bps Match: fr-dlci 311 500-505 600 610-630 Class-map: class-default (match-any) 0 packets, 0 bytes 5 minute offered rate 0 bps, drop rate 0 bps Match: any 0 packets, 0 bytes 5 minute rate 0 bps
```
Related Commands
Table 2 describes the significant fields shown in the display.
Table 2 show policy-map interface Field Descriptions
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All other trademarks mentioned in this document or Website are the property of their respective owners. The use of the word partner does not imply a partnership relationship between Cisco and any other company. (0711R)
Copyright © 2004 Cisco Systems, Inc. All rights reserved.
19
show policy-map interface
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Japanese Law in the Low Countries and France:
A Brief Outline of Changing Perceptions in a Changing World
Dimitri Vanoverbeke
Many scholars in the low countries (the Netherlands and Belgium) and France have been interested in various aspects of Japanese law. Because interest involved both scholars and practitioners, and because of close links between the two groups, there has not always been a clear division between socio-legal work and black-letter law as the colloquium organizers have suggested exists in other "worlds" of Japanese legal studies. 1 The success of the Japanese economy in the 1960s spurred interest in Japanese law beyond the academic world, but initially, most observers had to rely on sources written in English. Gradually, however, articles and a few books were written in French and Dutch, and provided lawyers, businessmen and other people interested in Japanese law access to Japanese law in their own language. Various phases or periods can be seen in the perception of Japanese law in France and the low countries. The themes in and approaches to Japanese law developed over time along with the social environment and political and economic demands of French and Dutch societies. I will (over)generalize by dividing the views of Japanese law in France and the low countries into several phases.
The first phase of the perception of Japanese law in France can be situated at the end of the 19th century. Publications in French on Japanese law start very early, and by the end of the 19th century, there was a vivid interest in Japanese law in France due to the activities of French legal scholars in Japan. Georges Bousquet and Gustave E. Boissonade were doubtlessly the best known. Boissonade was charged with drafting the penal and civil code. Several other legal scholars spent time in Japan and used the opportunity to report about legal developments there. 2 After this initial interest, little more was published in French on Japanese law before the Second World War, and we have to wait until the early 1950s for new attention to Japanese law in France.
The second phase in the interest in Japanese law was motivated to a large extent by the interest in comparative law, which started in France well before the Second World War, but which did not focus on Japan until the work of René David. 3 David asserted
1 See T. GINSBURG/L. NOTTAGE/H. SONO, The Worlds, Vicissitudes, and Futures of Japan's Law, in: id. (eds.), The Multiple Worlds of Japanese Law: Disjunctions and Conjunctions (Victoria 2001) 1.
2 G. BOUSQUET, Les moeurs, le droit public et privé du Japon: Revue des deux Mondes, vol. 8 (1875).
3 R. DAVID, Les grands systèmes du droit contemporains: Japon (6th ed., Paris 1974).
that the Japanese legal system fitted into the Far Eastern legal family, in which rites played a dominant role and law was secondary. 4 Which were these rites? The first real monograph on Japanese law in French, Yoshiyuki Noda's "Introduction au droit japonais", attempted to provide an answer to this question, and thus reflected a cultural approach to the study of Japanese law rather than a focus on practical, black-letter concerns. 5 Although it has been criticized for its reliance on cultural explanations and its invocation of the "spirit" behind the law, Noda's study was an important step forward as an introduction of the study of Japanese law at French-speaking universities. Even today, it is a widely read and still highly relevant introduction to Japanese law. The cultural approach was also reflected in several important articles in the Revue International de Droit Comparé, the leading comparative law journal published in France. These focused on the history of the legal consciousness of the Japanese and the influence of French law on the Meiji Japanese legal system. 6
A second monograph on Japanese law appeared by the hand of Dominique T.C. Wang, a Chinese scholar of comparative law, who wrote an introduction to the sources of Japanese law. 7 Although very much in accord with Noda's book, Wang's main focus is black-letter law. This work is also useful because it lists primary and secondary references on Japanese law. It therefore aims at a readership consisting not so much of anthropologists or sociologists, but rather at the lawyer with a comparative interest and at the business person with an interest in the Japanese market. This reflected a shift in the 1970s from a general cultural interest in Japan towards a specific interest in doing business with Japan.
4 R. DAVID, Traité centenaire de droit civil comparé (1950) 388-389, cited in: H. ODA, Japanese Law (2nd ed., Oxford 2000).
5 Y. NODA, Introduction au droit japonais (Paris 1966); ID., Le droit japonais, in: Encyclopaedia Universalis, vol. 9 (1968) 348; ID., Le developpement du droit comparé depuis 1869 et la situation actuelle des études comparatives du droit au Japon, in: Livre du Centenaire de la Société de legislation comparé, vol. 2 (1971) 411. Noda's pioneering textbook was also an early example of bridging the worlds of Japanese law. A New Zealand law professor studying in Strasbourg came across the French original, and translated it into English for publication in Japan: Y. NODA, Introduction to Japanese Law (Tokyo 1976) (transl. by A.H. Angelo). Appearing at a time when very little writing on Japanese law in English was available, this translation was widely read in the English-speaking world.
6 T. AWAJI, Les japonais et le droit: Revue International de Droit Comparé (hereafter RIDC), vol. 28 (1976) 235-250; T. TANIGUCHI, La revision du Code civil japonais et les conceptions actuelles du marriage au Japon: RIDC 67-76 and also I. KITAMURA, Une esquisse psychoanalytique de l'homme juridique au Japon: RIDC, vol. 39 (1987) 791-823. For some articles on the influence of French law on Japanese law see M. ISHIMOTO, L'influence du Code civil français sur le droit civil japonais: RIDC, vol. 6 (1954) 744-752; Y. NODA, La reception du droit français au Japon: RIDC, vol. 15 (1963) 543-556. These are just some of the many articles which appeared in the RIDC on Japanese law. Most of these articles were written by eminent Japanese scholars who studied in France.
7 D.T.C. WANG, Les sources du droit japonais (Genève 1978).
From the beginning of the 1970s onwards, Japan was no longer considered a completely traditional society in which law played only a secondary role. Japan secured its place on the international scene as a complex industrialized society with the same problems and issues as were facing other industrialized countries such as France, the Netherlands or Belgium. Black-letter law played a primary role in economic and social ordering. The awareness that Japan was more than an exotic curiosum prompted a third phase in the perception of Japanese law. Articles on environmental law, commercial law and other specific fields became more common. 8 The time for mere admiration of the Japanese success story was over and a more critical perspective emerged. A case which had drawn attention of media all over the world, for example, was the environmental pollution by mercury which caused the deaths of many inhabitants of a fishing village in Minamata in southern Japan. How did a highly industrialised country such as Japan deal with pollution that occurred in a highly traditional place? This issue was of interest to scholars in Western countries, and publications followed. 9
France was not the only European country outside Germany and England to develop academic activities concerning Japanese law. Japanese businesses increasingly attracted the attention of legal scholars in Belgium. In Belgium, at the Katholieke Universiteit Leuven (KUL), the research section of labour law headed by professor Roger Blanpain did much work in the field of Japanese labour law. This research group was motivated by the increasing presence of Japanese multinationals in Belgium and by the observation that labour relations in those firms were quite different from those in a Belgian company. For example, the position of the female employee in Japanese firms attracted interest in Belgium. 10 This interest was not limited to Belgium but has to be understood in the broader context of the ongoing unification of the EU. Comparison of European labour law and related topics was a high priority in the interaction between policy making and academic research. Relevant in this respect was an initiative at the Katholieke Universiteit Leuven where the cooperation between Tadashi Hanami (Sophia University, Tokyo) and Roger Blanpain gained momentum in 1989 with the creation of the Euro-Japan Institute for Law and Business (EJIB), and resulted in a 1992 confer-
8 In the field of commercial law see for example: K. YAMAMOTO, Japon: Notice du droit privé: Annuel de legislation française et étrangère, vol. 18 (1969) 407-410; G. AUCHTER, Les transports maritimes en droit japonais: Le droit maritime français, vol. 22 (1970) 500508; B. GOLLNISCH-FLOURENS, La Yûgen Kaisha, la société limité, in: Travaux de l'institut de droit comparé de Paris, dirigés par R. Rodiere (1977).
9 K. KAWAI, La situation actuelle de la pollution de l'environnement au Japon et les taches des juristes: Revue de droit comparé, vol. 18 (1971) 50-56.
10 J. DUMORTIER/T.A. HANAMI, Japanese Multinationals and Labour Relations in Belgium, in: R. Blanpain (ed.), European Conference on Labour Law and Industrial Relations, Bulletin 10 (1979) 113-197; R. AKAMATSU, The Legal Status of Female Labour in Japan, in: Bulletin of Comparative Labour Relations, Bulletin 9 (1978) 249-269.
ence on industrial relations and human resource management in Japanese enterprises in Europe. 11
At Dutch universities, some interest in Japanese law can be seen before the Second World War. This was due to the privileged position that the Netherlands held in Nagasaki during the Tokugawa era as the only western nation to be granted access to Japan and, more important for the Dutch, to the Japanese market. In the present century, some early interest in development in international law between the two countries can be seen. 12 Since the 1960s, there has been newfound interest at Dutch universities in Japanese penal and civil law. At the law faculty of the university of Utrecht and the Japanese studies section at the University of Leiden, the actual study of Japanese law was initiated by the legal scholar Antonie Peters. 13 His main interest was in penal law in Japan, but gradually his interest grew into broader issues of law and society in Japan. 14 He also motivated many scholars and practitioners to compare civil law in Japan and in the Netherlands. 15 Several of his students took up interest in other aspects of positive law, and combined that interest with a broader sociological perspective. 16 Most of the students obtaining a degree in Japanese law in the Netherlands and Belgium are doing so in Japanese studies sections; but, after a thorough education in law at the law faculty, these scholars have access to primary material in Japanese. The abundance of sources in English, nevertheless makes it possible for people educated in the law faculties without Japanese linguistic knowledge to access topics related to Japanese law in a thorough way. 17
In sum, the cooperation of law faculties and sections of Japanese studies in their different approaches to Japanese law makes it very hard to draw a clear distinction between the emphasis on black-letter law or in socio-legal studies. In France as well as
11 R. BLANPAIN/T. HANAMI, Industrial Relations and Human Resource Management in Japanese Enterprises in Europe (Belgium, France, Germany, Italy, The Netherlands and the United Kingdom) (Baden-Baden 1993).
12 E.N. VAN KLEFFENS, De internationalrechterlijke betrekkingen tusschen Nederland en Japan (1605-heden), Uitgave van de Japansche Commissie der Vereeniging tot verbreiding van kennis over Nederland in den vreemde, number 5 (1919).
13 A.A.G. PETERS, Comparative Survey of Juvenile Delinquency in Asia and the Far East, (Tokyo, UNAFE Institute, 1968).
14 A.A.G. PETERS, Recht en samenleving in Japan (Arnhem 1993).
15 Publications of the International Center for Comparative Law and Politics, Dutch and Japanese Laws Compared, University of Tokyo, International Center for Comparative Law and Politics, Proceedings of the symposium 9-10 November 1992.
16 F.B. VERWAIJEN, Early Reception of Western Legal Thought in Japan, 1841-1868 (Ph.D. at Leiden University 1996); W.M. VISSER 'T HOOFT, Japanese Contract Law and Anti-trust Law and the Unilateral Termination of Distribution Agreements (Ph.D. at Leiden University 2000).
17 See for example the thorough study on employment termination law, relying heavily on English sources, by H.J.J. VAN VOSS, Ontslagrecht in Nederland en Japan: de spanning tussen zekerheid van de dienstbetrekking en flexibiliteit van de onderneming (Deventer 1992).
in Belgium and the Netherlands both sides of the coin can be seen, and thus both "worlds" are mixed and most often considered complementary. The cultural approach based on Takeyoshi Kawashima's widely read article on dispute resolution in Japan 18 and Yoshiyuki Noda's introduction into the "spirit" of Japanese law 19 seems to have persisted to a certain extent, but a more rational approach to Japanese law and society is probably what most researchers in Japanese law nowadays are aiming for. The interest in Japanese law at this period enters a new phase, focussing on problems related to the unification of Europe. The importance, for example, of competition law for Japanese companies in the EU has drawn the attention of some scholars. The above-mentioned initiatives in labour law have also been recently reactivated, and in various other fields there are important interactions and comparisons to be drawn between European and Japanese law. The future is bright for Japanese legal studies in the low countries and France.
ZUSAMMENFASSUNG
Diese Abhandlung beschreibt die Entwicklungsphasen der Auffassungen zum japanischen Rechts in Belgien, den Niederlanden und in Frankreich. In den fünfziger und sechziger Jahren hatten Rechtswissenschaft und Landeskunde einander ähnliche, auf einem aus der Rechtsvergleichung kommenden starken kulturellen Interesse basierende Ansätze zum japanischen Recht. In den siebziger und achtziger Jahren hingegen führten die zunehmend wechselseitigen Wirtschaftsbeziehungen zwischen Europa und Japan zu einem Anstieg des Interesses an spezifischen Aspekten japanischen Wirtschaftsrechts, allerdings ohne Verringerung des Interesses an Gesellschaft und Kultur. Heute vereinen Rechtswissenschaften und Landeskunde ihre Stärken und werden dies im Hinblick auf ein erneutes Interesse am japanischen Recht in einem vereinten Europa auch weiterhin tun.
18 T. KAWASHIMA, Dispute Resolution in Contemporary Japan, in: A.T. von Mehren (ed.), Law in Japan: The Legal Order in a Changing Society (Harvard 1963) 41-48.
19 See supra note 5.
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For citation information please see http://www.claisse.info/Publish.htm
Properties of concrete using high-lime PFA from a UK source.
Robin Shirley, Postgraduate student
Peter Claisse, Professor (corresponding)
and
Esmaiel Ganjian, Reader
Coventry University
JL Building, Priory Street, Coventry CV1 5FB
024 7688 8881
email@example.com
1
Abstract
Recent changes in the UK coal supply have resulted in the production of highlime ash from a major UK power station. This paper offers results collected during a project comparing key performance characteristics of concretes using an ASTM class C (high lime) and an ASTM class F (low lime) ash as a partial replacement for Portland cement (PC). Mixes were produced using 40% replacement of PC by weight, with pulverised fuel ash (PFA), and a water/cement ratio of 0.4. Characteristics examined included workability, compressive strength, water permeability, water absorption, chloride permeability using the Rapid Chloride Permeability test (RCPT), resistance to sulphate attack, and freeze/thaw resistance. The results showed that the concrete containing the ASTM class C ash was superior in all of these areas except for sulphate resistance. Workability and compressive strength tests were also performed on mixes containing 60, 70, 80, and 90% replacement levels with the class C ash, all with 0.4 water/cement ratio. Results showed a steady increase in the workability and a decrease in the compressive strength. Samples made at 90% replacement level showed extreme unsoundness and could not be tested for strength.
1. Introduction
The use of pulverised fuel ash (PFA) as a partial replacement for Portland cement (PC) in concrete is well known. This reduces the requirement for PC, which is a significant contributor to greenhouse gas emissions, and uses an otherwise waste material which would require disposal in locations such as landfills or surface impoundments.
PFA has been used in the UK for many years but changes in the coal supply are causing significant changes in the ash. As a result of closures of UK coal mines substantial quantities of coal are being imported. Continuously changing emission control regulations also have a major influence on the choice of supply. The class C ash used in this project came from one of the main base-load power stations at Rugeley in Staffordshire. The station was designed to burn bitumous UK coals with minimal lime content, but this ash came from a high lime Indonesian coal . The remainder of the high-lime ash that was not used for this research was sent to land restoration.
Many factors contribute to the performance of concrete containing PFA, one of the most significant of these being the chemical composition of the ash. One method of classification of ashes based on chemical composition is offered by ASTM C618-92a. Ashes are classified as either class C or class F depending on lime content. Due to the pozzolanas present in PFA, a high lime content gives the ash cementitious properties. The result of this is that class C ashes can often be used in greater proportions than class F ashes (1).
4
The aim of this work was to study the properties of a high-lime ash from a UK source and to confirm that it conforms with known properties of similar ashes produced in other countries and to propose beneficial uses for it. Jiang and Malhotra (2) tested several fly ashes of different compositions at 55% replacement. They showed a strong positive correlation between lime content and compressive strength at all ages, though more notably at later (1) noted more rapid development of strength with the use
ages. Naik et al of class C PFA.
Dunstan (3) noted the effects of lime content of fly ash on sulphate resistance of concretes and stated the sulphate resistance factor as 3 2 % / 5 % O Fe CaO − , a value below 0.5 showing the ash would improve sulphate resistance (4) (5). This is credited in many text books to the fact calcium hydroxide is one of the key reactive components when sulphates are present in concrete (4)(5)(6)(7).
2. Experimental Programme
An experimental programme was developed in order to compare the performance of concretes mixed with 40% replacement of PC with class C and class F PFA. Tests were then also performed on concrete utilising the class C ash at varying percentage replacement levels in order to determine the effect on performance.
Ash compositions
Chemical compositions of the ashes used are given in table 1.
Table 1- Chemical composition of ashes
Mix Design
In order to keep the results easily comparable the same mix design was used for all samples, varying only the type of ash used and the replacement level of PC with PFA. Details of the mix used for samples of 40% replacement level are shown in table 2.
Table 2- Mix design (40% replacement level of PC with PFA)
The cement which is designated PC in this paper was CEM1 to EN197-1
Mixing, casting and curing
Samples were cast according to BS 12390-2 and compact on a vibrating table. They were left under a plastic sheet for 24 hours before being demoulded and left to cure in 21ºC lime water until the test date.
3. Test Information and Results
Tests were carried out to measure workability, strength, water permeability, water absorption, chloride migration, sulphate resistance and freeze-thaw resistance.
3.1 Workability
The workability of the mixes was measured using the slump test (BS 1881 part 102). Results for both types of ashes at 40% replacement level and the class C ash at 60, 70, 80, and 90% replacement levels are shown in figure 1.
As is shown in figure 1 the mixes containing class C ash show significantly greater slump than the mix containing class F ash. This may be influenced by carbon content of the ashes (3)(6). The class F ash showed greater LOI. Alternatively increased workability may be due to the size/shape of the particles which was not examined. Increasing the replacement level of the class C ash can be seen to increase the workability. This is a well documented effect of PFA in concrete and is usually attributed to the fineness and spherical nature of the ash particles. (4) (3).
3.2 Compressive strength
Compressive strength tests were conducted according to BS 12390-3. 6 cubes were tested for each 40% replacement mix and 3 for each additional mix using the class C ash. Tests were conducted after 7, 14 and 28 days in order to trace comparative developments of strength. Prior to testing the compressive strength, the cubes were measured with a ruler. This offered an approximate check for gross expansion which may have caused unsoundness in the cubes. None was apparent on any of the mixes.
Figure 2
Figure 2 shows the strength development of the mixes containing 40% replacement of PC with PFA. Clearly the class C mix shows higher strengths from a very early age. The lines can also be seen to diverge slightly. The strength development of the mix containing class C ash is more rapid than that containing class F ash. This development possibly indicates pozzolanic reactions being more abundant and beginning earlier in the presence of a higher lime content available to react with the ash (4). Alternatively the increased reactivity may be attributed to finer particles (4)(2). The higher strength for greater lime contents noted here was also observed by Jiang and Malhotra (6).
Figure 3 shows the effects of increasing the PFA content on the compressive strength. As can be seen the strength abates fairly rapidly.
This may be attributed to excess lime leaving insufficient reactive phase for reactions to occur. It is notable that adequate strengths were obtained at a 60% replacement level.
3.3 Behaviour of Cubes at 90% Replacement Level
Figure 4 shows remnants of a cube with 90% replacement of PC with PFA in the curing tank. These cubes suffered from significant unsoundness, some collapsing within 60 seconds of exposure to water. Unsoundness is a known problem with class C ashes (4). The large molecular volume of the hydrated lime causes high internal pressures which can cause cracking. No unsoundness was noted in the experiments below the 90% replacement level however.
A white build up occurred on the surface of the 90% replacement cubes.
After exposure to phenopthalein this was shown to be alkaline. It was
concluded that this was unreacted hydrated lime (calcium hydroxide),
which shows a clear lime excess.
3.4 Permeability
Permeability was measured by pumping water through cylindrical specimen at high pressures whilst applying a confining oil pressure to prevent leakage around the sides (9).
Tests were performed on cylindrical samples with a 55mm diameter and
30mm length. Water was pumped through the circuit at a pressure of
500psi(3.4 MPa) whilst confining oil pressure was set at 750psi(5.2 MPa).
The time was recorded for 25ml of water to permeate and be collected in a measuring cylinder. This test was conducted on 40% replacement samples after 7, 14 and 28 days in order to show the development of the permeability/pore structure of the concretes. The intrinsic permeability was calculated using the results and equation 1.
Equation 1:
)
/(..
2
1
ppxeVK
−
=
in which
V
e
x
p
1
, p
2
is the Darcy Velocity is the liquids viscocity, (0.001 for water)
is the sample thickness= 30mm are the water pressure before and after the sample (750
psi and 0 psi) in Pascals
Figure 5 shows the results obtained for the permeability test. The class C ash is less permeable from an early age, again indicating early hydration and reactions filling in the capillary voids and pores. By 28 days the permeability of the two mixes was similar.
3.5 Water absorption
Water absorption tests were conducted to BS 1881-122 however 100mm cubes were used for convenience.
Figure 6 shows the results obtained for absorption. As can be seen, the results follow a similar pattern to those for permeability. At early ages the class C ash shows a denser pore structure, with less porosity or smaller pore radius, but by 28 days the results for the two mixes have converged. The slowing of the development of resistance to absorption shown by the curve of the graph was noted by Khatib (10).
3.6 Chloride Permeability
Chloride permeability was measured using the rapid chloride permeability test (RCPT) as described in ASTM C 1202-05 except that the voltage was reduced to 40V rather than the 60V suggested by the standard to prevent overheating. The resistivity of the samples was also measured by applying an AC current. After completion of the RCPT the samples were split through the middle to reveal the cross section and sprayed with silver nitrate solution to measure the distance migrated by the chloride ions. Samples were tested at 14 and 28 days.
Figure 7 and 8 show the charge passed and resistivity of the concrete samples. A similar resistance to migration was shown at 14 days but after that the results diverged. The samples containing class F ash show greater resistivity and less charge passed after 28 days. When the results for the silver nitrate test (table 3) were examined however, it could be seen that chlorides had migrated a shorter distance in the class C ash samples at 14 days, and similar distances after 28 days. This difference in distances migrated by chlorides for equal charge passed for the two mixes is shown in figure 9.
| | Class C Samples |
|---|---|
| 14 day age | 31.6 |
| 28 day age | 21 |
Table 3 Distance migrated by chlorides as indicated by silver nitrate solution (mm).
Figure 9
It may be seen that where an equal charge passes through the samples the chloride migration in the class C samples is less. This can be attributed to the increased presence of hydroxyl ions due to increased calcium hydroxide. These ions carry current through the sample and therefore increase the charge, but move easier than chloride ions and therefore distort the results of the RCPT test (9). When this is taken into consideration it can be said that after 14 days the class C samples are less permeable to chloride migration, and at 28 days both mixes are similar. This is shown by the silver nitrate experiment which are the only results obtained to rely solely on chloride migration.
These results again follow the pattern shown by permeability and absorption tests, of more rapid development in the samples containing class C ash but convergence around 28 day age.
Wang et al (11) also conducted the RCPT on class F and class C samples and also noted higher charge passed for class C samples.
3.7 Sulphate resistance
Sulphate resistance was tested by measuring the length change of mortar bars according to ASTM C1012-04. A deviation from the standard occurred in that whilst the standard dictates beginning exposure to the solution once cubes cast of the same mortar reach a compressive strength of 20 +/- 1 MPa, bars were exposed at ages of 14 days and 28 days regardless of strength. Section 7.1 of the ASTM standard, which dictates the mix design of the mortar, was also not used. The same mix was used for the mortar as for the concrete with only the coarse aggregate removed. Finally the expansion of the bars was only measured for 4 weeks due to time restraints.
After 14 days curing the class C samples showed less expansion than the class F samples. By 28 day age the class F samples showed less expansion however. The class C samples showed greater expansion and therefore less resistance to sulphate attack at 28 day age than 14 day. Calcium hydroxide is known to be one of the key element of the reactive phase in sulphate reactions (6), the behaviour of the class C mortar bars can be attributed to increased quantities of calcium hydroxide due to continued hydration, offsetting the effects of reduced permeability. The length change throughout the test can also be seen to be greater for the class C samples (steeper gradient), this is possibly a result of continued calcium hydroxide production due to continued hydration. This behaviour clearly renders class C ashes unsuitable for use in high sulphate environments.
3.8 Freeze/Thaw resistance
In order to test the freeze thaw resistance 100mm cubes were placed in a tray of water 3-5mm deep and subjected to the freeze thaw cycle described in ASTM C666-97. The ultrasonic pulse transit time was measured through the samples at intervals, according to ASTM 597-02. The results collected were used to calculate the dynamic modulus of elasticity for the samples. Visual inspection of samples was also conducted.
Figure 11 shows the results collected for freeze/thaw resistance. After 14 days the two mixes were fairly similar however after 28 days curing the samples containing class C ash showed a great advantage lasting for around twice as many cycles as the class F samples. Neither mix used any additives such as air entraining admixtures therefore results can be attributed to the basic concrete properties. These results then show the samples containing class C ash to again have superior strength.
Discussion.
The results confirm that the class C ash produced in the UK behaves as expected from overseas experience. This material is more reactive and has a greater latent energy than the class F ash and it would therefore be highly desirable to use it rather than waste it. There is also the problem that it is latently hydraulic so it will tend to set when placed in landfill which may cause operational problems and inhibit land re-use. It is of note, however, that shortly after this sample was taken the station started blending the Indonesian coal with Siberian coal as part of a complex strategy to comply with limits set for sulphate emissions. This reduced the lime content of the ash. Flue-gas desuphurisation is being installed but even with this the very regular quality of ash produced by UK stations in the past is unlikely to happen in future. In one UK station the desulphurisation process itself is actually producing a high-lime ash.
In order to meet our environmental targets it would therefore be desirable for markets to be developed to suit a range of different ashes which may be produced. The results in this paper show that the ash has good properties except for its sulphate resistance. It is therefore suggested that it could be used for precasting operations for items such as blocks and beams for which are going to remain well clear of sources of sulphate and significant advantage could be gained from the high early strengths.
4. Conclusions
a) High lime PFA as a partial replacement for PC offers earlier development of strength and pore structure than low lime PFA. This Improves properties such as strength, permeability and absorption at early ages.
b) Whilst the strength of concrete containing high lime PFA remains superior to that containing low lime at 28 day age, other properties such as permeability, permeability to chlorides, and absorption may be similar regardless of lime content.
c) High lime ash is unsuitable for environments with significant presence of sulphates.
d) High lime PFAs can be used to replace a greater proportion of PC than low lime PFAs, up to 60% replacement by weight appears feasible for applications with lower strength requirements.
References
1. Naik. T, Ramme. B and Tews. J, 1995, Pavement construction with high volume class C and class F fly ash concrete, ACI Materials Journal Vol 92. pp.200-210
2. Jiang. L and Malhotra. V, Reduction in water demand of non-airentrained concrete incorporating high volumes of fly ash, cement and concrete research 30 (2000) 1785-1789
3. ER Dunstan, jr. Possible method for identifying fly ashes that will improve the sulfate resistance of concretes Cement, Concrete, and Aggregates, v. 2,, 1980
4. Wesche. K Ed., Fly Ash in Concrete, 1991, Rilem Technical Committee 67 Report.
5. Dodson. V, (1990), Concrete admixtures, Van Nostrand Reinhold, Structural Engineering series
6. Kropp. J. and Hilsdorf H.K Ed., Performance Criteria for Concrete Durability, 1995, Rilem Technical Committee 116 Report.
7. Neville. A. M. 1995, Properties of concrete, Longman
8. E. Ganjian, P. Claisse, M. Tyrer and A. Atkinson Factors affecting measurement of hydraulic conductivity in low strength cementitious, Materials. Cement And Concrete Research Vol 36; Number 12 (2006) Pp. 2109-2114
9. Peter A Claisse, Hanaa I Elsayad and Esmaiel Ganjian. Modelling the Rapid Chloride Permeability Test Cement and Concrete Research Accepted for publication August 07,
10. Khatib J.M Performance of self compacting concrete containing fly ash, construction and building materials 22 1963-1971, 2008
11. Wang. S, Llamazos. E, Baxter. L, Fonseca. F, (2008), Durability of biomass fly ash concrete, freezing and thawing and rapid chloride permeability tests, Fuel, Vol. 87, p.359-364
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An Active-Learning Approach to Teaching Digital Logic Design
Sami Khorbotly Electrical & Computer Eng. Valparaiso University Valparaiso, IN firstname.lastname@example.org
Eric Johnson Dean, College of Engineering Valparaiso University Valparaiso, IN email@example.com
Douglas Tougaw Electrical & Computer Eng. Valparaiso University Valparaiso, IN firstname.lastname@example.org
Abstract
Digital systems, in general, and digital logic design, in particular, are essential topics in the curriculum of electrical and/or computer engineering programs. It is virtually impossible to come across an electrical/computer engineer who has not received training in the design and analysis of combinational and sequential systems. Various schools, however, use differing approaches to structure their classes and deliver their content. In our program, the class consists of two main components: the lecture and the lab. In addition to elements of a traditional, presentation-based lecture, the "think, pair, share" technique is used to ensure an adequate delivery and understanding of the course contents.
The paper describes the course educational objectives and includes a full schedule of activities. A detailed description of both the design projects and the laboratory projects is also provided. The paper is concluded with the course assessment results including both the student feedback and the faculty comments and reflections.
Introduction
Digital Logic Design is a required class in the curricula of Electrical Engineering, Computer Engineering, and most Computer Science programs around the world. It is very common for the class to have a laboratory component associated with it.
A significant amount of work has been done to prove the effectiveness and promote the use of active learning techniques [1-2], as opposed to the traditional lecture-based teaching. In our version of the class, we adopted the famous Think, Pair, Share (TPS) active learning approach [3] in a project-based setting to cover a significant part of the course materials. In this approach, students complete a total of seven laboratory projects and six design projects that are interlaced over the 14 weeks of instruction. In the first laboratory experiment, the instructor introduces the CAD software to be used in designing logic circuits. For the rest of the semester, the activities are scheduled as follows:
* Design Project – Think component. Each student is to work individually on an assigned project. These projects involve conceptual design as well as the use of CAD software tools, and simulating the final design.
* Laboratory Project - Pair component. Students are asked to team up in groups of two. Teammates will compare their individual design projects and decide on which design is the best to build in the laboratory.
* Laboratory Report - Share component. In this step, each student writes an individual report explaining the design and sharing the results of the project.
The advantage in this structure is that each student gets the time to think, research, and simulate a solution to the project before sharing their findings with a peer. The two peers then adopt a design to implement. The adopted design may be based on one of the two original solutions or a hybrid combination of both.
The rest of this paper is organized as follows: the next section describes the course, its catalog description and its educational objectives; the subsequent section details the design projects and the laboratory projects assigned to carry out the TPS technique; the following section includes assessment results of the last offerings of the class; and the last section includes final comments and reflections from the instructor.
Course Description
At our university, the digital logic design course is a required course for all electrical engineering and computer engineering majors. It is also listed as a technical elective for computer science majors. The class is three credit-hours, covering both the lecture and the laboratory components. The course is scheduled on a biweekly periodic rotation where the class meets for five hours of lectures and three hours of laboratory meetings every two weeks.
The catalog description of the class is as follows:
Digital Logic Design 2.5+1.5, 3 Cr.
(Also offered as CS 320.) An introduction to digital logic concepts, including the analysis and design of combinational and sequential digital circuits.
The course educational objectives are listed as follows:
* Convert values between decimal, binary, hexadecimal, and octal number systems.
* Design minimized combinational logic circuits using Karnaugh Maps or Espresso/Minilog given natural language descriptions or truth table representations.
* Perform arithmetic operations on binary, hexadecimal, and octal number systems.
* Implement combinational circuits using simple gates, complex gates, steering logic, programmable logic, or universal gates.
* Create a minimized finite state machine given natural language descriptions or state diagram representations.
* Given a set of input waveforms, sketch the output waveforms for various memory types (SR, JK, D, and T), and element classifications (latch, gated latch, and edge-triggered flip flop)
* Implement (create, verify, and debug) digital designs using integrated circuits (both standard off-the-shelf parts and PLDs).
Content Description
As explained earlier, the various learning modules are each organized into an individual Design Project (DP) for the students to "Think" about the problem and try to individually devise a solution, a Laboratory Project (LP) where two students are "Paired" together to discuss their ideas and implement a solution, and an individual Laboratory Report for each student to "Share" his/her solution with the rest of the world.
In an introductory Laboratory meeting (Lab 0), the students are introduced to OrCAD PSpice [4], the design tool that will be used in a significant part of the class. Then, a total of six learning modules are implemented to cover the course contents. Each module runs over a period of two weeks. This section describes the contents of each of these modules.
Module # 1
DP: In this DP, students are asked to use their newly acquired knowledge of universal gate sets to design a half adder using only one type of gates, typically two-input NOR or two-input NAND.
LP: In this LP, students are asked to implement the half adder developed in the DP using small scale integration (SSI) circuits. The main goal when using SSI circuits is to create a design that uses the minimum number of Integrated Circuits (ICs).
Module # 2
DP: In this DP, students are asked to design a code converter that converts Excess-3 to 2 of 5 codes. Students are required to create two different designs of the same code converter. The first design shall minimize the number of gates in the circuit while the other one minimizes the number of ICs in it.
LP: In this LP, students are asked to implement an "Excess-3" to "2 of 5" Code converter using small scale integration (SSI) circuits.
Module # 3
DP: This DP focuses on iterative design practices to create larger designs. Students are asked to use 4 copies of a full-adder/subtractor to create a two's complement 4-bit adder/subtractor circuit.
LP: In this LP, the task is to implement the 4-Bit Adder/Subtractor using Altera's Development and Education 2 (DE2) board [5]. This requires students to get familiar with Altera's Quartus II CAD environment as well as the board.
Module # 4
DP: In this DP, students study the main binary memory unit, the D edge-triggered flip flop. They also use it to build a provided sequential logic circuit design. They also analyze the provided sequential system and explain its functionality.
LP: In this LP, students are asked to implement the sequential system from the DP on the DE2 board and analyze it. This requires the students to create a clock signal and connect it to the system.
Module # 5
DP: This DP is very similar to the one in the previous module except the students will design a sequential system rather than building a provided one. The sequential system to be designed and implemented is a parallel-input, parallel-output (PIPO) shift left/load register.
LP: The objective of this lab is to implement the PIPO Shift Left/Load register designed in the last DP as well as a modulo-16 up counter.
Module # 6
DP: This DP is a culmination of most of the topics covered in the course. It involves the design and verification of a vending machine controller. The vending machine controller is a Finite State Machine (sequential circuit) that controls the operation of a vending machine. This includes the control of coins inserted, merchandize released, and possibly change returned.
LP: The objective of this LP is to implement the vending machine controller on the DE2 board and verify its functionality.
Course Assessment
At the end of the course, students were asked to complete a course evaluation survey to provide feedback on their learning experience and make suggestions for improvements. Only a subset of the questions asked in the survey are included in this paper. The included questions (shown in Table I) are selected because of their relevance to the content of this work. For each of these questions, students were asked to select a number out of five possibilities in a standard Likert scale as follows:
1. Strongly disagree (or poor)
2. Disagree (or below average)
3. Neutral (or average)
4. Agree (or good)
5. Strongly agree (or excellent)
The assessment results include two groups of students (section A and section B) taking the same course at different times in the same semester. The number of participants in the survey was 22 students from section A and 26 students from section B for a total of 48 students. Table I shows the results related to the selected questions. The results show that students were pleased with the class and the quality of their learning. Students also expressed an overwhelming satisfaction with the course organization and the order of occurrence of different subjects. Moreover, it was important for the class designers to get the positive reassurance that the learning modules covered all the subjects listed in the course educational objectives.
On a closely related issue, students usually believe that active learning techniques make the teacher's job easier while creating a larger workload on the student side. One question in the student evaluation survey helped assess this particular issue by asking: How would you rate the workload of this class? The student responses were collected using the same standard Likert scale with 5 indicating "too much work" and 1 indicating "too little work." The responses are shown in Table II. The results show that only three out of 48 students thought that the class required too much work while more than half of the students (25/48) thought that the class required just the right amount of work.
Table I. Results of the student evaluations of the course
| | | | Section | | 5 | | 4 | | 3 | | 2 | | 1 | Avg. |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Overall, I would rate this course | Overall, I would rate this course | A | | 11 | | 10 | | 1 | | 0 | | 0 | | |
| | | | B | | 16 | | 9 | | 1 | | 0 | | 0 | |
| | | | Total | | 27 | | 19 | | 2 | | 0 | | 0 | 4.52 |
| The course is well organized and logically arranged | | A | | 11 | | 9 | | 2 | | 0 | | 0 | | |
| | | | B | | 19 | | 7 | | 0 | | 0 | | 0 | |
| | | | Total | | 30 | | 16 | | 2 | | 0 | | 0 | 4.58 |
| The topics covered matched the learning objectives | | A | | 11 | | 9 | | 1 | | 1 | | 0 | | |
| | | | B | | 21 | | 4 | | 1 | | 0 | | 0 | |
| | | | Total | | 32 | | 13 | | 2 | | 1 | | 0 | 4.58 |
| Overall Quality of the course | | A | | 11 | | 9 | | 2 | | 0 | | 0 | | |
| | | | B | | 18 | | 7 | | 1 | | 0 | | 0 | |
| | | | Total | | 29 | | 16 | | 3 | | 0 | | 0 | 4.54 |
Table II. Student's perception of the course workload
| | | Section | | TMW | | | | | | | | TLW |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| How would you rate the workload | A | | 2 | | 8 | | 11 | | 1 | | 0 | |
| of this class? | | B | | 1 | | 9 | | 14 | | 2 | | 0 |
On a related note, different questions in tests, quizzes, and homework assignments are used to assess the students' achievement of the course educational objectives. Only the students who finished the class and sat for the final examination are included in this assessment. For each of the course educational objectives, following the assessment system in [6], the performance of each student is classified as Excellent (E), Adequate (A), Minimal (M), or Unacceptable (U). The assessment results are shown in Table III. The numbers show that course educational objectives were achieved with a great rate of success. In only one of the seven objectives, 2/47 students performed at an unacceptable level while in another objective, 1/47 student had an unacceptable performance.
Reflections and Conclusion
This paper described our experience in developing and teaching an active-learning-based digital logic design course for undergraduate electrical and computer engineering students. The Think, Pair, Share learning method was adopted because of the way it enables students to be in charge of their own learning experience without overloading their already busy schedules. The paper described the class objectives as well as the design projects and laboratory projects that were developed to achieve those objectives. The paper also presented the student feedback received at the end of the course.
From a course designer's perspective, the main concern is to design the right modules to effectively cover all the learning objectives within the time restrictions. From an instructor's perspective, the main concern is the way students received the new learning methods. Early in the semester, some students were not shy to express their dissatisfaction and express some resistance. The main complaint was the excessive workload associated with having to submit too much coursework. However, at the end of the course, the feedback received from the student evaluation surveys was overwhelmingly positive and approving of all course aspects.
Due to both the positive student feedback and the great success in achieving the course educational objectives, the plan is to continue teaching the class in the suggested format for the foreseeable future.
Table III. Student's performance on the course educational objectives
| Course Educational Objective | E | A | M | U |
|---|---|---|---|---|
| Convert values between decimal, binary, hexadecimal, and octal number systems | 21 | 16 | 10 | |
| Perform arithmetic operations on binary, hexadecimal, and octal number systems | 19 | 17 | 11 | |
| Design minimized combinational logic circuits using Karnaugh Maps or Espresso/Minilog given natural language descriptions or truth table representations | 17 | 24 | 6 | |
| Implement combinational circuits using simple gates, complex gates, steering logic, programmable logic, or universal gates | 21 | 20 | 4 | |
| Given a set of input waveforms, sketch the output waveforms for various memory types (SR, JK, D, and T), and element classifications (latch, gated latch, and edge-triggered flip flop) | 23 | 22 | 2 | |
| Create a minimized finite state machine given natural language descriptions or state diagram representations | 11 | 19 | 16 | |
References
[1] Laws, P., Sokoloff, D., & Thornton, R., "Promoting active learning using the results of physics education research." UniServe Science News, 13, 14-19. 1999.
[2] Richards, L., Gorman, M., Scherer, W., & Landel, R., "Promoting active learning with cases and instructional modules." Journal of engineering education, 84(4), 375-381. 1995.
[3] Kaddoura, M., "Think pair share: a teaching learning strategy to enhance students' critical thinking." Educational Research Quarterly, 36(4), 3. 2013.
[4] http://www.orcad.com/products/orcad-ee-pspice-designer/overview
[5] http://www.altera.com/education/univ/materials/boards/de2/unv-de2-board.html
[6] Estell J., Yoder J-D., Morrison B., and Mak F., "Improving upon best practices: FCAR 2.0." Proceedings of the American Society of Engineering Education annual conference, 2012.
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ORGANIZING COMMITTEE
Chief Patron
Dr. N.M. Veeraiyan Chancellor, Saveetha University
Advisory Committee
Dr. R. Rajagopal Vice Chancellor, Saveetha University
Dr. V. Deepak Nallasamy Director of Academic, Saveetha University
Dr. M.F. Baig Dean of Faculties, Saveetha University
Dr. N.D. Jayakumar
Principal, Saveetha Dental College
Dr. Gnanasundaram Professor & Head, Dept. of Oral Medicine, Saveetha Dental College Dr. Saveetha Rajesh Director, Admission Saveetha University.
Organising Chairman
Organising Secretary
Dr. M. Nallanayagam
Joint Secretaries
Mrs. Anitha Roy
Mrs. T. Lakshmi
Treasurer
Mrs. V. Vishnupriya
Mrs. R. Gayathri
Chairman Scientific & Souvenir Committee
Dr. Auxillia Hemamalini
Joint Secretaries
Mr. N.P. Muralidharan
Mrs. R.V. Geetha
Dr. Deepa
Chairman Reception & Registration Committee Dr. Gowri Sethu
Joint Secretaries
Dr. Deepa
Mrs. Gayathri Devi
Mr. Vishnu Amaran
Chairman Accommodation & Hospitality Committee
Mrs. M.S. Thenmozhi
Joint Secretaries
Mr. Yuvaraj Babu .K
Dr. Selvaraj .R
Proceedings of Seventh National B.D.S.Students seminar on Basic Medical Sciences
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December 2011 December 2011
December 2011 December 2011
ANATOMY (ORAL PRESENTATIONS)
Abstract – Anat - 01
Bruxism Janani.K,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077.
Bruxism is the excessive grinding of the teeth and/or excessive clenching of the jaw. Bruxism is an oral parafunctional activity i.e., it is not related to normal function such as eating or talking. It is a common problem: reports of prevalence range from 8–31% in the general population. It may cause minimal symptoms, and therefore people may not be aware of the condition. Several symptoms are commonly associated with bruxism, including hypersensitive teeth, aching jaw muscles, and headaches. It may cause tooth wear, and even the damage or breakage of teeth and dental restorations such as crowns and fillings. Most people probably grind and clench their teeth from time to time. Occasional teeth grinding, medically called bruxism, does not usually cause harm, but when teeth grinding occurs on a regular basis the teeth can be damaged and other oral health complications can arise. Although teeth grinding can be caused by stress and anxiety, it often occurs during sleep and is more likely caused by an abnormal bite or missing or crooked teeth. Because grinding often occurs during sleep, most people are unaware that they grind their teeth. However, a dull, constant headache or sore jaw is a telltale symptom of bruxism. Many times people learn that they grind their teeth by their loved one who hears the grinding at night. In some cases, chronic teeth grinding can result in a fracturing, loosening, or loss of teeth. The chronic grinding may wear their teeth down to stumps. When these events happen, bridges, crowns, root canals, implants, partial dentures, and even complete dentures may be needed.
Abstract – Anat - 02
Evolution of Temporomandibular joint
Joshua NG Chor Yang,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
Evolution is a change in gene pool of a population over time. Differences between genomes have anthropological, medical, and forensic implications and applications. Mammals have long been diagnosed from all other vertebrates and from very nearly mammalian animals largely on the basis of their jaw-ear structure but there is an even greater significance to jaw joints in the vertebrate evolution. It highlights the underlying mechanisms through which this basic blue print was renovated to produce certain subsequent divergent mammalian feeding adaptations. Historically the field of temporomandibular disorders (TMD) has been based on testimonials, clinical opinion, and blind faith rather than on science. Reparative procedures to the joints, jaws, or occlusal surfaces of the teeth to develop idealized structural relationships that may be required for dental health and function are less likely to be required for the management of chronic musculoskeletal disorders. Because of the concerns of many people today regarding professional credibility and intellectual honesty, the need for a scientific foundation to support the various belief systems is of paramount importance. In fact, therapeutic approaches for TMD are undergoing a major evolution away from the traditional mechanistic dental concepts of the past to the more current biopsychosocial medical concepts that emphasize multidisciplinary approaches. Recent advances in the understanding of pain mechanisms and management of chronic pain have improved long-term treatment outcome. The emphasis is on treatment that involves the patient in the physical and behavioral management of their own problem. The majority of patients with TMD achieve good relief of their symptoms with noninvasive, conservative therapy.
Abstract – Anat - 03
Occipital emissary foramen in South Indian Skulls
Karthick K,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077.
Along the skull, there are numerous foramens through which course vital neural and vascular structures. Recognition of these foramens is important not only for understanding the regional neurovascular anatomy, but also to distinguish normal from potentially abnormal structures. The poor interpretation of such variations occasionally creates complications during clinical interventions. Emissary veins traverse emissary foramina of the skull and connect venous sinuses to extracranial veins. Although they are valveless and blood may flow in both directions, flow is usually away from the brain. In ordinary usage, emissary foramina are restricted to mastoid, parietal, condyloid, and the foramen of Vesalius. An occipital emissary foramen has been traditionally described as a solitary foramen occasionally present in the squamous part of the occipital bone at the occipital protuberance. It transmits the occipital emissary vein that connects the confluence of sinuses with the occipital vein. The emissary vein may also receive the occipital diploic vein. This traditional view has now been challenged as the foramen has in the recent studies been found more often near the foramen magnum than the External Occipital Protuberance. The present study was done to ascertain the incidence of the foramen in unsexed adult modern human skulls of South Indian origin. The position of the foramen was also determined as a comparison of the study with the traditional and existing literature was done. The findings of the study were then correlated to possible clinical manifestations that may arise due to the position and number of emissary foramina if seen on the skull.
Abstract – Anat - 04
Morphometric investigation of the Jugular foramen of the human skull
Karthikeyan M,
Saveetha Dental College & Hospitals,
Saveetha University, Chennai -600077
The jugular foramen is a large aperture in the base of the skull. It is located behind the carotid canal and is formed in front by the petrous portion of the temporal, and behind by the occipital; it is generally larger on the right than on the left side. It is well known that the jugular foramina are essential for venous drainage of the brain. The size of the foramen is related to the size of the sigmoid sinus and the presence or absence of prominent jugular bulb. The jugular foramen (JF) varies in shape and size from side to side in the same cranium, and in different crania, racial groups and sexes. Side dominance is also said to be common. The foramen's irregular shape, its formation by two bones and the numerous nerves and venous channels that pass through it further compound its anatomy. It is a bony opening on the base of skull, is an opening through which pass the ninth, tenth, and eleventh cranial nerves, two dural sinuses, and the meningeal branches of the occipital and ascending pharyngeal arteries. Most of the approaches for skull base surgeries are designed to drill the bone over jugular foramen for proper exposure. In order to achieve this, an understanding of normal morphometric study of jugular foramen is necessary.
Abstract – Anat - 05
Morphometric Analysis of Position of Mental Foremen in Dry Mandible
Naveen Raj .S
Saveetha Dental College & Hospitals,
Saveetha University, Chennai -600077
Mental foramen (MF) is an important landmark to facilitate surgical, local anesthetic, and other invasive procedures. It is located in the antero-lateral aspect of the body of the mandible. Its location and the possibility that an anterior loop of the mental nerve may be present mesial to the mental foramen needs to be considered before implant surgery to avoid mental nerve injury. It is situated midway between the upper and the lower border of the mandible and it transmits the mental nerve and the vessels. The knowledge on the anatomy of the mental foramen is very important in clinical dentistry and in surgical procedures which involve that area. The position and its morphological variations are very essential to localize the important maxillofacial neurovascular bundle passing through. The precise identification of position of the mental foramen is important in both diagnostic and clinical procedures of the mandible. Clinically, mental nerve bundle emerging from the mental foramen may get injured during surgical procedures with resulting paresthesia or anesthesia along its sensory distribution. Anatomically, the mental foramen is the opening of the mental canal. According to standard text books, mental foramen is most commonly situated between the apices of the first and second lower premolar. The mental foramen descends slightly in edentulous individuals. The most frequent position (63%) of the mental foramen is in line with the longitudinal axis of the 2nd premolar tooth. Multiple mental foramina are observed in 17% of the sides. Only (4%) of the mandibles show bilateral multiple mental foramina. The majority of the multiple foramina are unequal in size: a single large foramen while the others are small (satellite) foramina. An incisive mental foramen is observed in 1% of the sides. Knowledge of the position of the mental foramen is important both when administering regional anaesthesia, performing periapical surgery and dental implant surgery and endodontic treatments in the mandible. Although it is often possible to identify the mental foramen radiographically and by palpation, knowing the normal range of possible locations is essential.
Abstract – Anat - 06
Variations of the Location of Greater Palatine Foramen in dry Human skulls
Senthamil Sindhu J
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
The hard palate is an essential region of the skull formed by the two palatal processes of the maxilla and two horizontal plates of the palatine bones which are linked by a crucial suture formed by the junction of the four described bones .Blocking of the maxillary division of the trigeminal nerve or its branches for local anesthesia is a common practice in maxillofacial surgery. The maxillary nerve block is an effective method of achieving profound anesthesia of the hemimaxilla. It is useful in procedures involving quadrant dentistry or in extensive maxillary surgical procedures. One of two approaches is available to gain access to the terminal point for anesthetic delivery– the greater palatine canal through the greater palatine foramen (GPF) and the high tuberosity. The major difficulty encountered with use of the respective techniques is locating the canal for the GPF technique and the higher incidence of hematoma for the high tuberosity (3). The ability to better predict and easily anesthetize the maxillary nerve and its branches with a single injection could make it possible to perform surgical procedures, such as maxillary sinus elevation for dental implants in the posterior maxilla, as routine procedures in the private clinic. Patients accept this approach better than a technique that requires several injections. A common problem encountered with the use of the maxillary nerve block is the inability to obtain profound anesthesia, which is frequently caused by the operator's inability to find the GPF. That is why description of the location of GPF is important. With the required knowledge and respect for the associated anatomy, the technique of maxillary nerve block through the GPF should be considered with greater ease and more confidence, when indicated. At either posterior angle of the hard palate is the greater palatine foramen, for the transmission of the descending palatine vessels and greater palatine nerve; and running anteriorly (forward) and medially (towards the center-line) from it is a groove, for the same vessels and nerve. The greater palatine foramen (GPF) is related to the upper 3rd molar tooth in most of the skulls (55%), 2nd molar in (12%), between the 2nd & 3rd molar in (19%) and retromolar in (14%). The shape of the foramen is elongated antero-posteriorly; however, an unusually crescent shaped foramen is rare.
Abstract – Anat - 07
Orofacial cleft Aurelian Jovita Alexande
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
Orofacial clefts are birth defects where mouth or roof of mouth does not form properly. A cleft is a separation in a body structure, often resulting from the failure of tissues to grow together properly. Oral facial clefts may involve the lip, the roof of the mouth (hard palate) or the soft tissue in the back of the mouth (soft palate).Cleft lip is a separation of two sides of lip and often includes the bones of the maxilla and/or the upper gum. A cleft lip varies from notch in lip to a cleft extending up into nose. Sometimes there is a cleft or notch in the gum as well. Cleft palate is an opening in roof of mouth. The two sides of the palate fail to join together or fuse. Most cleft palates involve the hard palate at the front of the roof of the mouth, but the soft palate at the back of the roof of the mouth can also have a cleft. Cleft lip with or without a cleft palate and isolated cleft palate are two different conditions. .Babies with cleft lip/palate has a cleft lip and sometimes a cleft palate. In isolated cleft palate, the cleft palate occurs by itself, without cleft lip or other malformations. These two forms of oral-facial clefts are considered separate birth defects. There is variability in the severity of oral facial clefts. The medical costs associated with orofacial clefts are substantial. Sometimes orofacial clefts are diagnosed by prenatal ultrasound, but there is no systematic screening for orofacial clefts. Most clefts are readily diagnosed in the newborn period, although sometimes a cleft of the soft palate is not recognized. Children with a cleft lip with or without a cleft palate or a cleft palate alone often have problems with feeding and talking. They also might have ear infections, hearing loss, and problems with their teeth. Services and treatment for children with orofacial clefts can vary depending on the severity of the cleft; the presence of associated syndromes or other birth defects, or both; and the child's age and needs. Surgery to repair a cleft lip usually occurs in the first few months of life and is recommended within the first 12 months of life. Surgery to repair a cleft palate is recommended within the first 18 months of life. 5 Many children will need additional surgeries as they get older. Although surgical repair can improve the look and appearance of a child's face, it also may improve breathing, hearing, speech, and language. Children born with orofacial clefts also might need different types of treatments and services, such as special dental or orthodontic care or speech therapy.
Abstract – Anat - 08
Variation in angle of Mandible Shri Neeraja P,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
The mandible (from Latin mandibula, "jawbone") or inferior maxillary bone forms the lower jaw and holds the lower teeth in place. In the midline on the anterior surface of the mandible is a faint ridge, an indication of the mandibular symphysis, where the bone is formed by the fusion of right and left processes during mandibular development. Like other symphysis in the body, this is a midline articulation where the bones are joined by fibrocartilage, but this articulation fuses together in early childhood. The angle of the mandible (gonial angle) is located at the posterior border at the junction of the lower border of the ramus of the mandible. This term arises from the Latin, angulus meaning to bend or diverge from a central point. The angle of the mandible, which may be either inverted or everted, is marked by rough, oblique ridges on each side, for the attachment of the masseter laterally, and the pterygoideus internus medially; the stylomandibular ligament is attached to the angle between these muscles. The forensic term for the midpoint of the mandibular angle is the gonion. The mandibular angle has been named as a forensic tool for gender determination, but recent studies have called into question whether there is any significant sex difference in humans in the angle. With development and function, the mandibular angle has shown changes in size and shape. A variation in mandibular angle with age, gender, and even the dental status has been observed, which is supported by radiographic and anthropometric studies. Angle fractures are often unfavourable because of the actions of the masseter, temporalis, and medial pterygoid muscles, which distract the proximal segment superomedially. Recent evidence evaluating the favourability of angle fractures shows that there is no need to apply different treatment modalities to mandibular fractures regardless of whether the factures are favourable.
Abstract – Anat - 09
Surgical spaces of neck and its clinical anatomy
Subashri,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
The neck (L. collum, cervix) joins the head to the trunk and limbs and serves as a major conduit for structures passing between them. In addition, several important organs with unique functions are located here: the larynx, thyroid, and parathyroid glands, for example. The skeleton of the neck is formed by the cervical vertebrae (C1–C7), hyoid bone (referred to as the hyoid in common usage), manubrium of the sternum, and clavicles. The mobile hyoid lies in the anterior part of the neck at the level of the C3 vertebra in the angle between the mandible and thyroid cartilage. The hyoid does not articulate with any other bone and functionally serves as an attachment for anterior neck muscles and a prop to keep the airway open. Fascial spaces (also termed fascial tissue spaces, or tissue spaces), are potential spaces that exist between the fascia and underlying organs and other tissues. In health, these spaces do not exist; they are only created by pathology. The fascial spaces can also be opened during the dissection of a cadaver. The fascial spaces are different from the fascia itself, which are bands of connective tissue that surrounds structures, e.g. muscles. The opening of fascial spaces may be facilitated by pathogenic bacterial release of enzymes which cause tissue lysis. The spaces filled with loose areolar connective tissue may also be termed clefts. Other contents such as salivary glands, blood vessels, nerves or lymph nodes are dependent upon the location of the space. Those containing neurovascular tissues (nerves and blood vessels) may also be termed compartments. Generally, the spread of infection is determined by barriers such as muscle, bone and fascia. Pus moves by the path of least resistance. In the head and neck, potential spaces are primarily defined by the complex attachment of muscles, especially mylohyoid, buccinator, masseter, medial pterygoid, superior constrictor and orbicularis oris. Infections involving fascial spaces of the head and neck may give varying signs and symptoms depending upon the space(s) involved. Trismus (difficulty opening the mouth) is a sign that the muscles of mastication (the muscles that move the jaw) are involved. Dysphagia (difficulty swallowing) and dyspnoea (difficulty breathing) may be a sign that the airway is being compressed by the swelling.
ANATOMY (POSTERS PRESENTATIONS)
Abstract – Anat - 01
Malformation of teeth Davinaa A/P S.Jayasilan & Latha Subramaniam,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
Among the individuals of any species there is always a certain amount of variation, the relatively gross anatomical deviations from the normal being classed as malformations. The variety of malformations of the teeth is very great and only in certain instances has we any idea of the mode of production or causation. Some are frankly hereditary and of genetic origin; others perhaps could be shown to be so if it were possible to examine other members of the families and undertake the laborious work of gathering the data for pedigrees. Trauma to a developing tooth germ can be responsible for malformation of the definitive tooth and experimental work on animals and observations on man have established that if the region of the jaws is irradiated during the period of tooth development teeth may fail to develop or be dwarfed. The vast majority of dental malformations, however, appear to occur quite fortuitously and few writers have cared even to speculate on their etiology. It is very common for the upper lateral incisors to be absent or reduced in size, either unilaterally or bilaterally, Anomalies of the lateral incisors have been described in families with a high incidence of cleft lip and it has been suggested that they represent minor degrees or "formes frustes" of the same disturbance of development. Before this view could be accepted it would be necessary to show that the incidence of lateral incisor anomalies is consistently higher in such families than in the general population. Malformations of the teeth generally are not visible at birth because the teeth do not erupt until after birth (usually) - ENAMEL HYPOPLASIA: defective enamel formation resulting in grooves, pits, and fissures on the enamel surface due to a disturbance in enamel formation. One of its most common causes is rickets, due to vitamin D deficiency ; ABNORMALITIES IN SHAPE: quite common; due to aberrant groups of ameloblasts ; NUMERICAL ABNORMALITIES: One or more extra teeth may develop or the teeth may not form at all Partial anodontia: One or more teeth are absent, Total anodontia: No teeth develop, a very rare condition ; NATAL TEETH AND CAPS: 1 or 2 mandibular incisors are found at birth Premature erupted (teeth may be only small, loose enamel caps over a thin dentin sheet) ; FUSED TEETH: a tooth bud may divide or 2 buds may partly fuse to form a fused or joined tooth; AMELOGENESIS IMPERFECTA: the enamel of the tooth is soft and friable due to hypocalcification.
Abstract –Anat - 02
Bell's Palsy
Dharini Sri & M.S.Haripriya,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
Bell's palsy is a form of facial paralysis resulting from a dysfunction of the cranial nerve VII (the facial nerve) causing an inability to control facial muscles on the affected side. Several conditions can cause facial paralysis, e.g., brain tumour, stroke, myasthenia gravis, and Lyme disease. However, if no specific cause can be identified, the condition is known as Bell's palsy. Named after Scottish anatomist Charles Bell, who first described it, Bell's palsy is the most common acute mononeuropathy (disease involving only one nerve) and is the most common cause of acute facial nerve paralysis (>80%). Bell's palsy is defined as an idiopathic unilateral facial nerve paralysis, usually self-limiting. The hallmark of this condition is a rapid onset of partial or complete paralysis that often occurs overnight. In rare cases (<1%), it can occur bilaterally resulting in total facial paralysis. It is thought that an inflammatory condition leads to swelling of the facial nerve. The nerve travels through the skull in a narrow bone canal beneath the ear. Nerve swelling and compression in the narrow bone canal are thought to lead to nerve inhibition, damage or death. Most people who have Bell's palsy recover completely, without treatment, in 1 to 2 months. This is especially true for people who can still partly move their facial muscles. But a small number of people may have permanent muscle weakness or other problems on the affected side of the face. Cortico steroids have been found to improve outcomes, when used early, while anti-viral drugs have not. Most people recover spontaneously and achieve near-normal to normal functions. Many show signs of improvement as early as 10 days after the onset, even without treatment. Often the eye in the affected side cannot be closed. The eye must be protected from drying up, or the cornea may be permanently damaged resulting in impaired vision. In some cases denture wearers experience some discomfort. In most cases, a Bell's palsy is a 'one-off'. About 1 in 10 people who have a Bell's palsy can have a further episode sometime in the future, often several years afterwards.
Abstract - Anat - 03
Craniosynostosis
Gayathri A/P Kanniappan & Kasthuri A/P Nagappan,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
Craniosynostosis (sometimes called craniostenosis) is a disorder in which there is early fusion of the sutures of the skull in childhood. It produces an abnormally shaped head and, at times, appearance of the face. The deformity varies significantly depending on the suture or sutures involved. Surgical correction may be necessary to improve appearance and provide space for the growing brain. It is called 'primary' when not associated with any other problem. When there is an underlying disorder it is considered 'secondary'. It may be "simple" with only one suture closed or "compound" when multiple sutures are involved. The result of craniosynostosis is to change the shape of the head and sometimes face. Craniosynostosis can be associated with other neurologic problems including hydrocephalus, Chiari I malformation and increased intracranial pressure. These are more often associated with multiple suture involvement and syndromic cases. Since the skull cannot expand perpendicular to the fused suture, it compensates by growing more in the direction parallel to the closed sutures. Sometimes the resulting growth pattern provides the necessary space for the growing brain, but results in an abnormal head shape and abnormal facial features. In cases in which the compensation does not effectively provide enough space for the growing brain, craniosynostosis results in increased intracranial pressure leading possibly to visual impairment, sleeping impairment, eating difficulties, or an impairment of mental development combined with a significant reduction in IQ.
Abstract – Anat - 04
Pulsating Exophthalmos Mohamed Jubair Hashir & Nirmal Kumar,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
Pulsating exophthalmos is an eye disorder characterized by a bulging, pulsating eyeball, caused by an arteriovenous aneurysm involving the internal carotid artery and the cavernous sinus of the orbit. Exophthalmos occurs in 30% of the patients suffering from orbital tumor. However, pain, diplopia, swelling, tearing and blurred vision is much more common presenting complaints. Since most optic nerve gliomas occur in the first two decades of life, loss of vision in children with or without optic atrophy suggests optic nerve glioma, particularly if some degree of exophthalmos exists. In a child, the presence of a retrobulbar mass with ecchymosis of the lids and subconjunctival hemorrhage associated with exophthalmos suggests a malignant tumor, particularly medulloblastoma. Unilateral pulsating exophthalmos was first described by Benjamin Travers in 1809. Exophthalmos, also called exophthalmia or proptosis, is a bulging of the eye anteriorly out of the orbit. Exophthalmos can be either bilateral (as is often seen in Graves' disease) or unilateral (as is often seen in an orbital tumor). Complete or partial dislocation from the orbit is also possible from trauma or swelling of surrounding tissue resulting from trauma. Exophthalmos have many reasons, some thyroid disease, especially Graves 'disease (Graves' disease), may be due to the orbital tissue swelling, abnormal tissue deposition, pushing the eyeball protrusion. Retrobulbar hemorrhage or orbital inflammation can cause acute exophthalmos. Within the orbit and retrobulbar malignant or benign, can also push the protrusion of the eyeball. The abnormal proliferation of orbital tissue (pseudo tumor) also cause proptosis in 2 to 3 months. Cavernous sinus thrombosis ophthalmic vein reflux disorder can cause siltation. Unusual move, retrobulbar vein (arteriovenous malformation) traffic pulsating exophthalmos, eye protrudes forward and pulsating with the heartbeat. pulsating exophthalmos of the right eye with diplopia resulting from severe dysplasia of the sphenoid bone and consecutive herniation of the right temporal lobe. The right orbital tectum was reconstructed with titanium mesh and iliac spongiosa via a lateral orbitotomy using intraoperative navigation. The bruit and pulsations of the orbit usually occur from the synchronous movements of the blood through an arteriovenous fistula. These pathologic processes have been verified by many autopsies. Any retrobulbar mass may produce an exophthalmos, but usually vascular disease is the basis for the pulsating form. An actual increase in the number of capillaries, and all anastomoses to surrounding channels are increased in size. The veins are distended into varicosities. This, of course, holds true especially in the orbit, since the orbital veins connect with both the external and the internal jugular vein.
Abstract – Anat - 05
Sites of Refered Pain of Teeth And Face
Nivaasini A/P Sivarajah & Reygana A/P Ganason,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
Referred pain is a common and confusing problem every dental practitioner may encounter. This is a kind of pain perceived in a part of body, which is far from the source of pain. Usually the pain originated in a visceral organ could be referred to a superficial anatomic region such as cardiac pain, which radiates to the shoulder, arm, mandible and face. Referred pain may also be detected in the face and teeth e.g. a toothache may be referred to non dental anatomic structures and vise-versa pain from other regions may be perceived in teeth. Many theories have been proposed to explain referred pain such as "convergence theory" and "expansion of receptive fields". If the origin of pain is not found it may lead to inappropriate dental care like extraction or root canal therapy. Meanwhile, pain originated from other anatomic sites like masticatory muscles and mucosa will not be relieved by extraction or endodontic treatment. The most common site for referred pain was neighboring teeth (80%), and the frequency of pain radiating to opposite dental arch was 24%. The intensity of pain is significantly correlated to its referral nature while the duration and quality of pain have few effects on it.
Abstract – Anat - 06
Twin Heads
Priya K & Priyadharshini P,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
Twin heads are conjoined twins, each of whom has a separate head, but whose bodies are joined. They are highly symmetric, giving the appearance of having just a single body with little variation from normal proportion. In fact, several vital organs are doubled up; each twin has a separate heart, stomach, spine, and spinal cord. Twins are two offspring produced by the same pregnancy. Twins can either be monozygotic ("identical"), meaning that they develop from one zygotethat splits and forms two embryos, or dizygotic ("fraternal"), meaning that they develop from two eggs, each fertilized by separate sperm cells. In contrast, a fetus which develops alone in the womb is called a singleton, and the general term for one offspring of a multiple birth is multiple. Multiple pregnancies are much less likely to carry to full term than single births, with twin pregnancies lasting only 37 weeks (3 weeks less than full term) on average. Women who have a family history of fraternal twins have a higher chance of producing fraternal twins themselves, as there is a genetically linked tendency to hyper-ovulate. There is no known genetic link for identical twinning. [12] Other factors that increase the odds of having fraternal twins include maternal age, fertility drugs and other fertility treatments, nutrition, and prior births. Fraternal or dizygotic (DZ) twins (also referred to as "non-identical twins", "dissimilar twins", "biovular twins", and, in cases of females, sororal twins) usually occur when two fertilized eggs are implanted in the uterus wall at the same time. When two eggs are independently fertilized by two differentsperm cells, fraternal twins result. The two eggs, or ova, form two zygotes, hence the terms dizygotic and biovular. Fraternal twins are, essentially, two ordinary siblings who happen to be born at the same time, since they arise from two separate eggs fertilized by two separate sperm, just like ordinary siblings.Dizygotic twins, like any other siblings, have an extremely small chance of having the same chromosome profile. Even if they happen to have the same chromosome profile, they will always have different genetic material on each chromosome, due to chromosomal crossover during meiosis. Like any other siblings, dizygotic twins may look similar, particularly given that they are the same age. However, dizygotic twins may also look very different from each other. They may be of different sexes or the same sex, just like ordinary siblings. Polar twins (or "polar body twins"), where two sperm fertilize an ovum, one of the two fertilizing a polar body or where an ovum splits into identical copies, one containing a polar body, prior to fertilization, allowing it to be fertilized by two different sperm.
Abstract – Anat - 07
Eagle's Syndrome
Raja Nivetha R & Saraswathi B,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
Eagle syndrome or styloid–carotid artery syndrome is a rare condition where an elongated temporal styloid process (more than 30mm) is in conflict with the adjacent anatomical structures. Two forms of eagle syndrome exist: The classic form and the vascular one. Patients with this syndrome tend to be between 30 and 50 years of age but it has been recorded in teenagers and in patients > 75 years old. It is more common in women with a male: female ratio ~ 1:2. In both the classic and vascular form, the treatment is surgical. A partial styloidectomy is the preferred approach. Repair of a damaged carotid artery is essential in order prevent further neurological complications. Eagle syndrome is characterized by recurrent pain in the oropharynx and face due to an elongated styloid process or calcified stylohyoid ligament. With the stylohyoid ligament and the small horn of the hyoid bone, the styloid process forms the stylohyoid apparatus, which arises embryonically from the Reichert cartilage of the second branchial arch. Eagle defined the length of a normal styloid process at 2.5-3.0 cm.
Abstract - Anat - 08
Ludwig's Angina
Kavya M & Sundahnath Nagaraj,
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
Ludwig's angina, otherwise known as angina ludovici, is a serious, potentially life-threatening cellulitis , or connective tissue infection, of the floor of the mouth, usually occurring in adults with concomitant dental infections and if left untreated, may obstruct the airways, necessitating tracheotomy. Ludwig's angina refers to the feeling of strangling, not the feeling of chest pain, though there may be chest pain in Ludwig's angina if the infection spreads into the retrosternal space. Dental infections account for approximately eighty percent of cases of Ludwig's angina. Mixed infections, due to both aerobes and anaerobes, are of the cellulitis associated with Ludwig's angina. Typically, these include alpha-hemolytic streptococci, staphylococci and bacteroides groups. True Ludwig's Angina is a cellulitic facial infection. The signs are bilateral (meaning both sides) lower facial swelling around the lower jaw and upper neck. This is because the infection has spread to involve the Submandibular, Sublingual and Submental spaces of the face. Localisation of infection to the sublingual space is accompanied by swelling of structures in the floor of the mouth as well as the tongue being pushed upwards and backwards. Spread of infection to the submaxillary spaces is usually accompanied by signs of cellulitis rather than those of an abscess. Submental and submandibular regions are swollen and tender.
Abstract – Anat - 09
Modiolus
Shathriya A & Susmitha E
Saveetha Dental College & Hospitals, Saveetha University, Chennai -600077
In facial anatomy, the modiolus is a chiasma of facial muscles held together by fibrous tissue, located lateral and slightly superior to each angle of the mouth. It is important in moving the mouth, facial and in dentistry. It derives its motor nerve supply from the facial nerve, and its blood supply from labial branches of the facial artery. It is contributed to by the following muscles: orbicularis oris, buccinator, levator anguli oris,depressor anguli oris, zygomaticus major, risorius, platysma, levator labii superioris. A facial expression is one or more motions or positions of the muscles beneath the skin of the face. These movements convey the emotional state of an individual to observers. Facial expressions are a form of nonverbal communication. They are a primary means of conveying social information between humans, but they also occur in most other mammals and some other animal species.Humans can adopt a facial expression voluntarily or involuntarily, and the neural mechanisms responsible for controlling the expression differ in each case. Voluntary facial expressions are often socially conditioned and follow a cortical route in the brain. Conversely, involuntary facial expressions are believed to be innate and follow a subcortical route in the brain.Facial recognition is often an emotional experience for the brain and the amygdala is highly involved in the recognition process.The eyes are often viewed as important features of facial expressions. Aspects such as blinking rate can be used to indicate whether or not a person is nervous or whether or not he or she is lying. Also, eye contact is considered an important aspect of interpersonal communication. However, there are cultural differences regarding the social propriety of maintaining eye contact or not. Beyond the accessory nature of facial expressions in spoken communication between people, they play a significant role in communication with sign language. Many phrases in sign language include facial expressions in the display.There is controversy surrounding the question of whether or not facial expressions are worldwide and universal displays among humans. Supporters of the Universality Hypothesis claim that many facial expressions are innate and have roots in evolutionary ancestors. Opponents of this view question the accuracy of the studies used to test this claim and instead believe that facial expressions are conditioned and that people view and understand facial expressions in large part from the social situations around them.
BIOCHEMISTRY (ORAL PRESENTATIONS)
Abstract - Bio -01
Gene Therapy Celestine Pauline
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Gene therapy is the use of DNA as a drug to treat disease by delivering therapeutic DNA into a patient's cells. The most common form of gene therapy involves using DNA that encodes a functional, therapeutic gene to replace a mutated gene. Other forms involve directly correcting a mutation, or using DNA that encodes a therapeutic protein drug to provide treatment. In gene therapy, DNA that encodes a therapeutic protein is packaged within a "vector", which is used to get the DNA inside cells within the body. Once inside, the DNA becomes expressed by the cell machinery, resulting in the production of therapeutic protein, which in turn treats the patient's disease. Gene therapy may be classified into the two:In somatic gene therapy, the therapeutic genes are transferred into the somatic cells (non sex-cells), or body, of a patient. Several somatic cell gene transfer experiments are currently in clinical trials with varied success. In germ line gene therapy, germ cells are modified by the introduction of functional genes, which are integrated into their genomes. Germ cells will combine to form a zygote which will divide to produce all the other cells in an organism and therefore if a germ cell is genetically modified then all the cells in the organism will contain the modified gene. This would allow the therapy to be heritable and passed on to later generations. Gene therapy utilizes the delivery of DNA into cells, which can be accomplished by a number of methods. The two major classes of methods are those that use recombinant viruses and those that use naked DNA or DNA complexes. A number of viruses have been used for human gene therapy, including retrovirus, adenovirus, lentivirus, herpes simplex virus, vaccinia, pox virus. Gene therapy can be used to fix defective genes or to replace missing genes. Many diseases are the result of just one gene malfunctioning; sickle cell anemia, cystic fibrosis, SCID, are all caused by one defective gene. To correct the problem, gene therapy is used to deliver genes that function correctly. Other diseases are the result of a missing gene; juvenile Paget's disease - an extremely rare bone metabolism disorder - is one example. In those cases, gene therapy can be used to deliver genes to replace the missing one. Advances in the understanding of molecular biology of human disease and the development of efficient gene transfer techniques have resulted in practical approaches to human gene therapy, with new techniques being developed at an increasing rate. The first trials have now begun in humans and initial results are positive.
Proceedings of Seventh National B.D.S.Students seminar on Basic Medical Sciences
Abstract - Bio -02
Epigenetics Deepthi
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Epigenetics is the study of heritable changes in gene activity that are not caused by changes in the DNA sequence; it also can be used to describe the study of stable, long-term alterations in the transcriptional potential of a cell that are not necessarily heritable. The term also refers to the changes themselves: functionally relevant changes to the genome that do not involve a change in the nucleotide sequence. Examples of mechanisms that produce such changes are DNA methylation and histone modification, each of which alters how genes are expressed without altering the underlying DNA sequence. Gene expression can be controlled through the action of repressor proteins that attach to silencer regions of the DNA. These epigenetic changes may last through cell divisions for the duration of the cell's life, and may also last for multiple generations even though they do not involve changes in the underlying DNA sequence of the organism; instead, non-genetic factors cause the organism's genes to behave differently. Epigenetic phenomena in animals and plants are mediated by DNA methylation and stable chromatin modifications. There has been considerable interest in whether environmental factors modulate the establishment and maintenance of epigenetic modifications, and could thereby influence gene expression and phenotype. One example of an epigenetic change in eukaryotic biology is the process of cellular differentiation. During morphogenesis, totipotent stem cells become the various pluripotent cell lines of the embryo, which in turn become fully differentiated cells. In other words, as a single fertilized egg cell – the zygote – continues to divide, the resulting daughter cells change into all the different cell types in an organism, including neurons, muscle cells, epithelium, endothelium of blood vessels, etc., by activating some genes while inhibiting the expression of others. In 2011, it was demonstrated that the methylation of mRNA plays a critical role in human energy homeostasis. Specific epigenetic processes include paramutation, bookmarking, imprinting, gene silencing, X chromosome inactivation, position effect, reprogramming, transvection, maternal effects, the progress of carcinogenesis, many effects of teratogens, regulation of histone modifications etc,. Today, epigenetics is a very broad field of study, covering many aspects of biology, including morphogenesis, cell heredity, transgenerational epigenetic inheritance, and the evo-devo approach to evolutionitations affecting parthenogenesis and cloning. Great potential lies in the development of 'epigenetic therapies'. Several inhibitors of enzymes controlling epigenetic modifications, specifically DNA methyltransferases and histone deacetylases, have shown promising anti-tumorigenic effects for some malignancies.
Abstract - Bio -03
Cancer Immunotherapy
Rakhi Menon
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Cancer immunotherapy is the use of the immune system to reject cancer. The main premise is stimulating the patient's immune system to attack the malignant tumour cells that are responsible for the disease. This can be either through immunization of the patient, in which case the patient's own immune system is trained to recognize tumour cells as targets to be destroyed, or through the administration of therapeutic antibodies as drugs, in which case the patient's immune system is recruited to destroy tumour cells by the therapeutic antibodies. Cell based immunotherapy is another major entity of cancer immunotherapy. Immunotherapy is a new class of cancer treatment that works to harness the innate powers of the immune system to fight cancer. Because of the immune system's unique properties, these therapies may hold greater potential than current treatment approaches to fight cancer more powerfully, to offer longer-term protection against the disease, to come with fewer side effects, and to benefit more patients with more cancer types. Great progress has been made in the field of tumor immunology in the past decade, but optimism about the clinical application of currently available cancer vaccine approaches is based more on surrogate endpoints than on clinical tumor regression. In our cancer vaccine trials of 440 patients, the objective response rate was low (2.6%), and comparable to the results obtained by others. We consider here results in cancer vaccine trials and highlight alternate strategies that mediate cancer regression in preclinical and clinical models. Cancer immunotherapy attempts to harness the equisite power and specificity of the immune system for the treatment of malignancy. Although cancer cells are less immunogenic than pathogens, the immune system is clearly capable of recognising and eliminating tumour cells. Antibodies are important therapeutic agents for cancer. Recently, it has become clear that antibodies possess several clinically relevant mechanisms of action. Many clinically useful antibodies can manipulate tumour-related signalling. In addition, antibodies exhibit various immunomodulatory properties and, by directly activating or inhibiting molecules of the immune system, antibodies can promote the induction of antitumor immune responses. These immunomodulatory properties can form the basis for new cancer treatment strategies.
Abstract - Bio -04
DNA Based Information Technologies Keerthana
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Double-stranded RNA-mediated interference has recently emerged as a powerful reverse genetic tool to silence gene expression in multiple organisms including plants, Caenorhabditis elegans and Drosophila. The discovery that synthetic double-stranded, 21-nt small interfering RNA triggers gene-specific silencing in mammalian cells has further expanded the utility of RNAi into mammalian systems. Here we report a technology that allows synthesis of small interfering RNAs from DNA templates in vivo to efficiently inhibit endogenous gene expression. Significantly, we were able to use this approach to demonstrate, in multiple cell lines, robust inhibition of several endogenous genes of diverse functions. These findings highlight the general utility of this DNA vector-based RNAi technology in suppressing gene expression in mammalian cells. Cloning-When joining two or more DNA fragments, a researcher can adjust the sequence at the junction in a variety of subtle ways. DNA Cloning-The plasmid cloning vector pBR322 is cleaved with the restriction endonuclease PstI. An isolated DNA fragment from a eukaryotic genome is added to the prepared vector and ligated. The mixture of ligated DNAs is then used to transform bacteria, and plasmid-containing bacteria are selected by growth in the presence of tetracycline. Identifying the Gene for a Protein with a Known Amino Acid Sequence-To translate the genetic code, design a DNA probe that would allow you to identify the gene for a protein with the following amino-terminal amino acid sequence. Designing a Diagnostic Test for a Genetic Disease-Huntington's disease (HD) is an inherited neurodegenerative disorder, characterized by the gradual, irreversible impairment of psychological, motor, and cognitive functions. Glowing Plants-When grown in ordinary garden soil and watered normally, a plant engineered to express green fluorescent protein will glow in the dark, whereas a plant engineered to express firefly luciferase will not. Mapping a Chromosome Segment-A group of overlapping clones, designated A through F, is isolated from one region of a chromosome. Each of the clones is separately cleaved by a restriction enzyme and the pieces resolved by agarose gel electrophoresis. There are nine different restriction fragments in this chromosomal region, with a subset appearing in each clone. Using this information, deduce the order of the restriction fragments in the chromosome. Cloning in Plants-The strategy outlined employs Agro bacterium cells that contain two separate plasmids. Cloning in Mammals-The retroviral vectors described make possible the efficient integration of foreign DNA into a mammalian genome.
Abstract - Bio -05
Stem Cells Snehaja
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Stem cells are undifferentiated biological cells that can differentiate into specialized cells and have the remarkable potential to develop into many different cell types in the body. They express three general properties; capability of dividing and renewing themselves for long periods; unspecialized and hence can give rise to specialized cell types. The different kinds of stem cells are embryonic stem cells, adult stem cells and induced pluripotent stem cells. Embryonic stem cells are isolated from the inner cell mass of blastocysts and eventually, these undifferentiated cells can be stimulated to create specialized cells. In adult organisms, stem cells and progenitor cells act as a repair system for the body, replenishing adult tissues. There are three accessible sources of autologous adult stem cells in humans: Bone marrow, Adipose tissue and Blood. Stem cells can also be taken from umbilical cord blood just after birth. Of all stem cell types, autologous harvesting involves the least risk. Stem cells may be pluripotent or multipotent. Pluripotent stem cells have great therapeutic potential and can face formidable technical challenges and so offer the possibility of a renewable source of replacement cells and tissues to treat a myriad of diseases, conditions, and disabilities including Parkinson's disease, amyotrophic lateral sclerosis, spinal cord injury, burns, heart disease, diabetes, and arthritis. Stem cells can now be artificially grown and transformed (differentiated) into specialized cell types with characteristics consistent with cells of various tissues such as muscles or nerves. Embryonic cell lines and autologous embryonic stem cells generated through therapeutic cloning have also been proposed as promising candidates for future therapies. Medical researchers believe that stem cell therapy has the potential to dramatically change the treatment of human disease. A number of adult stem cell therapies already exist, particularly bone marrow transplants that are used to treat leukaemia. In the future, medical researchers anticipate being able to use technologies derived from stem cell research to treat a wider variety of diseases including cancer, Parkinson's disease, spinal cord injuries, Amyotrophic lateral sclerosis, multiple sclerosis, and muscle damage, amongst a number of other impairments and conditions.
Abstract - Bio -06
Applications of Biotechnology Rohini
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Biotechnology is the use of living systems and organisms to develop or make useful products, or "any technological application that uses biological systems, living organisms or derivatives thereof, to make or modify products or processes for specific use". As such, (traditional) biotechnology has been practiced since the beginning of records history for baking bread, brewing alcoholic beverages, and breed food crops or domestic animals. But recent developments in molecular biology have given biotechnology new meaning, new prominence, and new potential. In the late 20th and early 21st century, biotechnology has expanded to include new and diverse sciences such as genomics, recombinant gene technologies, applied immunology, and development of pharmaceutical therapies and diagnostic tests. Biotechnology has applications in four major industrial areas, including health care (medical), crop production and agriculture, non food (industrial) uses of crops and other products (e.g. biodegradable plastics, vegetable oil, bio fuels), and environmental uses. Medical biotechnology is used in diagnostics, therapeutics, vaccines and forensics. Blue biotechnology is a term that has been used to describe the marine and aquatic applications of biotechnology. Biotechnology has offered opportunities to produce more nutritious and better tasting foods, higher crop yields and plants that are naturally protected from disease and insects as it allows for the transfer of only one or a few desirable genes, thereby permitting scientists to develop crops with specific beneficial traits and reduce undesirable traits. Biotechnology is being applied to medical processes like the designing of organisms to produce antibiotics, and the engineering of genetic cures through genetic manipulation. Biotechnology can be applied to industrial processes for the designing of an organism to produce a useful chemical. Environmental biotechnology is used in cleaning through bioremediation, preventing environmental problems, monitoring the environment. Animal biotechnology is used in artificial insemination, gene transfer. It is also a technique for correcting defective genes that are responsible for disease development. Biotechnology with its various applications still offers a great scope in the field of research even in the future.
Abstract - Bio -07
Genetic Engineering Sarah Satyawathi
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Genetic engineering is the process of manually adding new DNA to an organism. Genetic engineering, also called transformation, works by physically removing a gene from one organism and inserting it into another, giving it the ability to express the trait encoded by that gene. This involves using recombinant nucleic acid (DNA or RNA) techniques to form new combinations of heritable genetic material followed by the incorporation of that material either indirectly through a vector system or directly through micro-injection, macro-injection and microencapsulation techniques. Cloning and stem cell research, although not considered genetic engineering, are closely related and genetic engineering can be used within them. Synthetic biology is an emerging discipline that takes genetic engineering a step further by introducing artificially synthesized genetic material from raw materials into an organism. If genetic material from another species is added to the host, the resulting organism is called transgenic. If genetic material from the same species or a species that can naturally breed with the host is used the resulting organism is called cisgenic. Genetic engineering has been applied in numerous fields including research, agriculture, industrial biotechnology and medicine. Plants, animals or micro organisms that have changed through genetic engineering are termed genetically modified organisms or GMOs. Plants have been modified for insect protection, herbicide resistance, virus resistance, enhanced nutrition, tolerance to environmental pressures and the production of edible vaccines. Most commercialised GMO's are insect resistant and or herbicide tolerant crop plants. Genetically modified animals have been used for research, model animals and the production of agricultural or pharmaceutical products. They include animals with genes knocked out, increased susceptibility to disease, hormones for extra growth and the ability to express proteins in their milk. Genetic engineering is rapidly replacing traditional plant breeding program and has become the mainstay of agricultural crop improvement. In medicine genetic engineering has been used to mass-produce insulin, human growth hormones, follistim (for treating infertility), human albumin, monoclonal antibodies, antihemophilic factors, vaccines and many other drugs. Genetic engineering is an important tool for natural scientists. Genes and other genetic information from a wide range of organisms are transformed into bacteria for storage and modification, creating genetically modified bacteria in the process. In materials science, a genetically modified virus has been used in an academic lab as a scaffold for assembling a more environmentally friendly lithium-ion battery. Bacteria have been engineered to function as sensors by expressing a fluorescent protein under certain environmental conditions. Genetically modified foods have made a big splash in the news lately. Before release into commerce, genetic engineered organisms are first assessed for possible risks, including risks to the environment.
Abstract - Bio -08
Nano Medicine in Dentistry Sahana Pushpa
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Nanotechnology is defined as the design and fabrication of materials, devices and systems with control at nanometer dimensions. Dentistry is frequently facing revolutions in order to provide a most reliable and comfortable therapeutic options for the patients. Application of nanotechnology in dentistry holds promise for the maintenance of comprehensive dental care by employing nanomaterials including tissue engineering and ultimately nanorobots. This paper highlights the role of nanomaterials and their potential to be used in the diagnosis and management of oral diseases. Numerous theoretical predictions have been made based on the potential applications of nanotechnology in dentistry, with varying levels of optimism. Advances in the medical implementations of nanotechnology have resulted in the formation of a new field called nanomedicine. Similar to nanomedicine, the development of nanodentistry will allow nearly perfect oral health by the use of nanomaterials and biotechnologies, including tissue engineering and nanorobots. Titanium implants treated with a nanostructured calcium surface coat were inserted into rabbit tibias, and their effect on osteogenesis was investigated; the nanostructured calcium coat increased the responsiveness of the bone around the implant. Nanorobots (dentifrobots) left by mouthwash or toothpaste on the occlusal surfaces of teeth can clean organic residues by moving throughout the supragingival and subgingival surfaces, continuously preventing the accumulation of calculus. These nanorobots, which can move as fast as 1 to 10 micron/second, are safely deactivated when they are swallowed. Nanoparticles allow the production of composites with a smooth surface after the polishing process and confer superior esthetic features to the material. Composite resins containing such particles are easy to shape and have a high degree of strength and resistance to abrasion. Therefore, the area of use of resins containing nanoparticles is wider than that of composites containing hybrid and microfill fillers. rtificial teeth made of nanocomposite have also been produced. In these artificial teeth, inorganic fillers in nano-dimensions are diffused homogenously without any accumulation in the matrix. Therefore, the smoothness of the surface can be preserved even when the teeth are eroded. Researchers have attempted to generate an effective and satisfactory drug delivery system for the treatment of periodontal diseases by producing nanoparticles impregnated with triclosan. Researchers have attempted to generate an effective and satisfactory drug delivery system for the treatment of periodontal diseases by producing nanoparticles impregnated with triclosan. Advances in digital dental imaging techniques are also expected with nanotechnology. Selective cell manipulation and surgery performed with tools sized at the molecular level will provide great benefits, particularly in tumor tissue surgery. Although the effect of nanotechnology on dentistry is limited to the use of currently available materials, rapidly progressing investigations will ensure that the future holds in store an era of dentistry in which every procedure will be performed using equipments and devices based on nanotechnology.
Abstract - Bio -09
Test Tube Teeth Suhashini Ramanathan
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
More complicated than they look, teeth are actually tiny organs. We take them for granted until they are gone or require major repairs, and then the options are grim: do without lost teeth or replace them with inert prosthetic versions. An estimated 85 percent of adults have had some form of dental treatment and Seven percent have lost one or more teeth by age 17. After age 50, an average of 12 teeth stands to have been lost. Teeth develop from a series of reciprocal interactions that take place between epithelium and mesenchyme during development of the mouth that begin early in mammalian embryogenesis. The molecular control of key processes in tooth development such as initiation, morphogenesis and cytodifferentiation are being increasingly better understood, to the point where this information can be used as the basis for approaches to produce biological replacement teeth (BioTeeth). This review outlines the current approaches, ideas and progress towards the production of BioTeeth that could form an alternative method for replacing lost or damaged teeth. Best of all, bioengineering teeth from an individual's own tissues avoids immune rejection and allows for a more realistic replacement, since tooth size, shape, and color are genetically determined. Scientists have observed how nature engineers a tooth and have combined this understanding with advances in stem cell biology and tissue engineering technology to get closer to and understand biological replacement teeth. The construction of a tooth takes about 14 months to complete in a developing human. Two different types of embryonic tissue combine to produce a tooth, and an ongoing molecular interaction between them leads the process. Scientists are connecting stem cells to create the tooth buds that form in the early embryo. The idea is to implant these "primordial teeth" (that are in their early stage) into human jaws and let the cells take it from there. By using a patient's own stem cells avoids the problems that often happen in ordinary transplants. Alternative methods include building teeth from existing dental cells or growing them from progenitor tissues. Both approaches have already produced structurally correct teeth. Unfortunately, the challenges of growing roots and identifying ideal raw materials remain. Even so, scientific progress can be fast, and teeth may become the first successfully engineered organs.
Abstract - Bio - 10
Progeria Swarna Meenakshi
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Progeria is a progressive genetic disorder that causes children to age rapidly, beginning in their first two years of life. Children with progeria, also known as Hutchinson-Gilford progeria syndrome (HGPS), generally appear normal at birth. By 12 months, signs and symptoms, such as slow growth and hair loss, begin to appear. The average life expectancy for a child with progeria is about 13, but some with the disease die younger and some live 20 years or longer. Heart problems or strokes are the eventual cause of death in most children with progeria. There's no cure for this condition, but ongoing research shows some promise for treatment. The disorder has a very low incidence rate, occurring in an estimated 1 per 8 million live births. Those born with progeria typically live to their mid teens to early twenties. It is a genetic condition that occurs as a new mutation, and is rarely inherited, as patients usually do not live to reproduce. Diagnosis is suspected according to signs and symptoms, such as skin changes, abnormal growth, and loss of hair. A genetic test for LMNA mutations can confirm the diagnosis of progeria. Although the term progeria applies strictly speaking to all diseases characterized by premature aging symptoms, and is often used as such, it is often applied specifically in reference to Hutchinson– Gilford progeria syndrome (HGPS). Scientists are particularly interested in progeria because it might reveal clues about the normal process of aging.
Abstract - Bio - 11
Antioxidants In Health And Disease Saraswathy Meena
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
An antioxidant is a molecule that inhibits the oxidation , a chemical reaction that can produce free radicals. In turn, these radicals can start chain reactions causing damage or death to the cell. Free radicals can cause "oxidative stress," a process that can trigger cell damage. Free radicals are also produced from exposure to cigarette smoke, excess exposure to the sun, drinking alcohol, from exposure to large amounts of heavy metals and during any inflammatory response. Excess free radical production originating from endogenous or exogenous sources might play a role in many diseases. Antioxidants prevent free radical induced tissue damage by preventing the formation of radicals, scavenging them, or by promoting their decomposition. Multiple types of natural antioxidants, such as glutathione, vitamin C, vitamin A, and vitamin E as well as enzymes such as catalase, superoxide dismutase and various peroxidases exist. Insufficient levels of antioxidants, or inhibition of the antioxidant enzymes, cause oxidative stress and may damage or kill cells. The recent growth in knowledge of free radicals and reactive oxygen species (ROS) in biology is producing a medical revolution that promises a new age of health. The body produces a range of its own protective antioxidants. Some foods are also rich in antioxidants and these may boost the body's own supply. Plants produce hundreds of antioxidants for their own protection. Some of which may also be useful to us are present in vegetables, fruits, herbs and spices, nuts and whole grains. Teas, coffee, extra virgin olive oil, red wine and dark bitter chocolate are also rich in antioxidants. Antioxidant action is also part of the role of vitamins C, E, folate and beta carotene and also the minerals selenium, manganese, copper and zinc. Antioxidants are widely used in dietary supplements and have been investigated for the prevention of diseases such as cancer, coronary heart disease and even altitude sickness. Endogenous antioxidant defense (H2O2-removing enzymes, metal binding proteins) are inadequate to prevent damage completely, so diet derived antioxidants are important in maintaining health. Antioxidants are used as food additives to help guard against food deterioration. Antioxidants are frequently added to industrial products. A common use is as stabilizers in fuels and lubricants to prevent oxidation, and in gasolines to prevent the polymerization that leads to the formation of engine-fouling residues. Research into antioxidants is in its infancy. Epidemiological studies show that a diet rich in foods with high levels of antioxidants is associated with longevity and good health. Evidence from laboratory studies indicates that particular antioxidants may have specific roles in disease prevention. However, most clinical trials using antioxidant vitamins have not shown expected results.
Abstract - Bio - 12
SOD and Effects of Bone Resorption In Implant Patients
Shawna
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Osteolysis, that is, progressive periprosthetic bone loss, is responsible for approximately 70% of aseptic loosening and implant failure. Usually, it is due to a granulomatous reaction wearinduced, leading to macrophage and osteoclast-mediated bone resorption. At present, there is no established prophylaxis or treatment for this process. For this purpose, as a preliminary investigation, we aimed to study the effects in two directions, inhibition of proinflammatory signals, and bone remodelling activity, of two newly synthesized anthraquinone molecules [N,N′-Diethylamino-2,6-anthraquinone-disulfonamide (GR375) and N,N′-(p-ethoxyphenyl)-2,6anthraquinone-disulfon amide (GR377)]. Among the pro-inflammatory signals, the ability of the two anthraquinones to interfere with the production of superoxide anion (O2 − ), which was assumed as a marker of reactive oxygen species (ROS), was evaluated in an in vitro cell model by testing phagocytes, such as human neutrophils, challenged by the chemo tactic agent Nformylmethionyl-leucyl-phenylalanine (FMLP). Both compounds inhibited O2 − production, in a dose-dependent way, without exerting scavenger effects. An in vivo model was applied to investigate their effect on bone remodelling. Fifty-four female Wistar rats were divided into eight groups of six animals each, and a 4-week treatment was applied in two phases. A 25 mg/kg/os dose in the first phase and 12.5–6.25mg/kg/os doses in the second one were employed. The tibia trabecular bone at the secondary spongiosa level was analyzed, and trabecular bone volume (%TBV), trabecular thickness (TbTh), and apatite lattice parameters were measured. At the highest doses of GR375 and GR377 the %TBV and the TbTh increased by 33.2, 34.6%, and 3.6 and 9.1%, respectively, whereas crystallographic parameters were not significantly different from the untreated group. Our results suggest a simultaneous anti-inflammatory and antiosteoclastic activity of both drugs that encourages to perform further research. If it will be confirmed, they could be proposed in a variety of bone diseases, in particular, when acute inflammation is associated to osteolytic processes and, eventually, in the prevention and treatment of periprosthetic osteolysis.
Abstract - Bio - 13
Collagen Srinivasan
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Collagen is the most abundant protein in mammals, accounting for around 30% of the protein content of the human body. It is often considered to be the "glue that holds the body together". Collagen is found in fibrous tissues such as skin, ligaments and tendons, as well as in the bones, blood vessels, the cornea of the eye, and in the gut. Collagen is vital for strengthening blood vessels and giving skin its elasticity and strength. The fibroblast is the most common cell which creates collagen. In muscle tissue, it serves as a major component of the endomysium. Collagen is a part of the connective tissue that in the skin helps in firmness, suppleness and constant renewal of skin cells. Collagens are the most abundant tissues in nature and due to several properties they are considered for various applications in biomedical sciences. The degradation of collagen causes wrinkles and other skin issues. As a result, collagen is one of the most popular supplements among the elderly - because of its skin healing properties. Collagen is used widely in cosmetic surgery and as wound healing aids in burn patients. These are used widely for reconstruction of bone and a wide variety of dental, orthopedic and surgical purposes. Various studies indicate that chicken collagen supplements can be effective in the treatment of pain, swelling as well as stiffness around joints. This type of collagen is mostly used by people suffering from rheumatoid arthritis. Studies also indicate that collagen supplements used with protein and amino acids supplements help in improving mobility and flexibility in athletes. Gelatin, which is used in food and industry, is collagen that has been irreversibly hydrolyzed. For instance, it is used in cosmetic surgery and burns surgery, for cardiac applications and also for bone grafts. It is widely used in the form of collagen casings for sausages, which are also used in the manufacture of musical strings. One thousand mutations have been identified in twelve out of more than twenty types of collagen. These mutations can lead to various diseases at the tissue level like Osteogenesis imperfecta, Chondrodysplasias and Ehlers-Danlos Syndrome .some types can be lethal that lead to the rupture of arteries, each syndrome is caused by a different mutation.
Abstract - Bio -14
Inborn Errors of Metabolism Sharmila
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Inborn errors of metabolism comprise a large class of genetic diseases involving disorders of metabolism. The majority are due to defects of single genes that code for enzymes that facilitate conversion of various substances (substrates) into others (products). In most of the disorders, problems arise due to accumulation of substances which are toxic or interfere with normal function, or to the effects of reduced ability to synthesize essential compounds. Inborn errors of metabolism are now often referred to as congenital metabolic diseases or inherited metabolic diseases. Traditionally the inherited metabolic diseases were categorized as disorders of carbohydrate metabolism, amino acid metabolism, organic acid metabolism, or lysosomal storage diseases. In recent decades, hundreds of new inherited disorders of metabolism have been discovered and the categories have proliferated. Some of the major classes of congenital metabolic diseases include Disorders of carbohydrate metabolism (glycogen storage disease); Disorders of amino acid metabolism ( phenylketonuria, maple syrup urine disease);Urea Cycle Disorder (Carbamoyl phosphate synthetase I deficiency);Disorders of organic acid metabolism ( alcaptonuria);Disorders of fatty acid oxidation and mitochondrial metabolism( Medium-chain acyl-coenzyme A dehydrogenase deficiency) ;Disorders of porphyrin metabolism( acute intermittent porphyria);Disorders of purine or pyrimidine metabolism ( Lesch-Nyhan syndrome);Disorders of steroid metabolism ( lipoid congenital adrenal hyperplasia, congenital adrenal hyperplasia);Lysosomal storage disorders (Gaucher's disease and Niemann Pick disease). The overall incidence of the inborn errors of metabolism was estimated to be 70 per 100,000 live births or 1 in 1,400 births. the enormous number of these diseases and wide range of systems affected, nearly every "presenting complaint" to a doctor may have a congenital metabolic disease as a possible cause, especially in childhood. Dozens of congenital metabolic diseases are now detectable by newborn screening tests, especially the expanded testing using mass spectrometry. This is an increasingly common way for the diagnosis to be made and sometimes results in earlier treatment and a better outcome. There is a revolutionary GC/MS based technology with an integrated analytics system, which has now made it possible to test a newborn for over 100 genetic metabolic disorders. In the past twenty years, enzyme replacement, gene therapy, and organ transplantation have become available and beneficial for many previously untreatable disorders. Enzyme replacement, Gene therapy, Bone marrow or organ transplantation and Prenatal diagnosis and avoidance of pregnancy or abortion of an affected fetus are some of the therapys that are under use.
Abstract - Bio - 15
Relation Between Food and Cancer
Saftar Rasmi
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
The relationship between diet and cancer has advanced in recent years, but much remains to be understood with respect to diet and dietary components in cancer risk and prevention. Scientists have estimated that unhealthy diets cause nearly one in ten cancer cases. Very few specific foods or drinks have been convincingly shown to increase or reduce the risk of cancer. This is because a person's diet consists of many different foods, nutrients and chemicals that affect their risk of cancer. It is very difficult to design studies that can accurately look at the effect of a single food item. Evidence from clinical trial outcomes, epidemiological observations, preclinical models and cell culture systems have all provided clues about the biology of cancer prevention. Sequencing of the human genome has opened the door to an exciting new phase for nutritional science. There are also many advances in our understanding of the control of gene expression in eukaryotic cells that might impact cancer development, including mechanisms regulating chromatin structure and dynamics, epigenetic processes (DNA methylation, histone posttranslational modification), transcription factors, and noncoding RNA and evidence suggests that environmental factors such as diet influence these processes. Unravelling the effects of bioactive food components on genes and their encoded proteins as well as identifying genetic influences on dietary factors is essential for identifying those who will and will not benefit from intervention strategies for cancer prevention. Additional research needs concerning diet and cancer prevention include: identification and validation of cancer biomarkers and markers of dietary exposure; investigation of the exposure/temporal relationship between food component intakes and cancer prevention; examination of possible tissue specificity in response to dietary factors; and examination of interactions among bioactive food components as determinants of response. Other emerging areas that require greater attention include understanding the link between obesity, diet and cancer, the interaction between diet and the microbiome, as well as how bioactive food components modulate inflammatory processes. Importantly, for the future of nutrigenomics, the "omics" (e.g., genomics, epigenomics, transcriptomics, proteomics, metabolomics) approach may provide useful biomarkers of cancer prevention, early disease, or nutritional status, as well as identify potential molecular targets in cancer processes that are modulated by dietary constituents and/or dietary patterns. A recent study found more than one in ten bowel cancers linked to a low fibre diet. Bacteria in the bowel interact with fibre to produce several chemicals including butyrate, which changes the conditions in the bowel, so that tumours are less likely to develop. Lab experiments have shown that butyrate can also stop the growth of cancer cells and cause them to die off. Studies has found that eating lots of fruit and vegetables could reduce the risk of mouth, oesophageal and lung cancers, as well as some types of stomach cancer.
Abstract - Bio - 16
Oral Manifestations in AIDS Shruthi Pillai
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Numerous oral manifestations are common in HIV-infected individuals that include oral lesions and novel presentations of previously known opportunistic diseases. These oral manifestations are frequently misdiagnosed or inadequately treated. Common or notable HIV related oral manifestations include Xerostomia, Candidiasis, Oral Hairy Leukoplakia, Periodontal disease such as Periodontitis, Kaposi's Sarcoma, Human Papilloma Virus associated warts and ulcerative conditions including Herpes simplex virus lesions, recurrent aphthous ulcers and neutropenic ulcers. Caries burden is consistently higher in HIV-infected children and increases with the progression of the disease. Clinicians must treat the numerous oral manifestations of HIV; however, treatment and prevention of dental caries will be the dentist's primary function. Early treatment of HIV infection is necessary to reduce the prevalence of the oral manifestations associated with the disease and its progression to AIDS. To provide safe treatment for HIVinfected children, dentists must know the patient's CD4+ T-lymphocyte count and percentage, when to use antibiotic prophylaxis, and when to order additional laboratory tests, including liver function tests, INR, and CBC with differential. While planning treatment for any HIV-infected patient, a thorough review of the patient's medical history is the first step. The dentist must confirm the patient's current medications, the sugar content of each, and their potential for drugdrug interactions. Recommend sugar-free medications if possible. Check to see if the patient has any co-infections (including hepatitis, HSV, and HPV). The dentist and physician must coordinate the patient's dental care. A medical consult requesting current laboratory results and the patient's clinical and immunological categories is essential before the start of dental treatment; in addition, new laboratory tests should be requested every three months to monitor the patient's immune status, liver function, and potential for bleeding. Importantly, sugar-free HIV drugs should be prescribed when possible to reduce the patient's caries risk. Oral conditions seen in association with HIV are still prevalent and are clinically significant. Hence this article summarises a presentation on the oral manifestations of HIV in particular and the treatment plans to be followed. However Prevention is key to maintaining oral health in this population.
BIOCHEMISTRY (POSTERS PRESENTATIONS)
Abstract - Bio -01
Regenerative Medicine Agisha and Nikhitha
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Regenerative medicine is the "process of replacing or regenerating human cells, tissues or organs to restore or establish normal function". This field helps in regenerating damaged tissues and organs in the body by replacing damaged tissue and or by stimulating the body's own repair mechanisms to heal previously irreparable tissues or organs. Regenerative medicine also helps in the possibility of growing tissues and organs in the laboratory and safely implants them when the body cannot heal itself. This can potentially solve the problem of the shortage of organs available for donation, and the problem of organ transplant rejection if the organ's cells are derived from the patient's own tissue or cells. It is the process of creating living, functional tissues to repair or replace tissue or organs that are lost due to age, disease, damage or congenital defects. Regenerative medicine refers to a group of biomedical approaches to clinical therapies that may involve the use of stem cells. Examples include the injection of stem cells or progenitor cells (cell therapies); the induction of regeneration by biologically active molecules administered alone or as a secretion by infused cells (immunomodulation therapy); and transplantation of in vitro grown organs and tissues (Tissue engineering). A recent form of regenerative medicine that is made it into clinical practice is the use of heparan sulfate analogues on (chronic) wound healing. Heparan sulfate analogues replace degraded heparan sulfate at the wound site. They assist the damaged tissue to heal itself by repositioning growth factors and cytokines back into the damaged extracellular matrix. For example, in abdominal wall reconstruction (like inguinal hernia repair), biologic meshes are being used with some success.
Abstract - Bio - 02
Mobile Usage and Effects Lavanya and Thanya
Saveetha Dental College and Hospitals, Saveetha University,Chennai-600077
As a result of the enormous increase in mobile phone usage throughout the world the effect of mobile phone radiation on human health has become the subject of recent interest and study. As of November 2011, there were more than 6 billion subscriptions worldwide. Mobile phones use electromagnetic radiation in the microwave range. Other digital wireless systems, such as data communication networks, produce similar radiation. In 2011, International Agency for Research on Cancer (IARC) classified mobile phone radiation as Group-2B - possibly carcinogenic. That means that there "could be some risk" of carcinogenicity, so additional research into the long-term, heavy use of mobile phones needs to be conducted. The world Health Organization (WHO) added that "to date, no adverse health effects have been established as being caused by mobile phone use." Some national radiation advisory authorities have recommended measures to minimize exposure to their citizens as a precautionary approach. Cell phones emit radiofrequency energy, a form of non-ionizing electromagnetic radiation, which can be absorbed by tissues closest to where the phone is held. The amount of radiofrequency energy a cell phone user is exposed to depends on the technology of the phone, the distance between the phone's antenna and the user, the extent and type of use, and the user's distance from cell phone towers. Studies thus far have not shown a consistent link between cell phone use and cancers of the brain, nerves, or other tissues of the head or neck. More research is needed because cell phone technology and how people use cell phones have been changing rapidly. The number of cell phone users has increased rapidly. Globally, the number of cell phone subscriptions is estimated by the International Telecommunications Union to be 5 billion. Over time, the number of cell phone calls per day, the length of each call, and the amount of time people use cell phones has increased. Cell phone technology has also undergone substantial changes.
Abstract - Bio -03
DNA Renuka and Bavanasri
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Deoxyribonucleic acid (DNA) is a molecule that encodes the genetic instructions used in the development and functioning of all known living organisms and many viruses. Most DNA molecules are double-stranded helices, consisting of two long biopolymers made of simpler units called nucleotides—each nucleotide is composed of a nucleobases (guanine, adenine, thymine, and cytosine), recorded using the letters G, A, T, and C, as well as a backbone made of alternating sugars (deoxyribose) and phosphate groups (related to phosphoric acid. DNA is wellsuited for biological information storage as it's backbone is resistant to cleavage, and both strands of the double-stranded structure store the same biological information. A significant portion of DNA (more than 98% for humans) is non-coding and the two strands of DNA run in opposite directions to each other and are therefore anti-parallel. This refers to the direction the 3rd and 5th carbon on the sugar molecule is facing. Attached to each sugar is one of four types of molecules called nucleobases. It is the sequence of these four nucleobases along the backbone that encodes biological information. Under the genetic code, RNA strands are translated to specify the sequence of amino acids within proteins. These RNA strands are initially created using DNA strands as a template in a process called transcription. Within cells, DNA is organized into long structures called chromosomes. During cell division these chromosomes are duplicated in the process of DNA replication, providing each cell its own complete set of chromosomes. Eukaryotic organisms (animals, plants, fungi, and protists) store most of their DNA inside the cell nucleus and some of their DNA in organelles, such as mitochondria or chloroplasts. In contrast, prokaryotes (bacteria and archaea) store their DNA only in the cytoplasm. Within the chromosomes, chromatin proteins such as histones compact and organize DNA. These compact structures guide the interactions between DNA and other proteins, helping control which parts of the DNA are transcribed. Methods have been developed to purify DNA from organisms; modern biology and biochemistry make intensive use of these techniques in recombinant DNA technology. Forensic scientists can use DNA in blood, semen, skin, saliva or hair found at a crime scene to identify a matching DNA of an individual, such as a perpetrator. DNA nanotechnology uses the unique molecular recognition properties of DNA and other nucleic acids to create self-assembling branched DNA complexes with useful properties. Scientists use DNA as a molecular tool to explore physical laws and theories of life. The unique material properties of DNA have made it an attractive molecule for material scientists and engineers interested in micro- and nano-fabrication. Among notable advances in this field are DNA origami and DNA-based hybrid materials.
Abstract - Bio -04
Scurvy Karthavya and Karpaga Preethitha
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Scurvy is a disease resulting from a deficiency of vitamin C, which is required for the synthesis of collagen in humans. The chemical name for vitamin C, ascorbic acid, is derived from the Latin name of scurvy, scorbutus which also provides the adjective scorbutic Humans cannot synthesize vitamin C, which is necessary for the production of collagen and iron absorption. Moreover, we have to obtain it from external sources, i.e. from fruits and vegetables, or some foods which are fortified with vitamin C in order to prevent the vitamin C deficiency known as scurvy. Though scurvy is a very rare disease, it still occurs in some patients - usually elderly people, alcoholics, or those that live on a diet devoid of fresh fruits and vegetables. Similarly, infants or children who are on special or poor diets for any number of economic or social reasons may be prone to scurvy. Scurvy symptoms may begin with appetite loss, poor weight gain, diarrhoea, rapid breathing, fever, irritability, tenderness and discomfort in legs, swelling over long bones, bleeding (haemorrhaging), and feelings of paralysis. As the disease progresses, a scurvy victim may present bleeding of the gums, loosened teeth, petechial haemorrhage of the skin and mucous membranes (a tiny pinpoint red mark), bleeding in the eye, proptopsis of the eyeball (protruding eye), constochondral beading (beading of the cartilage between joints), hyperkeratosis (a skin disorder), corkscrew hair, and sicca syndrome (an autoimmune disease affecting connective tissue). Infants with scurvy will become apprehensive, anxious, and progressively irritable. They often will assume the frog leg posture for comfort when struck with pseudo paralysis. It is common for infants with scurvy to present subperiosteal haemorrhage, a specific bleeding that occurs at the lower ends of the long bones. Physicians initially will conduct a physical exam, looking for symptoms described above. Actual vitamin C levels can be obtained by using laboratory tests that analyze serum ascorbic acid levels (or white blood cell ascorbic acid concentration). Sometimes, radiological procedures are ordered for diagnostic purposes and to see what damage scurvy has already done. Scurvy is treated by providing the patient with vitamin C, administered either orally or via injection. Orange juice usually functions as an effective dietary remedy, but specific vitamin supplements are also known to be effective. Scurvy can be prevented by consuming enough vitamin C, either in the diet or as a supplement.
Abstract - Bio -05
Synthetic Insulin Harishmitha and Jayalakshmi
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Insulin is a peptide hormone, produced by beta cells of the pancreas, and is central to regulating carbohydrate and fat metabolism in the body. It causes cells in the liver, skeletal muscles, and fat tissue to absorb glucose from the blood. In mammals, insulin is synthesized in the pancreas within the β-cells of the islets of Langerhans and is provided within the body in a constant proportion to remove excess glucose from the blood, which otherwise would be toxic. When control of insulin levels fails, diabetes mellitus can result. As a consequence, insulin is used medically to treat some forms of diabetes mellitus. Patients with type 1 diabetes depend on external insulin (most commonly injected subcutaneously) for their survival because the hormone is no longer produced internally. Patients with type 2 diabetes are often insulin resistant and, because of such resistance, may suffer from a "relative" insulin deficiency. Some patients with type 2 diabetes may eventually require insulin if other medications fail to control blood glucose levels adequately. Over 40% of those with Type 2 diabetes require insulin as part of their diabetes management plan. Scientists started using the recombinant DNA technology for the mass production of insulin. Recombinant insulin is synthesized by inserting the human insulin gene into E.Coli which then produces insulin for human use. The synthesis of human insulin was done using a process similar to the fermentation process used to make antibiotics. The achievement may be the most significant advance in the treatment of diabetes. Insulin is a protein hormone composed of two chains of amino acids: an "A" chain and a "B" chain linked together by two disulfide bonds. The "A" chain is composed of 21 amino acids and the "B" chain of 30 amino acids, each arranged in a uniquely ordered sequence. Proteins are made by translating the genetic information which is carried in a cell's genes. Scientists synthesized in the laboratory genes for the two insulin "A" and "B" chains. Once the genes were synthesized, they were stitched into Plasmids, rings of DNA which are found within the cell. The newly constructed plasmids containing the transplanted genetic material were introduced into a benign E. coli bacterial strain. Once inside the bacteria, the genes were "switched-on" by the bacteria to translate the code into either the "A" chain or the "B" chain proteins found in insulin. When the cells produced sufficient amounts of the "A" and "B" chains, they were harvested to isolate these proteins from the bacteria and purify it. The two chains were then combined chemically in the laboratory. Recombinant human insulin has almost completely replaced insulin obtained from animal sources (e.g. pigs and cattle) for the treatment of insulin-dependent diabetes. A variety of different recombinant insulin preparations are in widespread use today.
Abstract - Bio -06
Antioxidants Sunanda Rao and Hafsa
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
An antioxidant is a molecule that inhibits the oxidation of other molecules. Oxidation is a chemical reaction that transfers electrons or hydrogen from a substance to an oxidizing agent, producing free radicals. In turn, these radicals can start chain reactions causing damage or death to the cell. Antioxidants terminate these chain reactions by removing free radical intermediates, and inhibit other oxidation reactions. They do this by being oxidized themselves, so antioxidants are often reducing agents such as thiols, ascorbic acid, or polyphenols. Although oxidation reactions are crucial for life, they can also be damaging; plants and animals maintain complex systems of multiple types of antioxidants, such as glutathione, Vitamin C, vitamin A, and vitamin E as well as enzymes such as catalase, superoxide dismutase and various peroxidases. Furthermore insufficient levels of antioxidants, or inhibition of the antioxidant enzymes, cause oxidative stress and may damage or kill cells. Oxidative stress is damage to cell structure and cell function by overly reactive oxygen-containing molecules and chronic excessive inflammation. Oxidative stress seems to play a significant role in many human diseases, including cancers. Not only that but, the use of antioxidants in pharmacology is intensively studied, particularly as treatments for stroke and neurodegenerative diseases. For these reasons, oxidative stress can be considered to be both the cause and the consequence of some diseases. Free radicals contribute to chronic diseases from cancer to heart disease and Alzheimer's disease to vision loss. This doesn't automatically mean that substances with antioxidant properties will fix the problem, especially not when they are taken out of their natural context. The studies so far are inconclusive, but generally don't provide strong evidence that antioxidant supplements have a substantial impact on disease. But keep in mind that most of the trials conducted up to now have had fundamental limitations due to their relatively short duration and having been conducted in persons with existing disease. That a benefit of beta-carotene on cognitive function was seen in the Physicians' Health Follow-up Study only after 18 years of follow-up is sobering, since no other trial has continued for so long. At the same time, abundant evidence suggests that eating whole fruits, vegetables, and whole grains—all rich in networks of antioxidants and their helper molecules—provides protection against many of these scourges of aging.
Abstract - Bio -07
Osteoporosis Manoranjitham and Lakshmi Sri
Saveetha Dental College and Hospitals, Saveetha University, Chennai-600077
Osteoporosis is a condition characterized by low bone mass and increased bone fragility, putting patients at risk of fractures, which are major causes of morbidity substantially in older people. Osteoporosis is currently attributed to various endocrine, metabolic and mechanical factors. However, emerging clinical and molecular evidence suggests that inflammation also exerts significant influence on bone turnover, inducing osteoporosis. Numerous pro inflammatory cytokines have been implicated in the regulation of osteoblasts and osteoclasts, and a shift towards an activated immune profile has been hypothesized as important risk factor. Osteoporosis prevention requires adequate calcium and vitamin D intake, regular physical activity, and avoiding smoking and excessive alcohol ingestion. Risk of fracture determines whether medication is also warranted. A previous vertebral or hip fracture is the most important predictor of fracture risk. Bone density is the best predictor of fracture risk for those without prior adult fractures. Age, weight, certain medications, and family history also help establish a person's risk for osteoporotic fractures. All women should have a bone density test by the age of 65 or younger (at the time of menopause) if risk factors are present. Guidelines for men are currently in development. Medications include both antiresorptive and anabolic types. Antiresorptive medications -- estrogens, selective estrogen receptor modulators (raloxifene), bisphosphonates (alendronate, risedronate, and ibandronate) and calcitonins -- work by reducing rates of bone remodelling. Teriparatide (parathyroid hormone) is the only anabolic agent currently approved for osteoporosis in the United States. It stimulates new bone formation, repairing architectural defects and improving bone density. All persons who have had osteoporotic vertebral or hip fractures and those with a bone mineral density diagnostic of osteoporosis should receive treatment. In those with a bone mineral density above the osteoporosis range, treatment may be indicated depending on the number and severity of other risk factors. Chronic inflammation and the immune system remodelling characteristic of ageing, as well as of other pathological conditions commonly associated with osteoporosis, may be determinant pathogenetic factors.
MICROBIOLOGY (ORAL PRESENTATIONS)
Abstract - Micro -01
Role Of Herbs In Prevention Of Dental Caries
Aneesha
Saveetha dental college and hospitals, Saveetha University, Chennai -77
Oral diseases are major health problems with dental caries and periodontal diseases among the most important preventable global infectious diseases. Oral health influences the general quality of life and poor oral health is linked to chronic conditions and systemic diseases. The development of dental caries involves acidogenic and aciduric. Gram-positive bacteria Periodontal diseases have been linked to anaerobic Gram-negative bacteria . Given the incidence of oral disease, increased resistance by bacteria to antibiotics, adverse affects of some antibacterial agents currently used in dentistry and financial considerations in developing countries, there is a need for alternative prevention and treatment options that are safe, effective and economical. While several agents are commercially available, these chemicals can alter oral microbiota and have undesirable side-effects such as vomiting, diarrhea and tooth staining. Hence, the search for alternative products continues and natural phytochemicals isolated from plants used as traditional medicines are considered as good alternatives. In this review, plant extracts or phytochemicals that inhibit the growth of oral pathogens, reduce the development of biofilms and dental plaque and reduce the symptoms of oral diseases will be discussed further. Herbal extracts have been successfully used in dentistry as tooth cleaning and antimicrobial plaque agents. As most of the oral diseases are due to bacterial infections and it has been well documented that medicinal plants confer considerable antibacterial activity against various microorganisms including bacteria's responsible for dental caries. Antibacterial activity of some plant species like Melia azadirachta, Calotropis gigantean, Leucas aspera, Vitex negundo, and others have been tested. In India plant wealth is greatly exploited for its therapeutic potential and medicinal efficacy to cure dental caries. In several indigenous tooth powders, toothpastes, toilet soaps, the extract from various parts of this tree is used. The use of Neem twigs as tooth brush has been endorsed by the dentists to prevent caries. Azadirachta indica mouth wash is reported to inhibit growth of S. Mutans and carious lesions. Standard Western medicine has had only limited success in the prevention of periodontal disease and in the treatment of a variety of oral diseases.
Abstract - Micro -02
Probiotics In Health And Disease Fiby
Saveetha dental college and hospitals, Saveetha University, Chennai - 77
Probiotics are micro-organisms that some have claimed provide health benefits when consumed. Lactic acid bacteria (LAB) and bifidobacteria are the most common types of microbes used as probiotics, but certain yeasts and bacilli may also be used. Probiotics are commonly consumed as part of fermented foods with specially added active live cultures, such as in yogurt, soy yogurt, or as dietary supplements.Studies are examining whether probiotics affect mechanisms of intestinal inflammation, diarrhea, urogenital infections or allergies. When a person takes antibiotics, both the harmful bacteria and the beneficial bacteria are killed. A reduction of beneficial bacteria can lead to digestive problems, such as diarrhea, yeast infections and urinary tract infections. The possibility that supplemental probiotics affect such digestive issues is unknown, and remains under study. Researchers believe that some digestive disorders happen when the balance of friendly bacteria in the intestines becomes disturbed. This can happen after an infection or after taking antibiotics. Intestinal problems can also arise when the lining of the intestines is damaged. These friendly organisms may also help fight bacteria that cause diarrhea. Probiotics, microorganisms that have a favorable influence on physiologic and pathological processes of the host by their effect on the intestinal flora, may play a role in improving human health. One of the putative effects is the modulation of immune function. Thus, the mucosal immune system and methods to assess its function are reviewed briefly. Probiotic modulation of humoral, cellular and nonspecific immunity is reviewed, with emphasis placed on immune response in disease models. There are very few reports of human intervention studies with probiotics. However, some of the possible future directions for research with respect to probiotics, immunity, and human health are discussed. Although the application of probiotics has demonstrated trends with respect to altered aspects of immune response, the underlying mechanisms by which that occurs are unclear.
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Abstract - Micro -03
Extended Spectrum Beta Lactamase Pavithra
Saveetha Dental college and hospitals, Saveetha University, Chennai -77
The first β-lactamase was identified in an isolate of Escherichia coli in 1940. The spectrum of βlactam antibiotics susceptible to hydrolysis by these enzymes. Typically, they derive from genes for TEM-1, TEM-2, or SHV-1 by mutations that alter the amino acid configuration around the active site of these β-lactamases. This extends the spectrum of β-lactam antibiotics susceptible to hydrolysis by these enzymes. An increasing number of ESBLs not of TEM or SHV lineage have recently been described. The presence of ESBLs carries tremendous clinical significance. The ESBLs are frequently plasmid encoded. Plasmids responsible for ESBL production frequently carry genes encoding resistance to other drug classes (for example, aminoglycosides). Therefore, antibiotic options in the treatment of ESBL-producing organisms are extremely limited. Carbapenems are the treatment of choice for serious infections due to ESBL-producing organisms, yet carbapenem resistant isolates have recently been reported. ESBL-producing organisms may appear susceptible to some extended-spectrum cephalosporins. However, treatment with such antibiotics has been associated with high failure rates. There is substantial debate as to the optimal method to prevent this occurrence. It has been proposed that cephalosporin breakpoints for the Enterobacteriaceae should be altered so that the need for ESBL detection would be obviated. In common to all ESBL detection methods is the general principle that the activity of extended-spectrum cephalosporins against ESBL-producing organisms will be enhanced by the presence of clavulanic acid. ESBLs represent an impressive example of the ability of gram-negative bacteria to develop new antibiotic resistance mechanisms in the face of the introduction of new antimicrobial agents. Therefore, antibiotic options in the treatment of ESBL-producing organisms are extremely limited. Carbapenems are the treatment of choice for serious infections due to ESBL-producing organisms, yet carbapenem-resistant isolates have recently been reported. ESBL-producing organisms may appear susceptible to some extended-spectrum cephalosporins. However, treatment with such antibiotics has been associated with high failure rates.
Abstract - Micro -04
Macrophage Interaction In Persistent Viral Infection
Madhavi Ghosh .K
Saveetha dental college and hospitals, Saveetha university, Chennai -77
Macrophages are thought to be the first cell to identify the foreign antigen and eliminate them non specifically. It is also important in initiating the specific immune response that offer a complete defense and immunity against them during repeated infections. But macrophages are found to be a safe site for many organisms that resist intracellular digestion. There are viruses that enters the macrophages non specifically and persist in them for life time. This is possible to certain that carries a gene that inhibits the cellular apoptosis, thus making the macrophage immortal. Such viruses that persist in the macrophages do not normally undergo a replicative cycle. Thus they establish a latency where it lives in a compromised state with the host without getting eliminated. The latent viruses will periodically undergo reactivation and sometimes produces a clinical illness. The reactivation is more frequent in immunocompromised and immunosuppresed individuals. The problems are more in AIDS patients which severely deteriorate the quality of life. Certain viruses like the Herpes viruses and measles virus, inherently has the capacity to establish latency. It is evident that the viruses are not neurotropic but still associated with complications of the nervous system. Those viruses are isolated from the macrophages from the apparently healthy individuals. They may persist in the macrophages in the brain tissue and in the macrophages surrounding the ganglion. It should be understood that these viruses do not produce any damage to the neuron as they are non neurotropic. In measles the late compication due to the persistence of the virus in the glial is an autoimmune mechanism. The frequent reactivation of the virus in the glial cells induces interleukin production. This leads to aberrant expression of self MHC molecule that in turn attracts the immune attack. Similar mechanism is also evident in some slow viral infection like visna, meidi and kuru. In general these latent viruses do not produce a clinical illness unless they get an opportunity to multiply. Though the environment plays a major, the main factor that is responsible is the impaired immune response.
Abstract - Micro -05
Hiv Structure And Enzymes Associated With It
K.R.Visalam
Saveetha Dental college and hospitals, Saveetha University, Chennai – 77
HIV is spherical in shape and has a diameter of 1/10,000 of a millimeter. The outer coat of the virus, known as the viral envelope, is composed of two layers of fatty molecules called lipids, taken from the membrane of a human cell when a newly formed virus particle buds from the cell. Embedded throughout the viral envelope are proteins from the host cell, as well as 72 copies (on average) of a complex HIV protein known as Env. These Env copies protrude or spike through the surface of the virus particle (called a "virion"). Env consists of a cap made of three molecules called glycoprotein 120 (gp120), and a stem consisting of three molecules called gyclycoprotein 41 (gp41) that anchor the structure in the viral envelope. Much of the research to develop a vaccine to prevent HIV infection has focused on these envelope proteins.Within the viral envelope is a bullet-shaped core or capsid, made up of 2,000 copies of the viral protein, p24. The capsid surrounds two single strands of HIV RNA, each of which has a complete copy of the virus's genes. HIV has three structural genes (gag, pol, and env) that contain information needed to make structural proteins for new virus particles. The env gene, for example, codes for a protein called gp160 that is broken down by a viral enzyme to form gp120 and gp41, the components of the env protein.HIV-1 integrase is a multidomain enzyme which is required for the integration of viral DNA into the host genome. It is one of three enzymes of HIV, the others being the Reverse Transcriptase and the Protease. It is an attractive target for therapeutic drug design. We review the structures of various integrase fragments, the core domain with inhibitors bound, and propose a model for DNA binding.HIV-1 protease is a retroviral aspartyl protease (retro pepsin) that is essential for the life-cycle of HIV, the retrovirus that causes AIDS.HIV protease cleaves newly synthesised poly proteins at the appropriate places to create the mature protein components of an infectious HIV virion. Without effective HIV protease, HIV virions remain un infectious. Thus, mutation of HIV protease's active site or inhibition of its activity disrupts HIV's ability to replicate and infect additional cells, making HIV protease inhibition the subject of considerable pharmaceutical research.
MICROBIOOGY (POSTER PRESENTATIONS)
Abstract - Micro -01
Mitochondrial DNA
Jenny & Greeshma
Saveetha dental college and hospitals, Saveetha University, Chennai -77
Mitochondrial DNA (mtDNA or mDNA) is the DNA located in organelles called mitochondria, structures within eukaryotic cells that convert chemical energy from food into a form that cells can use, adenosine triphosphate (ATP). Nearly all of the DNA present in eukaryotic cells can be found in the cell nucleus, and in plants, the chloroplast as well. In humans, mitochondrial DNA can be assessed as the smallest chromosome coding for 37 genes and containing approximately 16,600 base pairs. Human mitochondrial DNA was the first significant part of the human genome to be sequenced. In most species, including humans, mtDNA is inherited solely from the mother. The DNA sequence of mtDNA has been determined from a large number of organisms and individuals (including some organisms that are extinct), and the comparison of those DNA sequences represents a mainstay of phylogenetics, in that it allows biologists to elucidate the evolutionary relationships among species. It also permits an examination of the relatedness of populations, and so has become important in anthropology and field biology. Mitochondrial DNA contains 37 genes, all of which are essential for normal mitochondrial function. Thirteen of these genes provide instructions for making enzymes involved in oxidative phosphorylation. The remaining genes provide instructions for making molecules called transfer RNAs (tRNAs) and ribosomal RNAs (rRNAs), which are chemical cousins of DNA. These types of RNA help assemble protein building blocks (amino acids) into functioning proteins.
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Abstract - Micro -02
Mouth Is The Mirror Of The Body
Y. Devisri and Anulekha M.R
Saveetha Dental College and Hospitals, Saveetha University, Chennai -77
Oral clinicians emphasize that mouth is a part of the body and not merely a gateway for delicacies. The oral cavity has an important anatomical location and plays an important role in many critical physiologic processes, such as digestion, respiration, and speech. The oral cavity might well be thought as window to the body because oral manifestations accompany many systemic diseases. In most cases, oral involvement precedes the appearance of other symptoms or lesions of systemic diseases at other locations. These oral manifestations must be properly recognized if the patient is to receive appropriate diagnosis and referral for treatment. This poster intends to give a general overview of conditions that have oral manifestations but also involve other organ systems. The mouth is a mirror of health or disease. As the gateway to the body, the mouth can have a constant barrage of invaders like bacteria, viruses, parasites, and fungi. The oral manifestation of various systemic diseases develop lesions on the oral mucosa, tongue, gingiva, dentition, periodontium, salivary glands, facial skeleton, extraoral skin and other related structures. In many cases the oral clues are the first and sometimes even the only evidence of a disturbed state e.g. the much de- scribed Koplik's spots in the buccal mucosa which precede the cutaneous eruption of measles. In other cases, the oral symptoms and/or signs may parallel the complaints and clues elsewhere in the body. Thus, the simultaneous development of an erosive lesion on the buccal mucosa near the angle of lips along with a butterfly rash on the face is presumptive of lupus erythematosus. Lastly, in still other situations, the oral reflections follow the evidence in other parts of the body, like in pemphigus, where the bullae may erupt on the skin days, weeks, or months before the oral ulcers can be demonstrated. Thus oral cavity is an important diagnostic area because it contains derivatives of all of the primary germinal layers and includes tissues not demonstrable anywhere else in the body. It is also because of its role played in diagnosing a number of systemic diseases just because of their oral manifestations.
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Abstract - Micro -03
Risk of Bacteraemia In Dental Procedure
Bhuvanyasankari, Rajeshwari Raman
Saveetha dental college and hospitals, Saveetha University, Chennai -77
Bacteria are introduced into the bloodstream by dental work, cuts, or infection outside the heart (such as pharyngitis, pneumonia, or urinary tract infections). There is an abnormal structure inside the heart to which the blood-borne bacteria (bacteremia) can adhere, usually to one of the heart valves. The abnormality might be acquired (such as an artificial valve or a valve damaged by rheumatic fever) or congenital (the valve was abnormal at birth). The abnormality might otherwise be inconsequential and of no medical concern, except for the serious risk of endocarditis. When bacterial endocarditis occurs, the bacteria build growths called vegetations on the heart valves, which can prevent them from opening and closing properly. Pieces of the vegetations can break off and travel (embolize) to other parts of the body, where they can cause sudden blockage of blood flow to arms, legs, and organs, resulting in painful limb loss, strokes, heart attacks, and serious injury to the bowel or kidneys. Abnormal Heart Structures. Certain people are at higher risk of developing bacterial endocarditis than others. Any bacterial infection - such as pharyngitis (for example, strep throat), skin infection, pneumonia, bacterial sinusitis, or a urinary tract infection - can be an opportunity for bacteria to enter the bloodstream. The highest level of oral health should be maintained to reduce potential sources of bacteria. Poor dental hygiene or other dental disease (such as periodontal or periapical infections) may induce bacteremia even in the absence of the additional risk associated with invasive dental procedures. People who no longer have their natural teeth are not free from the risk of bacterial endocarditis.Ulcers caused by ill-fitting dentures should be promptly treated, since they may be a source of bacteremia. Because the symptoms of bacterial endocarditis can be vague, patients at risk should consult a doctor about fever, sweating, chills, loss of appetite or weight loss, pallor, headache, weakness, or tiredness that does not disappear in two to three days. More dramatic symptoms, such as severe abdominal or flank pain, bloody urine, shortness of breath, stroke, or shock may also occur.Treatment of endocarditis always requires a prolonged course of intravenous antibiotics, which is begun in the hospital but can sometimes be finished in the patient's home. Heart surgery is sometimes necessary to eradicate the infection.
Proceedings of Seventh National B.D.S.Students seminar on Basic Medical Sciences
Abstract - Micro -04
Biomedical Waste Management
Narmadha devi, Lainu
Saveetha dental college and hospitals, Saveetha University, Chennai -77
Interaction of micro– (internal) and macro– (surrounding) environment of human beings determines the status of health of an individual or of community at–large. On daily basis, generation and disposal of biomedical wastes has become a emerging problem not only in India but the world over. These are being produced during the process of sampling, testing, diagnosis, therapy, immunization and surgery of humans, animals, and in research experiments. Several categories of biomedical wastes have been discussed along with steps involved in the management of biowaste include segregation, storage in containers, labeling, handling, transport, treatment, disposal and waste minimization. Potential implications of biomedical wastes include transmission of diseases like Hepatitis B, C, E, dengue and HIV through improperly contained contaminated sharps; proliferation and mutation of pathogenic microbial population in the municipal waste through dumping of untreated biomedical waste; physical injury and health hazards. Certain other implications include degradation of the environment esthetically by careless disposals, having negative effect on public health; increased risk of nosocomial infections; change of microbial ecology and spread of antibiotic resistance; increased density of vector population, resulting in spread of diseases in public. Sensitization and public awareness is important to protect environment and public health globally. The biomedical waste produced in the course of health care activities carries a higher potential for infection and injury than any other type of waste. Inappropriate handling of biomedical waste may have serious public health consequences and a significant impact on the environment. Managing these wastes is a challenging task due to unpredictable variation in the load on common biomedical waste treatment facility. A case study is presented that predicts the waste incineration at common biomedical waste treatment facility.
Abstract - Micro -05
ADC AND CDC Sterilisation Protocols In Dentistry
Eunice Joanna and Jayapriya
Saveetha Dental College and hospitals, Saveetha University,Chennai 77
The U.S. Centers for Disease Control and Prevention (CDC) and Animal Disease Control (ADC) recommends that only heat sterilization be used for all reusable devices entering the oral cavity. However, chemical disinfection is still employed for reprocessing dental devices in many areas of the world. In an analysis of a Florida dental practice responsible for nosocomial human immunodeficiency virus (HIV) transmissions, the possible role of contaminated devices was deemed unlikely in part because they were subjected to high–level disinfection with 2% glutaraldehyde. Disease transmissions have, however, been documented for endoscopes used in diagnostic and surgical procedures even after this treatment. In some dental devices, lubricants mix with potentially infectious patient materials, and organic debris has been observed in endoscopes after cleaning. We have investigated whether lubricants can render high–level chemical disinfection procedures ineffective and have addressed the role that some common devices may play in disease transmission. We report here that HIV in whole–blood samples and Pseudomonas aeruginosa in blood and plasma survived high–level disinfection when entrapped in lubricants used in dental hand pieces and endoscopes. We also found that lubricated dental devices used to clean and polish teeth (prophylaxis angles) have the potential to transfer sufficient amounts of blood to infect human lymphocyte cultures with HIV. Practical infection control in the operatory is a multi-step process. Protocol should be updated to include good: identification of high-risk patient populations, barrier technique, aseptic technique, surface disinfection, instrument sterilization, and equipment disinfection and sterilization. These results emphasize the need to subject reusable dental devices to a heat–sterilization protocol that penetrates the lubricant.
Abstract - Micro -06
Mode of Spread of Infection In Dentistry
Aishwarya Rajan and Kererthi
Saveetha Dental College and Hospitals Saveetha University, Chennai -77
Every day, bacteria and viruses are transmitted between people at home, in the workplace and in the community. Given the number of these organisms found in the mouth and nasopharynx and the potential for aerosolization of blood and saliva during dental procedures, it is likely that transmission occurs frequently in this setting. Indirect evidence that this occurs can be obtained from seroprevalence studies that show that antibodies to a number of viruses found in saliva (such as cytomegalovirus [CMV], influenza virus and respiratory syncytial virus [RSV]) are more common in dentists than in the general population and increase with time from graduation. Carriers of bacteria can be asymptomatic, and transmission to the dental worker and patients can occur if infection control measures, such as use of gloves, masks, protective eye wear and hand hygiene practices are not adhered to.Mycobacterium tuberculosis, the cause of tuberculosis, is spread via the airborne route. Aerosolized bacteria may remain suspended in the air for long periods of time and inhaled into the lungs of a susceptible person. There have been reports of transmission of tuberculosis in the dental setting. S. aureus, including methicillin-resistant S. aureus (MRSA), is one of the commonest causes of community-acquired and hospital-acquired infections. The nature of many dental procedures can place dental team members and patients in close contact with potential pathogens, especially those found in blood. Diseases can be transmitted from the patient to the dental worker, from the dental worker to the patient, or from one patient to another. In the dental setting, possible modes of transmission include direct contact with blood, oral fluids, or other patient materials; indirect contact with contaminated objects (such as instruments, equipment, environmental surfaces, or a team member's contaminated hands); droplet contact, in which spray or spatter containing microorganisms travels a short distance before settling on the mucous membranes of the eyes, nose, or mouth and inhalation of evaporated microorganisms ("droplet nuclei") that can remain airborne for extended periods of time as aerosols. Bacteria capable of causing serious disease are present in the mouth and saliva of patients who may show no symptoms. Simple infection control precautions, such as use of gloves and a mask and effective hand hygiene practices, can prevent transmission to dental personnel, their families and their patients. This is particularly important for drug-resistant microorganisms. Prevention of transmission of tuberculosis requires prior recognition of infected or high-risk patients
Abstract - Micro -07
Dietary Habits And Dental Caries
Prathiba, Sindhuja.J
Saveetha Dental College and Hospitals. Saveetha University, Chennai -77
Oral health is related to diet in many ways, for example, nutritional influences on craniofacial development, oral cancer and oral infectious diseases. Dental diseases impact considerably on self-esteem and quality of life and are expensive to treat. The objective of this paper is to review the evidence for an association between nutrition, diet and dental diseases and to present dietary recommendations for their prevention. Nutrition affects the teeth during development and malnutrition may exacerbate periodontal and oral infectious diseases. However, the most significant effect of nutrition on teeth is the local action of diet in the mouth on the development of dental caries and enamel erosion. Dental erosion is increasing and is associated with dietary acids, a major source of which is soft drinks. Despite improved trends in levels of dental caries in developed countries, dental caries remains prevalent and is increasing in some developing countries undergoing nutrition transition. There is convincing evidence, collectively from human intervention studies, epidemiological studies, animal studies and experimental studies, for an association between the amount and frequency of free sugars intake and dental caries. Although other fermentable carbohydrates may not be totally blameless, epidemiological studies show that consumption of starchy staple foods and fresh fruit are associated with low levels of dental caries. In addition, the frequency of consumption of foods containing free sugars should be limited to a maximum of 4 times per day. It is the responsibility of national authorities to ensure implementation of feasible fluoride programmes for their country. Dental diseases include dental caries, developmental defects of enamel, dental erosion and periodontal disease. The main cause of tooth loss is dental caries in which diet plays an important role. Diet also plays a significant aetiological role in dental erosion, the prevalence of which seems to be increasing, and dietary components may contribute to development of enamel defects (e.g. enamel hypoplasia, fluorosis). However, in modern societies, diet and nutrition play a relatively minor role in the aetiology of periodontal disease (gum disease), another cause of tooth loss in adults. This review will mainly focus on the major dental diseases, dental caries and dental erosion.
PATHOLOGY (ORAL PRESENTATIONS)
Abstract - Path -01
Threats of Leukoplakia
Darshana Maria Irwin
Saveetha Dental College And Hospitals, Saveetha University, Chennai – 600 077.
Leukoplakia is a condition where areas of keratosis appear as adherent white patches on the mucous membranes of The mechanism of the white appearance is thickening of the keratin layer (hyperkeratosis). The abnormal keratin appears white when it becomes hydrated by saliva, and light reflects off the surface evenly. This hides the normal pink-red color of mucosae (the result of underlying vasculature showing through the epithelium). The causes are as follows. Tobacco smoking or chewing is the most common etiologic factor, with more than 80% of persons with leukoplakia having a positive smoking history. Smokers are much more likely to suffer from leukoplakia than non-smokers. The size and number of leukoplakia lesions in an individual is also correlated with the level of smoking and how long the habit has lasted for.Other sources argue that there is no evidence for a direct causative link between smoking and oral leukoplakia. Cigarette smoking may produce a diffuse leukoplakia of the buccal mucosa, lips, tongue and rarely the floor of mouth.Reverse smoking, where the lit end of the cigarette is held in the mouth is also associated with mucosal changes. Tobacco chewing (smokeless tobacco), e.g. betel leaf and areca nut, called paan, tends to produce a distinctive white patch in a buccal sulcus termed "tobacco pouch keratosis". In the majority of persons, cessation triggers shrinkage or disappearance of the lesion, usually within the first year after stopping. Although the synergistic effect of alcohol with smoking in the etiology of oral cancer is beyond doubt, there is no clear evidence that alcohol is involved in the development of leukoplakia, but it does appear to have some influence.Excessive use of a high alcohol containing mouth wash (> 25%) may cause a grey plaque to form on the buccal mucosa, but these lesions are not considered true leukoplakia. Ultraviolet radiation is believed to a factor in the development of some leukoplakia lesions of the lower lip, where there is usually an association with actinic cheilosis in addition. Candida in its pathogenic hyphal form is occasionally seen in biopsies of idiopathic leukoplakia. It is debated whether candida infection is a primary cause of leukoplakia with or without dysplasia, or a superimposed (secondary) infection that occurs after the development of the lesion. It is known that Candida species thrive in altered tissues.Some leukoplakias with dysplasia reduce or disappear entirely following use of antifungal medication.Smoking, which as discussed above can lead to the development of leukoplakia, can also promote oral candidiasis. Candida in association with leukoplakia should not be confused with white patches which are primarily caused by candida infection, such as chronic hyperplastic candidiasis ("candidal leukoplakia"). The involvement of viruses in the formation of some oral white lesions is well established, e.g. Epstein-Barr virus in oral hairy leukoplakia (which is not a true leukoplakia).
PATHOLOGY (POSTER PRESENTATIONS)
Abstract - Path -01
Oral Cancer And Its Prevention
Shenthurja and Benita
Saveetha Dental College And Hospitals,
Saveetha University, Chennai – 600 077.
Oral cancer or mouth cancer, a subtype of head and neck cancer, is any cancerous tissue growth located in the oral cavity It may arise as a primary lesion originating in any of the oral tissues, by metastasis from a distant site of origin, or by extension from a neighboring anatomic structure, such as the nasal cavity. Alternatively, the oral cancers may originate in any of the tissues of the mouth, and may be of varied histologic types:teratoma, adenocarcinoma derived from a major or minor salivary gland, lymphoma from tonsillar or other lymphoid tissue, or melanoma from the pigment-producing cells of the oral mucosa. There are several types of oral cancers, but around 90% are squamous cell carcinomas, originating in the tissues that line the mouth and lips. Oral or mouth cancer most commonly involves the tongue. It may also occur on the floor of the mouth, cheek lining, gingiva (gums), lips, or palate (roof of the mouth). Most oral cancers look very similar under the microscope and are called squamous cell carcinoma, but less commonly other types of oral cancer occur, such as Kaposi's sarcoma. Steps in preventing oral cancer are as follows. Always brush and floss your teeth regularly. An unhealthy mouth reduces your immune system and inhibits your body's ability to fight off potential cancers. Do not smoke (or chew) any type of tobacco product. If you are a smoker, even with a casual habit, make the decision to stop. The risk of developing oral cancer increases with the amount and length of time alcohol and tobacco products are used. Limit exposure to the sun. Exercise regularly - An active lifestyle is known to boost the immune system and help ward off cancer. Choose cancer-fighting foods in diet like beans, berries, cruciferous vegetables (like cabbage and broccoli), dark green leafy vegetables, flaxseed, garlic, grapes, green tea, soy and tomatoes for their role in cancer prevention. Replace frying and grilling with baking, boiling or steaming. Use healthy spices like garlic, ginger and curry powder for added flavour. visiting dentist or dental hygienist regularly (at least every six months) and ask for an oral cancer screening to be done. Conduct a self exam at least once a month.
PHARMACOLOGY (ORAL PRESENTATIONS)
Abstract - Pharma -01
Adverse drug reactions Jyotsna
Saveetha Dental College And Hospitals, Saveetha University,Chennai -600077
Adverse drug reaction is defined as "an appreciably harmful or unpleasant reaction, resulting from an intervention related to the use of a medicinal product, which predicts hazard from future administration and warrants prevention or specific treatment, or alteration of the dosage regimen, or withdrawal of the product. The World Health Organization defines it as any noxious, unintentional, and undesired effect of a drug, which occurs at doses used in humans for prophylaxis, diagnosis, or therapy. Adverse drug reactions may be separated into two groups, Type A and Type B. Characteristics Type A reactions include: higher than normal dose administered, impaired metabolism or excretion, or very sensitive individuals. These reactions are often found in the FDA approved product labeling. Type B reactions are idiosyncratic and usually unrelated to the drug's known pharmacology. Adverse drug reactions are classified into .Dose-related (Augmented), non-dose-related (Bizarre), dose-related and time-related (Chronic), time-related (Delayed), withdrawal (End of use), and failure of therapy (Failure). Timing, the pattern of illness, the results of investigations, and re-challenge can help attribute causality to a suspected adverse drug reaction. Management includes withdrawal of the drug if possible and specific treatment of its effects. Though NSAIDs are generally safe, as many as 30% of NSAIDs users suffer from various side effects. The adverse drug reactions are most frequent with NSAIDs are nausea,vomiting,indigestion/upset stomach (dyspepsia), stomach bleeding,stomach ulcers.These digestive problems are a direct result of NSAIDs effects on prostaglandins. With the exception of aspirin (which is heart-healthy in certain situations), NSAIDs carry an increased risk of cardiovascular disease. NSAIDs' effects on the prostaglandin also effect the kidneys, making them less efficient at filtering and eliminating wastes from the body.Some common signs of an NSAID's adverse drug reaction on the kidneys may include salt and water retention (bloating) or hypertension (high blood pressure). More serious conditions may result in pain of the kidneys, a reduction in the amount of urine, or changes in the urine. If these symptoms sound non-specific, it's because they are often very general, so it's best to see a doctor immediately if there are any issues related to urination.Use of NSAIDs has been linked to erectile dysfunction,. Middle-aged men regularly taking NSAIDs are up to 2.4 times more likely to suffer from erectile dysfunction. Photosensitivity is also associated with NSAIDS.All adverse effects of NSAIDS are highlighted in this paper.
Abstract - Pharma -02
Death Dose Gargi S
Saveetha Dental College And Hospitals, Saveetha University,Chennai -600077
Morphine is a very strong painkiller. Morphine overdose occurs when a person intentionally or accidentally takes too much of the medicine. The prescription pain killers in combination with the alcohol can cause respiratory depressant that slows breathing. The respiratory depressant can also lead to death..It's not just an issue among teenagers. In fact, rates of accidental overdose among teens, while still a major public health problem, are actually going down. .In fact, males in their 40s and 50s who start off with a prescription for back pain and die from an accidental overdose several years later are dying in significant numbers. It is a common sentiment, and a common scenario a person genuinely needs opioids but becomes addicted to the relief they provide. Rummler still had outstanding prescriptions for hydrocodone and clonazepam at the time of his death, and empty prescription bottles were in his house when the police arrived. His official cause of death was mixed drug toxicity caused by opiates and benzodiazepines Accidental prescription drug overdoses. Patients would be more careful about the storing and disposal of their medications along with how they take them. And, most importantly, pharmacies would keep a watchful eye on all of the substances each of their customers. Possible medication error death claims may be based on wrong medication / prescription. Some medications have similar names or similar packaging, which can lead to a nurse, pharmacist or other medical professional carelessly giving a patient the wrong medication. Sometimes the wrong medication is given because the nurse was in a hurry and didn't double check, the medication was shelved wrong, the doctor prescribed the wrong medication, or the patient was given another patient's medication. Wrong dose of medication/ prescription. When patients are given the wrong dose of a medication, it is usually because of the doctor prescribed the wrong dose, the nurse administered the wrong dose of medication, the pharmacist filled the prescription wrong or the manufacturer of compounding pharmacy made the medication wrong. Many of the wrong dose death cases involve young children who were negligently given an adult dosage of a medication. This paper highlights the various death dose of prescription drugs.
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Abstract - Pharma -03
Liposomal Drug Delivery System For Dental Manangement
Terasa Mao
Saveetha Dental College And Hospitals, Saveetha University, Chennai -600077
Liposomes are mainly used in drug delivery due to their unusual yet unique properties. A liposome is able to encapsulate a region of aqueous solution inside a water repelling membrane . This otherwise called hydrophobic membrane will not allow dissolved hydrophilic solute to readily pass through the lipids. Hydrophobic chemicals on the other hand can be dissolved into the membrane which allows liposome to carry both hydrophobic and hydrophilic molecules. The molecules are delivered to sites of action when the lipid bilayer fuses with the other bilayer such as the cell membrane. Another way of delivering drugs is by targeting the endocytosis events. Liposomes can be made as targets for macrophages in the body. The drugs are released while the liposomes are being digested by the macrophage. Endocytosis in other cells can be triggered by administrating liposomes decorated with opsonins and ligands Artificial cells are synthesized by using liposome as models. In some liposomes, dissolved aqueous drugs will exist in a charged state. As the pH within the liposome naturally neutralizes, the drug will in turn also be neutralized. This allows it to pass freely through the necessary membrane. By making liposomes in a solution of DNA they can be delivered past the lipid bilayer. Liposomes that contain low pH can be constructed such that dissolved aqueous drugs will be charged in solution. As the pH naturally neutralizes within the liposome, the drug will also be neutralized, allowing it to freely pass through a membrane. These liposomes work to deliver drug by diffusion rather than by direct cell fusion. The development of liposomal formulations that can adsorb to the human dental enamel is to physically protect the teeth against detrimental processes, such as tooth wear, acidic challenges and dental caries. So the liposomal drug delivery system is used in the field of dentistry.The potential of liposomes as a drug delivery system for use in the oral cavity has been investigated. Specifically targeting for the teeth, the in vitro adsorption of charged liposomal formulations to hydroxyapatite (HA), a common model substance for the dental enamel.An appropriate liposomal drug delivery system intended for use in the oral cavity seems to be dependent on the liposomal formulation. Negatively charged DPPC/DPPA-liposomes seem to be most suitable for use in the oral cavity as they were found be the least reactive with the components of parotid saliva.
Abstract - Pharma -04
Local Drug Delivery System Kritika Jangid
Saveetha Dental College And Hospitals, Saveetha University, Chennai -600077
Pharmaceutical invention and research are increasingly focusing on delivery systems which enhance desirable therapeutic objectives while minimizing side effects. The method by which a drug is delivered can have a significant effect on its efficacy. Some drugs have an optimum concentration range within which maximum benefit is derived, and concentrations above or below this range can be toxic or produce no therapeutic benefit at all. On the other hand, the very slow progress in the efficacy of the treatment of severe diseases, has suggested a growing need for a multidisciplinary approach to the delivery of therapeutics to targets in tissues. From this, new ideas on controlling the pharmacokinetics, pharmacodynamics, non-specific toxicity, immunogenicity, biorecognition, and efficacy of drugs were generated. These new strategies, often called drug delivery systems (DDS), are based on interdisciplinary approaches that combine polymer science, pharmaceutics, bioconjugate chemistry, and molecular biology. Nanoparticles and nanoformulations have already been applied as drug delivery systems with great success; and nanoparticulate drug delivery systems have still greater potential for many applications, including anti-tumour therapy, gene therapy, AIDS therapy, radiotherapy, in the delivery of proteins, antibiotics, virostatics, vaccines and as vesicles to pass the blood-brain barrier. Nanoparticles provide massive advantages regarding drug targeting, delivery and release and, with their additional potential to combine diagnosis and therapy, emerge as one of the major tools in nanomedicine. The main goals are to improve their stability in the biological environment, to mediate the bio-distribution of active compounds, improve drug loading, targeting, transport, release, and interaction with biological barriers. The cytotoxicity of nanoparticles or their degradation products remains a major problem, and improvements in biocompatibility obviously are a main concern of future research. Recent trends indicate that multiparticulate drug delivery systems are especially suitable for achieving controlled or delayed release oral formulations with low risk of dose dumping, flexibility of blending to attain different release patterns as well as reproducible and short gastric residence time. The release of drug from microparticles depends on a variety of factors including the carrier used to form the multiparticles and the amount of drug contained in them. Consequently, multiparticulate drug delivery systems provide tremendous opportunities for designing new controlled and delayed release oral formulations, thus extending the frontier of future pharmaceutical development.The various local drug delivery methods are presented in a systematic way .
Proceedings of Seventh National B.D.S.Students seminar on Basic Medical Sciences
Abstract - Pharma -05
Scope of Pharmacology In Periodontal Diseases
Nabeel
Saveetha Dental College And Hospitals, Saveetha University, Chennai -600077
Periodontal disease is an infectious disease but factors like environmental, physical, social and host stresses may affect and modify disease expression. Certain systemic disorders affecting the neutrophil, monocyte/macrophage and lymphocyte function result in altered production or activity of host inflammatory mediators which may affect the initiation and progression of gingivitis and periodontitis. It is becoming clear that variations in inflammatory response are a major determinant in susceptibility to periodontitis. However, our understanding of the relationship of the causal agents in periodontitis to the pathogenesis is not as clear as we once thought, and thus therapies based on etiopathogenesis are similarly in question. We are entering a new era of therapeutic discovery that may have a major impact on our management of the periodontal diseases. Fundamentally, periodontitis is an irreversible condition and once both soft and hard tissues are lost, the healthy periodontal architecture cannot be completely or predictably rebuilt. The discovery of new families of lipid mediators of resolution of inflammation (the lipoxins) and eicosapentaenoic-acid- and docosahexaenoic-acid-derived chemical mediators (the resolvins and protectins) opens new avenues to designing resolution-targeted therapies to control the unwanted side effects of excessive inflammation. The novel protective and therapeutic actions of pro-resolution lipid mediators following microbial challenge are mediated by regulation of the local and systemic inflammatory response that has a direct impact on the organization of the biofilm (plaque) and suggests a new paradigm in clinical periodontal therapeutics. The potential effects of periodontal disease on a wide range of organ systems like the cardiovascular, endocrine, reproductive and the respiratory system. Antimicrobial agents are of value in the management of certain types of periodontal disease, notably early onset, juvenile and refractory periodontitis. The diagnosis of these conditions is often made on clinical grounds but microbial sampling of the pocket flora is of value in determining the type of antimicrobial therapy. Tetracyclines and metronidazole are the agents most frequently used in the management of periodontal disease. Both drugs can be given systemically or applied topically into the periodontal pocket. The latter route is preferred since the dose is reduced considerably, but the local tissue concentration is increased. The efficacy of local drug delivery is dependent upon the release kinetics of the drug from the delivery vehicle. Although local application can be time consuming, it reduces the risk of adverse reactions and drug interactions. The tetracyclines have the additional advantage of inhibiting collagenases. This article sheds light on the effects of periodontal disease on different systemic conditions, the possible mechanisms involved.
PHARMACOLOGY (POSTER PRESENTATIONS)
Abstract - Pharma -01
Drug Delivery And Nanotechnology
Janani B , Haritha J S
Saveetha Dental College And Hospitals, Saveetha University,Chennai -600077
Nanotechnology received a lot of attention with the never-seen-before enthusiasm because of its future potential that can literally revolutionize each field in which it is being exploited.. Many of the current "nano" drug delivery systems, happen to be in the nanometer range, such as liposomes, polymeric micelles, nanoparticles, dendrimers, and nanocrystals. The benefits of nanotechnology are enormous and so these benefits should be maximized while efforts are made to reduce the risks. Nanotechnology is already being used as the basis for new, more effective drug delivery systems and is in early stage development as scaffolding in nerve regeneration research. In the future, nanotechnology will also aid in the formation of molecular systems that may be strikingly similar to living systems. There are numerous examples of disease-fighting strategies in the literature, using nanoparticles. Often, particularly in the case of cancer therapies, drug delivery properties are combined with imaging technologies, so that cancer cells can be visually located while undergoing treatment. The predominant strategy is to target specific cells by linking antigens or other biosensors (e.g. RNA strands) to the surface of the nanoparticles that detect specialized properties of the cell walls. Once the target cell has been identified, the nanoparticles will adhere to the cell surface, or enter the cell, via a specially designed mechanism, and deliver its payload. One the drug is delivered, if the nanoparticle is also an imaging agent, doctors can follow its progress and the distribution of the cancer cell is known. Such specific targeting and detection will aid in treating late-phase metastasized cancers and hard-to-reach tumors and give indications of the spread of those and other diseases. It also prolongs the life of certain drugs that have been found to last longer inside a nanoparticle than when the tumor was directly injected, since often drugs that have been injected into a tumor diffuse away before effectively killing the tumor cells. The Nanotechnology in general and as it relates to drug delivery in humans has been reviewed in this poster.
Abstract –Pharma-02
Use of cognitive enhancers in alzheimers disease
Priyanka sr and vaishnavi P
Saveetha Dental College And Hospitals, Saveetha University, Chennai -600077
Alzheimer's disease is a progressive disease that destroys memory and other important mental functions.It's the most common cause of dementia — a group of brain disorders that results in the loss of intellectual and social skills. These changes are severe enough to interfere with dayto-day life. In Alzheimer's disease, the connections between brain cells and the brain cells themselves degenerate and die, causing a steady decline in memory and mental function. The cause of Alzheimer's disease is unknown, but symptoms of the disease may be associated with the selective loss of brain cells known as cholinergic neuronsin affected areas of the brain. There are certain pathological hallmarks of Alzheimer's disease that are found at autopsy, including senile plaques(degenerat-ing neurons twisted around a waxy protein-polysaccharide substance known as amyloid) and neurofibrillarytangles (helical thread-like tangles within neurons).Current Alzheimer's disease medications and management strategies may temporarily improve symptoms. This can sometimes help people with Alzheimer's disease maximize function and maintain independenceThe management of AD focuses on slowing progression, symptom control, maintaining functional status, improving quality of life, minimizing adverse events, and decreasing caregiver stress. Non-pharmacologic therapy includes social support, cognitive rehabilitation , assistance with activities of daily living, multidisciplinary programs , and providing support to care givers. Recent cognitive enhancers for pharmacologic treatment for AD include the cholinesterase inhibitor drug class (donepezil, galantamine and rivastigmine), as well as memantine, a N-methyl-D-aspartic acid (NMDA) receptor antagonist . The acetylcholinesterase inhibitors donepezil and rivastigmine have similar modes of action, increasing the concentration of acetylcholine at the neurotransmitter sites. Galantamine is another acetylcholinesterase inhibitor that increases acetylcholine at neurotransmitter sites, yet also acts by modulating activity at nicotinic receptors. The NMDA receptor antagonist, memantine , works on the glutamatergic system and modulates the neurotransmitter glutamate . The role of cognitive enhancers are presented in this paper.
Abstract - Pharma -03
Inhalant Steroids-Side Effects
Kritika Rajan And Emily Jennifer
Saveetha Dental College And Hospitals, Saveetha University,Chennai -600077
Inhaled steroids are the mainstay treatment for controlling asthma. The use of inhaled steroids leads to better asthma control fewer symptoms and flare-ups, reduced need for hospitalization. Inhaled steroids help prevent asthma symptoms, they do not relieve asthma symptoms during and attack. Dosages of inhaled steroids in asthma inhalers vary.Inhaled steroids need to be taken daily for best results. Some improvement in asthma symptoms can be seen in one to three weeks after starting inhaled steroids, with the best results seen after three months of daily use.Inhaled steroid medications for better asthma control.Inhaled steroids come in three forms the metered dose inhaler , dry powder inhaler, and nebulizer solutions.Inhaled steroids have few side effects, especially at lower doses. If you are taking higher doses, thrush and hoarseness may occur. Rinsing the mouth, gargling after using the asthma inhaler and using a spacer device with metered dose inhalers will help prevent these side effects. Thrush is easily treated with an antifungal mouthwash.Inhaled steroids are safe for adults and children. Side effects with these anti-inflammatory asthma inhalers are minimal.Beclomethasone,budesonide,flunisolide, fluticasone, mometasone,triamcinolone, budesonide and formoterol are commonly used . All forms of corticosteroids reduce inflammation in the airways that carry air to the lungs and decrease the mucus made by the bronchial tubes. This makes it easier to breathe. Inhaled corticosteroids treat inflammation in the airway, and only very small amounts of the medicine are absorbed into the body. So these medicines don't tend to cause the serious side effects, such as weakening of the bones, that corticosteroids can cause when taken in liquid, pill, or injection form (systemic corticosteroids).Inhaled corticosteroids are the preferred treatment for long-term control of mild persistent, moderate persistent, or severe persistent asthma symptoms in children, teens, and adults. They help control narrowing and inflammation in the bronchial tubes. In general, they are part of daily asthma treatment and are used every day.When steroid tablets are taken for many months or years, harmful side effects are likely and almost inevitable. The list of possible effects is long; it includes mood changes, forgetfulness, hair loss, easy bruising, a tendency toward high blood pressure and diabetes, thinning of the bones (osteoporosis), suppression of the adrenal glands, muscle weakness, weight gain, cataracts, and glaucoma.
Abstract - Pharma -04
AIDS & DRUGS
Ansu Chackochan And Rowena
Saveetha dental college, Saveetha university,chennai-600077
HIV stands for human immunodeficiency virus. This virus severely damages the immune system and causes acquired immune deficiency syndrome, or AIDS, a condition that defeats the body's ability to protect itself against disease.HIV inflicts this damage by infecting immune cells in our bodies called CD4 positive (CD4+) T cells—essential for fighting infections. HIV converts the CD4+ T cells into "factories" that produce more of the HIV virus to infect other healthy cells, eventually destroying the CD4+ T cells.As CD4+ T cells are lost and the immune system weakens, a person becomes more prone to illnesses and common infections. AIDS is diagnosed when a person has one or more of these infections and a CD4+ cell count of less than 200. No vaccine yet exists to protect a person from getting HIV, and there is no cure. However, HIV can be prevented and its transmission curtailed. Drug abuse treatment fosters both of these goals. HIV medications also help prevent HIV transmission and the progression of HIV to AIDS, greatly prolonging lives. A person infected with HIV may look and feel fine for many years and may not even be aware of the infection. In fact, the Centers for Disease Control and Prevention estimates that 1.2 million people are infected with HIV in the United States and that one in five people infected are unaware of it. HIV testing is critical and can help prevent spread of the infection—among those most at risk (e.g., people who abuse drugs) and in general. Getting tested is not complicated. Some tests can even provide results in 20 minutes, although testing is not accurate until about 6–8 weeks after exposure to HIV. That time is needed for HIV antibodies to form in amounts detectable by a standard HIV test.From the beginning of the HIV/AIDS epidemic in the early 1980s until the mid-1990s, HIV infection was almost guaranteed to result in death from AIDS. The number of deaths declined after 1996, when effective treatments were introduced.Antiretroviral drugs are used to treat HIV and HAART is recommended for management of HIV.
Abstract - Pharma -05
Herbs –Anticancer Choice Nivedha And Prathyusha
Saveetha dental college, Saveetha University, Chennai-600077
Unlike certain drugs companies, such herbalists have yet to pay millions of dollars to avoid court action over claims that they hid research studies showing negative results. No herb in recent years has been lauded as a health-restorer, only to be subsequently ´withdrawn´ after causing deformity, heart attacks and/or death. Taking a cocktail of prescription medicines, not herbs, is the number one cause of death in states such as Florida.Acacia Arabica Decoction of bark is an astringent lotion for ulcers, cancerous and syphilitic affections; used as a gargle and mouth wash in relaxed sore throat and spongy gums; infusion of the astringent pods is used in diseases of the mucous membranes, sores of mouth and for healing syphilitic ulcers. Basil,Primarily featured in Italian food, basil has been frequently examined to discover the secrets of its health benefits. With its antibacterial, antiviral and antioxidant properties, there's already plenty of reasons to love basil. However, it's got even more goodness locked away in its leaves. New evidence suggests basil can actually decrease carcinogenesis — new tumors — and help protect against cancer. Cardamom,Maybe making cardamom bread was a delightful part of your childhood, but there's now another reason to use the cardamom herbs. Much like many different spices, cardamom has antioxidant properties. This helps to purge the body of free radicals and help prevent carcinogenesis in some lab studies.Cinnamon, even something as common as everyday cinnamon can be used to reduce your risk of cancer. In several different studies, cinnamon has been shown to reduce cancer risk. This may be due to its high levels of iron and calcium. Even as little as a single half-teaspoon of cinnamon every day may be enough to take advantage of its anti-cancer properties.
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Abstract - Pharma - 06
Drug Allergy Sukanya and Syed Nayeema
Saveetha dental college, Saveetha university,chennai-600077
Adverse reactions to medications are common, yet everyone responds differently. One person may develop a rash or other reactions when taking a certain medication, while another person on the same drug may have no adverse reaction at all.Only about 5% to 10% of these reactions are due to an allergy to the medication.An allergic reaction occurs when the immune system overreacts to a harmless substance, in this case a medication, which triggers an allergic reaction. Sensitivities to drugs may produce similar symptoms, but do not involve the immune system.Certain medications are more likely to produce allergic reactions than others. The most common are Antibiotics, such as penicillin, Aspirin and non-steroidal anti-inflammatory medications, such as ibuprofen, Anticonvulsants, Monoclonal antibody therapy, ChemotherapyThe chances of developing an allergy are higher when you take the medication frequently or when it is rubbed on the skin or given by injection, rather than taken by mouth. The primary goal when treating an allergic drug reaction is symptom relief. Symptoms such as rash, hives, and itching can often be controlled with antihistamines, and occasionally corticosteroids.For coughing and lung congestion, drugs called bronchodilators may be prescribed to widen the airways. For more serious anaphylactic symptoms -- life-threatening allergic reactions including difficulty breathing or loss of consciousness -- epinephrine may be given.Occasionally, desensitization is used to treat a penicillin allergy or other drug allergy. This technique decreases your body's sensitivity to particular allergy-causing agents. Tiny amounts of penicillin are injected periodically in increasingly larger amounts until your immune system learns to tolerate the drug. There is a high risk of anaphylaxis associated with this procedure so desensitization is typically only reserved for patients with no other drug therapeutic options.
Abstract - Pharma - 07
Edible fruits for diabetes Jayashree and Sabana M
Saveetha Dental College, Saveetha University, Chennai-600077
Diabetes mellitus is a complex metabolic disorder resulting from either insulin insufficiency or insulin dysfunction. Type I diabetes (insulin dependent) is caused due to insulin insufficiency because of lack of functional beta cells. Patients suffering from Type I diabetes are therefore totally dependent on exogenous source of insulin while patients suffering from Type II diabetes are insulin independent (insulin resistance with obesity and diet as contributors), can be treated with dietary changes, exercise and medication with oral hypoglycaemic agents like sulphonyl ureas, biguanides, meglitinides, thiazolinediones or alpha glucosidase inhibitors. Type II diabetes is the more common form of diabetes constituting 90% of the diabetic population. Symptoms of diabetes include hyperglycaemia, polydipsia (unusual thirst) polyuria (frequent urination), polyphagia (extreme hunger) and loss of weight, blurred vision, nausea and vomiting, extreme weakness and tiredness; irritability, mood changes etc.Though pathophysiology of diabetes remains to be fully understood, experimental evidences suggest the involvement of free radicals in the pathogenesis of diabetes. Many recent studies reveal that antioxidants capable of neutralizing free radicals are effective in preventing experimentally induced diabetes in animal models as well as reducing the severity of diabetic complications. As per the studies made on diabetic patients, health practitioners prefer including more amount of fibre rich fruits in their diet. These fruits with low sugar concentration helps in controlling blood sugar level to a maximum extend. Moreover, intake of fibre rich fruits helps in maintaining cholesterol level which in turn normalizes the metabolic rate of the body. It is better to prefer fresh fruits rather than dry fruits for maximum utilization of food intake. Apple, pear, peach, orange, kiwi and plum are fruits favourable for diabetic patients. These fruits are rich with high protein concentration than sugar concentration. Extracts from some fruits like guava helps in lowering blood sugar level. Grape fruit coming under citrus fruit family is yet another favourable fruit helping for maintaining controlled blood glucose level. Intake of these fruits promotes insulin production there by managing diabetes. Certain fruits like Jackfruit, raisins and apricot are rich with more carbohydrate concentration than protein.
PHYSIOLOGY (ORAL PRESENTATIONS)
Abstract - Physio -01
Stroke in hypertension
Fathima,
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Stroke is a disease that affects the blood vessel that supplies blood to the brain. A stroke occurs when a blood vessel to the brain is either blocked by a clot (ischemic stroke) or bursts (hemorrhagic stroke). When that happens, part of the brain is no longer getting the blood and oxygen it needs, so it starts to die. Your brain controls your movement and thoughts, so a stroke doesn't only hurt your brain. It also hurts the brain's ability to think and control body functions. Strokes can affect language, memory and vision as well as cause paralysis and other health issue. There are two types of stroke: Ischemic stroke is similar to a heart attack, except it occurs in the blood vessels of the brain. Clots can form either in the brain's blood vessels, in blood vessels leading to the brain, or even blood vessels elsewhere in the body which then travel to the brain. These clots block blood flow to the brain's cells. Ischemic stroke can also occur when too much plaque (fatty deposits and cholesterol) clogs the brain's blood vessels. About 80% of all strokes are ischemic stroke. Hemorrhagic strokes occur when a blood vessel in the brain breaks or ruptures. The result is blood seeping into the brain tissue, causing damage to brain cells. The most common causes of hemorrhagic stroke are high blood pressure and brain aneurysms. An aneurysm is a weakness or thinness in the blood vessel wall that causes it to balloon outward. Common signs and symptoms of a stroke: The most common signs and symptoms of having a stroke include: severe headache, confusion, feeling unsteady or losing co-ordination, slurring words or having difficulty understanding what people are saying, suddenly losing vision or blurred vision, feeling numb or weak (or being paralysed) on one side of the body.
Abstract - Physio -02
Sprint Vs Marathon
Ashwin
Saveetha Dental College And Hospital, Saveetha University, Chennai – 600077
The sprint: The speed and power of a sprinter comes from the use of fast-twitch muscle fibers. As their name implies, these muscle fibers fire rapidly with great force. But they also tire just as quickly. Fast-twitch fibers aren't any stronger than other muscle fibers, but they use the anaerobic energy system. While both the anaerobic and aerobic systems use carbohydrates for fuel, the anaerobic system uses chemical compounds in the body, rather than oxygen, to break them down. These compounds release waste products that cause the muscles to fatigue completely within minutes thus the short duration of a high-intensity activity. The long workout: The marathon: We can probably all agree that a marathon is "intense," but in reality, it requires a lower intensity physiologically than a sprint because of its duration. This endurance activity requires the use of slow-twitch muscle fibers. They fire more slowly than fast twitch and take a much longer time to fatigue. They rely on the aerobic energy system, which uses oxygen to break up carbohydrates (in the form of glycogen), for fuel. Couple of core reasons being planning and perseverance. A marathon runner has to plan and run the whole 26 miles. Train for it. Conserve the energy to finish it. Be persistent to continue at several points on the way when the common human instinct is to give up. And the most important thing, for someone who has been a sprinter, is to take the leap and give up sprinting to become a marathon runner. Sprinting, a simple form of speed training exercise, offers more than just calorie burning. Certain enzymes become abundant within the body each time sprinting occurs. These enzymes, along with normal cell functions, help the body store more calories and energy within the muscle tissue rather than the fat storages within the body. Through this process, the body steadily depletes all of its fat storages that normally account for weight gain. Sprinting also increases the amount of impact training involved in a workout regimen. The high level of impact involved in sprinting increases bone strength and density. Impact exercises also aid the building of new muscle tissue around the bones and throughout the rest of the body. Sprinting naturally increases the body's endurance strength, making longer cardio and muscle strengthening training sessions easier to complete. Through sprinting and speed training exercise, the body increases its ability to store oxygen, which helps the muscles function in all forms of exercise.
Abstract - Physio -03
Thalassemia Preksha,
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Thalassemia is a group of inherited blood disorders that affect the body's ability to produce hemoglobin and red blood cells - patients have a lower-than-normal number of red blood cells in their bodies and too little hemoglobin. In many cases the red blood cells are too small. The bone marrow of people with Thalassemia does not produce enough healthy hemoglobin or red blood cells, which causes anemia and fatigue because the body is short of oxygen. In more severe Thalassemia cases, the patient's organs may be damaged; there is restricted growth, heart failure, liver damage, and even death. People with mild thalassemia may not require any treatment at all. In more severe forms of the disease, the patient may need regular blood transfusions. Doing plenty of exercises and eating a healthy diet can help some of the symptoms of thalassemia, especially fatigue. A complete blood count (CBC) to measure hemoglobin levels, quantities of red blood cells and their size. Not only do patients with thalassemia have less hemoglobin than normal, their red blood cells may be particularly small. Chorionic villus sampling - a piece of the placenta is taken out and checked in the laboratory. This is usually done at the end of the first trimester, around the 11th week of pregnancy. Amniocentesis - a sample of amniotic fluid is taken. This usually occurs during the 16th week of pregnancy. Amniotic fluid is a clear, slightly yellowish liquid that surrounds the fetus. Bone marrow transplant - also called a stem cell transplant. Bone marrow is a spongy tissue that exists in the hollow centers of large bones. Bone marrow cells produce red and white blood cells, hemoglobin and platelets. Complications of thalassemia: Enlarged spleen (splenomegaly) - also known as hypersplenism. The spleen recycles red blood cells. In patients with thalassemia the red blood cells may have an abnormal shape, making it harder for the spleen to recycle them; the red blood cells accumulate in the spleen, making it grow. An enlarged spleen can become overactive - it starts destroying healthy blood cells the patient receives during transfusions. Sometimes the patient may need a splenectomy (surgical removal of the spleen)
Abstract - Physio -04
Physiology of Shock Noorul Rizwana,
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Shock, in physiology, failure of the circulatory system to supply sufficient blood to peripheral tissues to meet basic metabolic requirements for oxygen and nutrients and the incomplete removal of metabolic wastes from the affected tissues. Shock is usually caused by hemorrhage or overwhelming infection and is characterized in most cases by a weak, rapid pulse; low blood pressure; and cold, sweaty skin. Depending on the cause, however, some or all of these symptoms may be missing in individual cases. The most common cause of shock by dilation of the blood vessels is massive bacterial infection, which may be further exacerbated by reductions in total blood volume caused by fluid losses secondary to the infection. Generally, toxins produced by the bacteria are the cause of the dilation. Foreign substances in the bloodstream can also produce a form of shock, called anaphylactic shock, through allergic reactions causing blood vessels to dilate. Another possible cause of shock through vascular dilation is drugs; many anesthetic drugs create a controlled shock that must be carefully monitored by adjusting dosage, and overdoses of several such drugs, including barbiturates and narcotics, produce shock symptoms. In an ischemic stroke, blood supply to part of the brain is decreased, leading to dysfunction of the brain tissue in that area. There are four reasons why this might happen: Thrombosis (obstruction of a blood vessel by a blood clot forming locally)Embolism (obstruction due to an embolus from elsewhere in the body, see below), Systemic hypoperfusion (general decrease in blood supply, e.g., in shock) Venous thrombosis Intracranial hemorrhage is the accumulation of blood anywhere within the skull vault. A distinction is made between intra-axial hemorrhage (blood inside the brain) and extra-axial hemorrhage (blood inside the skull but outside the brain). Intra-axial hemorrhage is due to intraparenchymal hemorrhage or intraventricular hemorrhage (blood in the ventricular system). The main types of extra-axial hemorrhage are epidural hematoma (bleeding between the dura mater and the skull), subdural hematoma (in the subdural space) and subarachnoid hemorrhage (between the arachnoid mater and pia mater). Most of the hemorrhagic stroke syndromes have specific symptoms (e.g., headache, previous head injury).Symptoms: Loss of consciousness, headache, and vomiting usually occurs more often in hemorrhagic stroke than in thrombosis because of the increased intracranial pressure from the leaking blood compressing the brain. If symptoms are maximal at onset, the cause is more likely to be a subarachnoid hemorrhage or an embolic stroke.
Abstract - Physio -05
Madras Motor Neuron Disease Shilpa
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Madras motor neuron disease (MMND) is characterized by weakness and atrophy of limbs, multiple lower cranial nerve palsies and sensorineural hearing loss. Isolated MMND cases have been reported from Thailand and Italy. Onset occurs at a young age with a slight male preponderance or equal sex distribution. Parental consanguinity has been reported in some cases. Main clinical features include thin habitus, wasting and weakness predominantly of the distal limb muscles, involvement of facial and bulbar muscles, and pyramidal dysfunction. Multiple cranial nerve palsies particularly involve the 7th, and the 9th to 12th cranial nerves. Hearing impairment was described in all patients. Optic atrophy is reported in some patients. The etiopathogenesis of MMND remains unknown. The majority of cases are sporadic. A few familial cases have been reported, but the mode of inheritance is yet to be determined. Inflammation and/or environmental factors may play a role in the etiology of MMND. Diagnosis is clinical and is supported by the association of benign focal atrophy of the extremities with hearing impairment. Neuroimaging studies may help to distinguish MMND from other motor neuron diseases. Differential diagnoses include amyotrophic lateral sclerosis, spinocerebellar ataxia syndromes, Brown-Vialetto-Van Laere syndrome, progressive muscular atrophy, postpolio progressive muscular atrophy, and spinal muscular atrophy (see these terms). Currently, there is no cure for MMND. Management should involve a multidisciplinary team (neurologists, physical therapists, occupational therapists, palliative care specialists, specialist nurses and psychologists) and should focus on the relief of symptoms. Predominant initial manifestations were impaired hearing with wasting and weakness of distal limb muscles and pyramidal dysfunction. All patients had clinical and/or audiological evidence of hearing impairment. Patients with MMNDV in addition had optic atrophy. Thus, Madras motor neuron disease is clinically a distinct entity with features of amyotrophic lateral sclerosis but with young age of onset and presence of auditory neuropathy. Studies to look for environmental and genetic basis of this intriguing disease are necessary to find the causation of this rare disorder. Currently, there is no cure for MMND. Management should involve a multidisciplinary team (neurologists, physical therapists, occupational therapists, palliative care specialists, specialist nurses and psychologists) and should focus on the relief of symptoms. Symptomatic treatment and supportive care can help patients to maintain their daily living activities. Patients should be offered hearing aids. The disease shows a slowly progressive but benign course. Most of the reported patients survived for over 30 years after the onset of the disease.
Abstract - Physio -06
Effect of alcohol on nervous system Sosa George Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Short-term effects of alcohol can take on many forms. The drug alcohol, to be specific ethanol, is a central nervous system depressant with a range of side-effects. Cell membranes are highly permeable to alcohol, so once alcohol is in the bloodstream it can diffuse into nearly every biological tissue of the body. The concentration of alcohol in blood is usually measured in terms of the blood alcohol content. The amount and circumstances of consumption play a large part in determining the extent of intoxication; for example, eating a heavy meal before alcohol consumption causes alcohol to absorb more slowly. After excessive drinking, unconsciousness can occur and extreme levels of consumption can lead to alcohol poisoning and death (a concentration in the blood stream of 0.40% will kill half of those affected. Alcohol may also cause death by asphyxiation from vomit. The long-term effects of alcohol (ethanol) consumption range from cardioprotective health benefits for low to moderate alcohol consumption in industrialized societies with higher rates of cardiovascular disease to severe detrimental effects in cases of chronic alcohol abuse. High levels of alcohol consumption are associated with an increased risk of alcoholism, malnutrition, chronic pancreatitis, alcoholic liver disease, and cancer. In addition, damage to the central nervous system and peripheral nervous system can occur from chronic alcohol abuse. The long-term use of alcohol is capable of damaging nearly every organ and system in the body. The developing adolescent brain is particularly vulnerable to the toxic effects of alcohol. In addition, the developing fetal brain is also vulnerable, and fetal alcohol syndrome (FAS) may result if pregnant mothers consume alcohol. Depression, anxiety and panic disorder are disorders commonly reported by alcohol dependent people. Alcoholism is associated with dampened activation in brain networks responsible for emotional processing. Evidence that the mental health disorders are often induced by alcohol misuse via distortion of brain neurochemistry is indicated by the improvement or disappearance of symptoms that occurs after prolonged abstinence, although problems may worsen in early withdrawal and recovery periods. Psychosis is secondary to several alcoholrelated conditions including acute intoxication and withdrawal after significant exposure. Chronic alcohol misuse can cause psychotic type symptoms to develop, more so than with other drugs of abuse. Alcohol abuse has been shown to cause an 800% increased risk of psychotic disorders in men and a 300% increased risk of psychotic disorders in women which are not related to pre-existing psychiatric disorders.
Abstract - Physio -07
Stress Sanjana,
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Homeostasis is a concept central to the idea of stress. In biology, most biochemical processes strive to maintain equilibrium, a steady state that exists more as an ideal and less as an achievable condition. Environmental factors, internal or external stimuli, continually disrupt homeostasis; an organism's present condition is a state of constant flux moving about a homeostatic point that is that organism's optimal condition for living. Factors causing an organism's condition to diverge too far from homeostasis can be experienced as stress. A lifethreatening situation such as a physical insult or prolonged starvation can greatly disrupt homeostasis. On the other hand, an organism's effortful attempt at restoring conditions back to or near homeostasis, often consuming energy and natural resources, can also be interpreted as stress. In such instances, an organism's fight-or-flight response recruits the body's energy stores and focuses attention to overcome the challenge at hand. Cognitive symptoms: Memory problems, Inability to concentrate, Poor judgment, Pessimistic approach or thoughts, Anxious or racing thoughts, Constant worrying. Emotional symptoms: Moodiness, Irritability or short temper, Agitation, inability to relax, Feeling overwhelmed, Sense of loneliness and isolation, Depression or general unhappiness. Measuring stress level independent of differences in people's personalities has been inherently difficult: Some people are able to process many stressors simultaneously, while others can barely address a few. Such tests as the Trier Social Stress Test attempted to isolate the effects of personalities on ability to handle stress in a laboratory environment. Other psychologists, however, proposed measuring stress indirectly, through selftests. Stress is a person's response to a stressor such as an environmental condition or a stimulus. Stress is a body's method of reacting to a challenge. According to the stressful event, the body's way to respond to stress is by sympathetic nervous system activation which results in the fightor-flight response. Stress typically describes a negative condition or a positive condition that can have an impact on a person's mental and physical well-being.
Abstract - Physio -08
Stem cell therapy Vinodha,
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Stem cell therapy is an intervention strategy that introduces new adult stem cells into damaged tissue in order to treat disease or injury. Many medical researchers believe that stem cell treatments have the potential to change the face of human disease and alleviate suffering. The ability of stem cells to self-renew and give rise to subsequent generations with variable degrees of differentiation capacities, offers significant potential for generation of tissues that can potentially replace diseased and damaged areas in the body, with minimal risk of rejection and side effects. There are two types treatments: Autogenic stem cell therapy: This method uses the patient's own stem cells (adult stem cells) which are obtained from the blood, bone marrow etc. Allogenic stem cell therapy: This therapy uses donated stem cells. The disadvantage in this therapy is that in a number of cases these donor stem cells may be rejected. This method of stem cell therapy has not yet been legalised in India. A number of stem cell therapies exist, but most are at experimental stages, costly or controversial, with the notable exception of bone-marrow transplantation. Medical researchers anticipate that adult and embryonic stem cells will soon be able to treat cancer, Type 1 diabetes mellitus, Parkinson's disease, Huntington's disease, Celiac disease, cardiac failure, muscle damage and neurological disorders, and many others. Nevertheless, before stem cell therapeutics can be applied in the clinical setting, more research is necessary to understand stem cell behavior upon transplantation as well as the mechanisms of stem cell interaction with the diseased/injured microenvironment. The development of gene therapy strategies for treatment of intra-cranial tumours offer much promise, and has shown to be successful in the treatment of some dogs; although research in this area is still at an early stage. Using conventional techniques, brain cancer is difficult to treat because it spreads so rapidly. Researchers at the Harvard Medical School transplanted human neural stem cells into the brain of rodents that received intracranial tumors. Within days, the cells migrated into the cancerous area and produced cytosine deaminase, an enzyme that converts a non-toxic pro-drug into a chemotheraputic agent. As a result, the injected substance was able to reduce the tumor mass by 81 percent. The stem cells neither differentiated nor turned tumorigenic.
Abstract - Physio - 09
Blood disorder Swathi
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Blood is living tissue made up of liquid and solids. The liquid part, called plasma, is made of water, salts and protein. Over half of your blood is plasma. The solid part of your blood contains red blood cells, white blood cells and platelets. Blood disorders affect one or more parts of the blood and prevent your blood from doing its job. They can be acute or chronic. Many blood disorders are inherited. Other causes include other diseases, side effects of medicines, and a lack of certain nutrients in your diet. Iron deficiency anemia. In the United States, about 17% of anemia cases among the elderly are attributable to iron-deficiency. Iron is the key oxygenbinding element in hemoglobin, a red blood cell component that allows for oxygen transport and dispersion throughout the body. Also, low iron levels are associated with impaired red blood cell production. Moreover, occult bleeding from the gastrointestinal tract an important cause of irondeficiency anemia in men and postmenopausal women, and gastrointestinal bleeding is found in about half of all patients with iron deficiency anemia. Leukopenia is a condition of reduced white blood cells (leukocytes). Neutrophils, the most abundant leukocytes, are involved in killing pathogens; thus, leukopenia is associated with an increased risk of bacterial and fungal infections. The myelodysplastic syndromes (MDS) are another group of blood disorders that affect around 2,000 people in the UK. Usually people with MDS make far too many blood cells, but these are mostly defective and not able to do their jobs properly. In fact most of these cells are destroyed before even entering the blood stream meaning that people with MDS have far too few cells in their blood. Aplastic anaemia is another rare blood disorder that results in not enough blood cells being produced. However, unlike MDS and MPN, this disorder does not result in the production of cancerous or abnormal blood cells, rather a lack of healthy blood cells.
Abstract - Physio - 10
Hashimotto Disease
Yen Lai Kee
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Hashimoto's disease is a condition in which your immune system attacks your thyroid, a small gland at the base of your neck below your Adam's apple. The thyroid gland is part of your endocrine system, which produces hormones that coordinate many of your body's activities. Diagnosis begins with a physical examination and medical history. An enlarged thyroid gland may be detectable during a physical exam and symptoms may suggest hypothyroidism. Doctors will then do several blood tests to confirm the diagnosis. The ultrasensitive TSH test is usually the first test performed. This blood test is the most accurate measure of thyroid activity available. Generally, a TSH reading above normal means a person has hypothyroidism. In people who produce too little thyroid hormone, the pituitary makes TSH continuously, trying to get the thyroid to produce more thyroid hormone. The T4 test measures the actual amount of circulating thyroid hormone in the blood. In subclinical hypothyroidism, the level of T4 in the blood is normal, but as the disease progresses, T4 levels drop below normal. Treatment generally depends on whether the thyroid is damaged enough to cause hypothyroidism. In the absence of hypothyroidism, some doctors treat Hashimoto's disease to reduce the size of the goiter. Others choose not to treat the disease and simply monitor their patients for disease progression. Hashimoto's disease, with or without hypothyroidism, is treated with synthetic thyroid hormone. Doctors prefer to use synthetic T4 such as Synthroid rather than synthetic T3 because T4 stays in the body longer, ensuring a steady supply of thyroid hormone throughout the day. The so-called "natural" thyroid preparations made with desiccated animal thyroid are rarely prescribed today. The exact dose of synthetic thyroid hormone depends on a person's age and weight; the severity of the hypothyroidism, if present; the presence of other health problems; and the use of other medications such as cholesterol-lowering drugs that could interfere with the action of synthetic thyroid hormone. Doctors routinely test the blood of patients taking synthetic thyroid hormone and make dosage adjustments as necessary. A normal, healthy thyroid and metabolic state can be restored with the use of synthetic thyroid hormone.
Abstract - Physio - 11
Salivary bio markers and its application Manjusha
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Three necessary prerequisites: (i) a simple method for collecting biologic samples, ideally noninvasively; (ii) specific biomarkers associated with health or disease; and (iii) a technology platform to rapidly utilize the biomarkers. Saliva, often regarded as the 'mirror of the body', is a perfect surrogate medium to be applied for clinical diagnostics. Saliva is readily accessible via a totally noninvasive method. Salivary biomarkers, whether produced by healthy individuals or by individuals affected by specific diseases, are sentinel molecules that could be used to scrutinize health and disease surveillance. The visionary investment by the US National Institute of Dental and Craniofacial Research, the discovery of salivary biomarkers, and the ongoing development of salivary diagnostic technologies has addressed its diagnostic value for clinical applications. The availability of more sophisticated analytic techniques gives optimism that saliva can eventually be placed as a biomedium for clinical diagnostics. Analysis of inflammatory biomarkers in saliva could offer an attractive opportunity for the diagnosis of different systemic conditions specifically in epidemiological surveys. The aim of this study was to investigate if certain salivary biomarkers could be used for detection of common systemic diseases. A randomly selected sample of 1000 adults living in Skåne, a county in the southern part of Sweden, was invited to participate in a clinical study of oral health. 451 individuals were enrolled in this investigation, 51% women. All participants were asked to fill out a questionnaire, history was taken, a clinical examination was made and stimulated saliva samples were collected. Salivary concentrations of IL-1β, -6, -8, TNF-α, lysozyme, MMP-8 and TIMP-1 were determined using ELISA, IFMA or Luminex assays. Saliva as a diagnostic fluid has significant biochemical and logistical advantages when compared with blood. Biochemically, saliva is a clear liquid with an average protein concentration of 1.5 to 2 mg/mL. As a consequence of this low protein concentration, it was once assumed that this was a major drawback for using saliva as diagnostic fluid; however, current ultrasensitive analytic detection techniques have eliminated this barrier. Saliva specimen preparation is simple, involving centrifugation before storage and the addition of a cocktail of protease inhibitors to reduce protein degradation for long-term storage.
Abstract - Physio - 12
High altitude physiology Durga Saveetha Dental College And Hospital, Saveetha University, Chennai – 600077
The effects of high altitude on humans are considerable. The percentage saturation of hemoglobin with oxygen determines the content of oxygen in our blood. After the human body reaches around 2,100 m (7,000 feet) above sea level, the saturation of oxyhemoglobin begins to plummet. However, the human body has both short-term and long-term adaptations to altitude that allow it to partially compensate for the lack of oxygen. Athletes use these adaptations to help their performance. There is a limit to the level of adaptation; mountaineers refer to the altitudes above 8,000 metres (26,000 ft) as the "death zone", where no human body can acclimatize. Altitude sickness also known as acute mountain sickness (AMS), altitude illness, hypobaropathy, "the altitude bends", or soroche is a pathological effect of high altitude on humans, caused by acute exposure to low partial pressure of oxygen at high altitude. It commonly occurs above 2,400 metres (8,000 feet). It presents as a collection of nonspecific symptoms, acquired at high altitude or in low air pressure, resembling a case of "flu, carbon monoxide poisoning, or a hangover". It is hard to determine who will be affected by altitude sickness, as there are no specific factors that correlate with a susceptibility to altitude sickness. However, most people can ascend to 2,400 metres (8,000 ft) without difficulty. The available amount of oxygen to sustain mental and physical alertness decreases with altitude. Available oxygen drops as the air density itself, the number of molecules (of both oxygen and nitrogen) per given volume, drops as altitude increases. However, the percentage of oxygen in air, at 21%, remains almost unchanged up to 21,000 metres(69,000 ft). The RMS velocities of diatomic nitrogen and oxygen are very similar and thus no change occurs in the ratio of oxygen to nitrogen. Dehydration due to the higher rate of water vapor lost from the lungs at higher altitudes may contribute to the symptoms of altitude sickness. At higher altitudes, our bodies make adjustments: creating more red blood cells to carry oxygen through the bloodstream, pushing air into normally unused portions of the lungs and producing citrate synthase, a special enzyme that helps the oxygen found in hemoglobin make its way into body tissue. High altitude also triggers an increase in our heartbeat, breathing and urination. The low humidity and low air pressure at high altitudes causes moisture from your skin and lungs to evaporate at a faster pace and your body's increased exertion requires even more water to keep it hydrated.
PHYSIOLOGY (POSTER PRESENTATIONS)
Abstract - Physio -01
Cystic fibrosis Looi & Kentrick, Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Cystic fibrosis (CF), also known as mucoviscidosis, is an autosomal recessive genetic disorder that affects most critically the lungs, and also the pancreas, liver, and intestine. It is characterized by abnormal transport of chloride and sodium across an epithelium, leading to thick, viscous secretions. The hallmark signs and symptoms of cystic fibrosis are salty tasting skin, poor growth and poor weight gain despite a normal food intake, accumulation of thick, sticky mucus, frequent chest infections, and coughing or shortness of breath. Males can be infertile due to congenital absence of the vas deferens. Symptoms often appear in infancy and childhood, such as bowel obstruction due to meconium ileus in newborn babies. As the children grow, they must exercise to release mucus in the alveoli. Ciliated epithelial cells in the patient have a mutated protein that leads to abnormally viscous mucus production. The poor growth in children typically presents as an inability to gain weight or height at the same rate as their peers and is occasionally not diagnosed until investigation is initiated for poor growth. The causes of growth failure are multifactorial and include chronic lung infection, poor absorption of nutrients through the gastrointestinal tract, and increased metabolic demand due to chronic illness. Doctors diagnose cystic fibrosis based on the results from various tests. The most commonly used test is a sweat chloride test, which measures the concentration of chloride in sweat. Direct genetic testing to identify the CF mutation is also used. Most U.S. States screen newborns for cystic fibrosis. Cystic fibrosis has no cure. However, treatments have greatly improved in recent years. Treatment may include nutritional and respiratory therapies, medicines, exercise, and more. Early treatment for cystic fibrosis can improve both quality of life and lifespan.CF is due to a mutation in the CF gene on chromosome 7. The CF gene encodes a protein known as the cystic fibrosis Trans membrane regulator (CFTR). The abnormal CFTR protein in patients with CF leads to disruption of chloride channels on the cells.CF is characterized by the production of abnormal mucus that is excessively thick and sticky. The abnormal mucus leads to blockages within the lungs and airways. This leads to repeated, serious lung infections that can damage the lungs. The buildup of mucus makes it easy for bacteria to grow. This leads to repeated, serious lung infections. Over time, these infections can severely damage your lungs. The thick, sticky mucus also can block tubes, or ducts, in your pancreas (an organ in your abdomen)
Abstract - Physio -02
Atherosclerosis Athiban & Harish, Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Atherosclerosis (also known as arteriosclerotic vascular disease or ASVD) is a specific form of arteriosclerosis in which an artery wall thickens as a result of the accumulation of calcium and fatty materials such as cholesterol and triglyceride. It reduces the elasticity of the artery walls and therefore allows less blood to travel through. This also increases blood pressure. It is a syndrome affecting arterial blood vessels, a chronic inflammatory response in the walls of arteries, caused largely by the accumulation of macrophages and white blood cells and promoted by low-density lipoproteins (LDL, plasma proteins that carry cholesterol and triglycerides) without adequate removal of fats and cholesterol from the macrophages by functional highdensity lipoproteins (HDL). It is commonly referred to as a hardening or furring of the arteries. It is caused by the formation of multiple plaques within the arteries" Atherosclerosis starts when high blood pressure, or high cholesterol damage the endothelium," says Richard Stein, MD, national spokesperson for the American Heart Association. "At that point, cholesterol plaque formation begins. Cholesterol invasion, Bad cholesterol, or LDL, crosses damaged endothelium. The cholesterol enters the wall of the artery. Blockage in the coronary arteries, which are responsible for bringing oxygenated blood to the heart, can have symptoms such as chest pain of angina and shortness of breath, sweating, nausea, dizziness or light-headedness, breathlessness or palpitations. An abnormal heart rhythm called arrhythmias, where the heart is either beating too slow or too fast, is also considered a symptom. Carotid arteries are used to supply blood to the brain and neck. Blockage in them present symptoms such as a feeling of weakness, not being able to think straight, difficulty in speaking, being dizzy and difficulty in walking or standing up straight, blurred vision, numbness of the face, arms, and legs, severe headache and losing consciousness. They can stay within the artery wall. There, the plaque grows to a certain size and stops. "Because they don't block blood flow, these plaques may never cause any symptoms," says Stein. They can grow in a slow, controlled way into the path of blood flow. Eventually, they cause significant blockages. Pain on exertion (in the chest or legs) is the usual symptom. The worst-case scenario: plaques can suddenly rupture, allowing blood to clot inside an artery. In the brain, this causes a stroke; in the heart, a heart attack.
Abstract - Physio - 03
Hypertension Pradeep Kumar & Praveen, Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Hypertension (HTN) or high blood pressure, sometimes called arterial hypertension, is a chronic medical condition in which the blood pressurein the arteries is elevated. Blood pressure is summarised by two measurements, systolic and diastolic, which depend on whether the heart muscle is contracting (systole) or relaxed between beats (diastole). This equals the maximum and minimum pressure, respectively. Normal blood pressure at rest is within the range of 100140mmHg systolic (top reading) and 60-90mmHg diastolic (bottom reading). High blood pressure is said to be present if it is often at or above 140/90 mmHg. Hypertension is classified as either primary (essential) hypertension or secondary hypertension; about 90–95% of cases are categorized as "primary hypertension" which mIn the UK, about half of people aged over 65, and about 1 in 4 middle-aged adults, have high blood pressure. It is less common in younger adults. Most cases are mildly high (up to 160/100 mm Hg). However, at least 1 in 20 adults have blood pressure of 160/100 mm Hg or above. High blood pressure is more common in people: With diabetes. About 3 in 10 people with type 1 diabetes and more than half of people with type 2 diabetes eventually develop high blood pressure. With certain lifestyle factors that is, those who: Are overweight. Eat a lot of salt. Don't eat sufficient fruit and vegetables. Don't take enough exercise. Drink a lot of coffee (or other caffeine-rich drinks). Drink a lot of alcohol. A substantial body of evidence strongly supports the concept that multiple dietary factors affect blood pressure (BP). Well-established dietary modifications that lower BP are reduced salt intake, weight loss, and moderation of alcohol consumption (among those who drink). Over the past decade, increased potassium intake and consumption of dietary patterns based on the "DASH diet" have emerged as effective strategies that also lower BP. Of substantial public health relevance are findings related to blacks and older individuals. Specifically, blacks are especially sensitive to the BP-lowering effects of reduced salt intake, increased potassium intake, and the DASH diet. In non-hypertensive individuals, dietary changes can lower BP and prevent hypertension. In uncomplicated stage I hypertension (systolic BP of 140 to 159 mm Hg or diastolic BP of 90 to 99 mm Hg), dietary changes serve as initial treatment before drug therapy.
Abstract - Physio - 04
Anemia
Sivapriya & Lakshmi, Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Anemia is the most common disorder of the blood. The several kinds of anemia are produced by a variety of underlying causes. It can be classified in a variety of ways, based on the morphology of RBCs, underlying etiologic mechanisms, and discernible clinical spectra, to mention a few. The three main classes include excessive blood loss (acutely such as a hemorrhage or chronically through low-volume loss), excessive blood cell destruction (hemolysis) or deficient red blood cell production (ineffective hematopoiesis). There are many types of anemia. All are very different in their causes and treatments. Iron-deficiency anemia, the most common type, is very treatable with diet changes and iron supplements. Some forms of anemia like the anemia that develops during pregnancy are even considered normal. However, some types of anemia may present lifelong health problems. Anemia Caused by Blood Loss Red blood cells can be lost through bleeding, which can occur slowly over a long period of time, and can often go undetected. This kind of chronic bleeding commonly results from the following Gastrointestinal conditions such as ulcers, hemorrhoids, gastritis (inflammation of the stomach), and cancer, Use of nonsteroidal anti-inflammatory drugs (NSAIDS) such as aspirinor ibuprofen, which can cause ulcers and gastritis Anemia is a medical condition in which the red blood cell count or hemoglobin is less than normal. For men, anemia is typically defined as hemoglobin level of less than 13.5 gram/100 ml and in women as hemoglobin of less than 12.0 gram/100 ml. Anemia is caused by either a decrease in production of red blood cells or hemoglobin, or an increase in loss or destruction of red blood cells. Some patients with anemia have no symptoms. Others may feel tired, easily fatigued, appear pale, a feeling of heart racing, short of breath, and/or worsening of heart problems. Anemia can be detected by a simple blood test called a complete blood cell count (CBC). The treatment of the anemia varies greatly and very much depends on the particular cause. In severe anemia, there may be signs of a hyperdynamic circulation: tachycardia (a fast heart rate), bounding pulse, flow murmurs, and cardiacventricular hypertrophy (enlargement). There may be signs of heart failure. Chronic anemia may result in behavioral disturbances in children as a direct result of impaired neurological development in infants, and reduced scholastic performance in children of school age. Restless legs syndrome is more common in those with iron-deficiency anemia.
Abstract - Physio - 05
Fetal circulation Pavithra.G & Monica Saveetha dental college and hospital, Saveetha University, Chennai - 600077
The fetal circulation is the circulatory system of a human fetus, often encompassing the entire fetoplacental circulation which includes the umbilical cord and the blood vessels within the placenta that carry fetal blood. The fetal circulatory system uses two right to left shunts, which are small passages that direct blood that needs to be oxygenated. The purpose of these shunts is to bypass certain body parts – in particular, the lungs and liver – that are not fully developed while the fetus is still in the womb. The shunts that bypass the lungs are called the foramen ovale, which moves blood from the right atrium of the heart to the left atrium, and the ductus arteriosus, which moves blood from the pulmonary artery to the aorta. Oxygen and nutrients from the mother's blood are transferred across the placenta to the fetus. The enriched blood flows through the umbilical cord to the liver and splits into three branches. The blood then reaches the inferior vena cava, a major vein connected to the heart. Most of this blood is sent through the ductus venosus, also a shunt that passes highly oxygenated blood through the liver to the inferior vena cava and then to the right atrium of the heart. A small amount of this blood goes directly to the liver to give it the oxygen and nutrients it needs. Waste products from the fetal blood are transferred back across the placenta to the mother's blood. Persistent fetal circulation (PFC), also known as persistent pulmonary hypertension of the newborn, is defined as postnatal persistence of right-to-left ductal or atrial shunting, or both in the presence of elevated right ventricular pressure. It is a relatively rare condition that is usually seen in newborns with respiratory distress syndrome, overwhelming sepsis, meconium and other aspiration syndromes, intrauterine hypoxia and ischemia, and/or neonatal hypoxia and ischemia. This condition causes severe hypoxemia, and, as a result, has significant morbidity and mortality. Improved antenatal and neonatal care; the use of surfactant; continuous monitoring of oxygenation, blood pressure and other vital functions; and early recognition and intervention have made this condition even more rare. In modern neonatal intensive care units, anticipation and early treatment of PFC and its complications in sick newborns are commonplace. Thus, severe forms of PFC are only seen on isolated occasions
Abstract - Physio - 06
Human heart formation by stem cells
Pavithra.P & Preethi,
Saveetha dental college and hospital, Saveetha University, Chennai - 600077
Stem cells are undifferentiated biological cells that can differentiate into specialized cells and can divide (through mitosis) to produce more stem cells. They are found in multicellular organisms. In mammals, there are two broad types of stem cells: embryonic stem cells, which are isolated from the inner cell mass of blastocysts, and adult stem cells, which are found in various tissues. In adult organisms, stem cells and progenitor cells act as a repair system for the body, replenishing adult tissues. In a developing embryo, stem cells can differentiate into all the specialized cells ectoderm, endoderm and mesoderm but also maintain the normal turnover of regenerative organs, such as blood, skin, or intestinal tissues. Stem cells are a class of undifferentiated cells that are able to differentiate into specialized cell types. Commonly, stem cells come from two main sources: Embryos formed during the blastocyst phase of embryological development (embryonic stem cells) and Adult tissue (adult stem cells). Both types are generally characterized by their potency, or potential to differentiate into different cell types (such as skin, muscle, bone, etc.).
Abstract - Physio - 07
Reuse of placental blood
Nirosa & Priyadharshini.R,
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
The placental circulation brings into close relationship two circulation systems: the maternal and the fetal. The supply of blood to the placenta is influenced by various factors, especially by the arterial blood pressure, uterine contractions, tobacco abuse, medications and hormones. Placental blood flow is increased at term and amounts to 500 ml/min (80% of the uterine perfusion). In humans, the placenta averages 22 cm (9 inch) in length and 2–2.5 cm (0.8–1 inch) in thickness, with the center being the thickest, and the edges being the thinnest. It typically weighs approximately 500 grams (1 lb). It has a dark reddish-blue or crimson color. It connects to the fetus by an umbilical cord of approximately 55–60 cm (22–24 inch) in length, which contains two umbilical arteries and one umbilical vein. The umbilical cord inserts into the chorionic plate (has an eccentric attachment). Vessels branch out over the surface of the placenta and further divide to form a network covered by a thin layer of cells. This results in the formation of villous tree structures. On the maternal side, these villous tree structures are grouped into lobules called cotyledons. In humans, the placenta usually has a disc shape, but size varies vastly between different mammalian specie In humans, the placenta averages 22 cm (9 inch) in length and 2–2.5 cm (0.8–1 inch) in thickness, with the center being the thickest, and the edges being the thinnest. It typically weighs approximately 500 grams (1 lb). It has a dark reddish-blue or crimson color. It connects to the fetus by an umbilical cord of approximately 55–60 cm (22– 24 inch) in length, which contains two umbilical arteries and one umbilical vein. [4] The umbilical cord inserts into the chorionic plate (has an eccentric attachment). Vessels branch out over the surface of the placenta and further divide to form a network covered by a In preparation for implantation of the blastocyst, the uterine endometrium undergoes "decidualisation". Spiral arteries in decidua are remodeled so that they become less convoluted and their diameter is increased. The increased diameter and straighter flow path both act to increase maternal blood flow to the placenta. The relatively high pressure as the maternal blood fills intervillous space through these spiral arteries bathes the fetal villi in blood, allowing an exchange of gases to take placethin layer of cells. This results in the formation of villous tree structures.
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Abstract - Physio - 08
Deep sea diving
Shamara & Shobana,
Saveetha Dental college and hospital, Saveetha University, Chennai – 600077
Deep diving has different meanings depending on the context. Even in recreational diving the meaning may vary: In recreational diving, a depth below about 30 metres (98 ft), where nitrogen narcosis becomes a significant hazard for most divers, may be considered a "deep dive" in recreational diving certification agencies, Deep diving, or Deep diver may be a certification awarded to divers that have been trained to dive to a specified depth range, generally deeper than 30 metres (98 ft). The Professional Association of Diving Instructors (PADI) defines anything from 18 metres (60 ft) to 30 metres (100 ft) as a "deep dive" (other diving organisations vary), and considers deep diving a form of technical diving. It is defined by the level of the diver's diver training, diving equipment, breathing gas, and surface support: In technical diving, a depth below about 60 metres (200 ft) where hypoxic breathing gas becomes necessary to avoid oxygen toxicity may be considered a "deep dive". In professional diving, a depth that requires special equipment, procedures, or advanced training is a deep dive. Deep diving can mean something else in the commercial diving field. For instance early experiments carried out by Comex S.A. (Compagnie maritime d'expertises) using hydrox and trimixattained far greater depths than any recreational technical diving. The open-sea diving depth record was achieved in 1988 by a team of Comex divers who performed pipe line connection exercises at a depth of 534 metres (1,752 ft) in the Mediterranean Sea as part of the Hydra 8 programme. These divers needed to breathe special gas mixtures because they were exposed to very high ambient pressure (more than 50 times atmospheric pressure. Deep diving obviously has more consequences and dangers than basic open water diving. Nitrogen narcosis, or the "narks" or "rapture of the deep", starts with feelings of euphoria and over-confidence but then lead to numbness and memory impairment similar to alcohol intoxication
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Abstract - Physio - 09
Blood transfusion
Vijayalakshmi & Vidhuna,
Saveetha dental college and hospital, Saveetha University, Chennai – 600077
Blood transfusion is generally the process of receiving blood products into one's circulation intravenously. Transfusions are used for various medical conditions to replace lost components of the blood. Early transfusions used whole blood, but modern medical practice commonly uses only components of the blood, such as red blood cells, white blood cells, plasma, clotting factors, and platelets. Units of packed red blood cells are typically only recommended when either a patient's hemoglobin level falls below 10g/dL or hematocrit falls below 30%; recently, this 'trigger' level has been decreased to 7-8g/dL, as a more restrictive strategy has been shown to have better patient outcomes. This is in part due to the increasing evidence that there are cases where patients have worse outcomes when transfused. [2] One may consider transfusion for people with symptoms of cardiovascular disease such as chest pain or shortness of breath. A unit (up to 500 ml) is typically administered over 4 hours. In patients at risk of congestive heart failure, many doctors administer a diuretic to prevent fluid overload, a condition called Transfusion Associated Circulatory Overload or TACO. Acetaminophen and/or an antihistamine such as diphenhydramine are sometimes given before the transfusion to prevent other types of transfusion reactions. Blood is most commonly donated as whole blood by inserting a catheter into a vein and collecting it in a plastic bag (mixed with anticoagulant) via gravity. Collected blood is then separated into components to make the best use of it. Aside from red blood cells, plasma, and platelets, the resulting blood component products also include albumin protein, clotting factor concentrates, cryoprecipitate, fibrinogen concentrate, and immunoglobulins (antibodies). Red cells, plasma and platelets can also be donated individually via a more complex process called apheresis. In developed countries, donations are usually anonymous to the recipient, but products in a blood bank are always individually traceable through the whole cycle of donation, testing, separation into components, storage, and administration to the recipient. This enables management and investigation of any suspected transfusion related disease transmission or transfusion reaction. In developing countries the donor is sometimes specifically recruited by or for the recipient, typically a family member, and the donation immediately before the transfusion.
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"...I will leave within you the meek and humble, who trust in the name of the LORD.» These are the remnant whom the apostle calls to mind when he quotes from an ancient prophesy: «Though the number of the Israelites be like the sand by the sea, only the remnant will be saved.» These are the remnant of that nation who have believed in Christ." 1 Christopher Columbus, discoverer of America "Throughout the Book of Prophecies the Admiral makes frequent reference to Rabbi Samuel's expositions of the Biblical texts. Rabbi Samuel was Nicholas of Lyra, a Jewish convert to the Christian faith, who was the greatest Hebraist of the Middle Ages and the author of the first printed commentary on the Bible. In his Glossa ordinaria, commenting on Matthew 24:14, Rabbi Samuel says: «And the Gospel of the kingdom will be preached, that is the Gospel of Christ, which shows the way to the kingdom of heaven... It must be taken into account that one thing is the future preaching of the gospel among all the peoples, as regards its effectiveness, and another [thing] that all the peoples will receive that faith in Christ. This will take place at the consummation of the world.» (Fol. 21 of [Columbus'] Book of Prophecies)" 2 Kay Brigham's astute commentary on Columbus'quotation of an interesting Jewish opinion on the Messiah's return
16
WAS CHRISTOPHER COLUMBUS A MESSIANIC JEW?
First, let's examine the evidence which indicates Columbus was a Jew. Walter McEntire, author of Was Christopher Columbus a Jew, quotes a newspaper article which asked, "Was Columbus a Jew?" The article reads: "...'to the best of our knowledge the blood that flowed in Columbus' veins was three-quarters Jewish.' " McEntire then mentions that the editor adds: "...that 'it wasn't very safe in those days in Spain to call yourself a Jew, and Columbus knew that, and called himself 'a Genoese navigator,' without saying much about his origin'; that 'investigation shows that his mother came of a well known Jewish family, the Ponti Rossi, and that the name 'Colón,' which is the real name of Columbus, was that of Jews.' " 3 McEntire continues: "In two other papers we found editors saying that 'as you
1Kay Brigham, Christopher Columbus's Book of Prophecies, Reproduction of the Original Manuscript with English Translation. Barcelona: Clie, p. 267, © for the English translation, used by permission. Clie books may be ordered from TSELF, Inc., POB 8337, Fort Lauderdale, FL, USA 33310. Tel. (800) 327-7933. In Brigham's footnote, "LORD" is referenced with Zephaniah 3:9-12 and saved with Romans 9:27 (see Isa. 10:22).
3Walter F. McEntire, Was Christopher Columbus a Jew. Boston: The Stratford Company, © 1925, pp. i-ii, used by permission.
2Kay Brigham, Christopher Columbus: His Life and Discovery in the Light of His Prophecies. Barcelona: Clie, © 1990, pp. 158-159, used by permission. [ ] mine. Clie books may be ordered from TSELF, Inc., POB 8337, Fort Lauderdale, FL, USA 33310. Tel. (800) 327-7933.
honor Columbus, bear in mind the fact that in all probability threequarters, if not all, of his blood was Jewish.' " 4
McEntire points out that Don Garcia discovered: "...that the name of Columbus' mother was Susanna [Shoshana in Hebrew, ], (a Jewish name)...." 5 He (Garcia) also found: "...in the archives of Pontevedra, a record setting forth that in the fifteenth century, there lived in that city, a family by the name of Colon, 'several members of which bore the same forenames as are to be found among the Colombos of Genoa, the kinsmen of Christopher Columbus. In 1434 and 1437, there was at Pontevedra a Domingo Colon; in 1438 a Bartolomé Colon; in 1496 a Cristobo Colon; in 1434 a Blanca Colon. As we shall see, Domenico was the name of Columbus' father; Bartolomeo that of his younger brother; and Bianchinetta was the name of Columbus' sister." 6 He also notes: "...the devoted friends of Columbus, Juan Cabrero, Luis de Santangel, Gabriel Sanchez, and Alfonso de la Caballeria, [were] all men of Jewish extraction." 7
Columbus' portraits contain features common to people of Semitic origin, as can be seen here.
4Ibid, p. ii.
6Ibid, pp. 7-8.
5Ibid, p. 8. [ ] mine.
7Ibid, p. 63. [ ] mine.
MODERN SOURCES OF THE 1990'S, EVANGELICAL CHRISTIAN AND JEWISH ALIKE, ADMIT COLUMBUS WAS A JEW
The Jerusalem Times/Jewish Press article entitled, "Why Should Catholic Church Honor Queen Isabella?" acknowledges that Columbus was Jewish, while rightly criticizing the fact that the Catholic Church "wouldn't admit that Columbus was a Jew!" Arnold Fine notes: "...Colon, who changed his name to Columbus....was a Cohen. The name Colon, is the equivalent of Cohen....The fact remains that Columbus was a Jew." 8
J. R. Church, minister of the Southwest Radio Church, mentioned in a 1991 radio broadcast: "Columbus used the Jewish calendar in his logs and the Hebrew alphabet for numbers in some cases." 9
In a taped message, "Why We Honor the Jews," the famous proZionist American television minister, John Hagee, said: "Consider America's debt to the Jewish people—would you be shocked to know that America was discovered by a Jewish sailor named Christopher Columbus? That's a historic fact." 10
COLUMBUS HAD A SECRET AUTOGRAPH THAT HAS BEEN A MYSTERY TO MANY
William Curtis, in his book, The Authentic Letters of Columbus, describes the confusion of historians regarding the interpretation of Columbus' cryptic autograph: "The signature or rubric of Columbus which appears at the close of all his communications, as the sign of the cross appears at the beginning, has never been satisfactorily interpreted. It was the custom in his time for men of importance to adopt sign manuals of a peculiar sort, as they adopted mottoes for their escutcheons, which had some apparent or concealed significance." 11
MORISON'S SPECULATION—"THE EXACT MEANING WAS A SECRET THAT COLUMBUS TOOK TO HIS GRAVE"
Samuel Morison, in his book, Christopher Columbus, Admiral of the Ocean Sea, was also mystified about the meaning of Columbus'
8Arnold Fine, "Why Should Catholic Church Honor Queen Isabella?" Jerusalem Times/Jewish Press, Fri., Jan. 18, 1991, p. 36, © used by permission.
10John Hagee, Why We Honor the Jews.
9Radio broadcast, Jan. 1991. J.R. Church's material is available through his ministry, Southwest Radio Church, POB 1144, Oklahoma City, OK, USA 73101. Tel. (800) 4751111.
11William Eleroy Curtis, The Authentic Letters of Columbus, Vol. 1, No. 2. Chicago: Field Columbian Museum Publication 2, 1895, p. 117.
autograph and relates that it "was a secret that Columbus took to his grave." But was it really? In a moment, we will ask Maurice David! Morison tells us: "...these signatures of Columbus have been preserved, each with the pyramid of letters arranged in exactly the same way....Columbus attached great significance to it, and in his mayorazgo or entail instructed his heirs to continue to 'sign with my signature which I now employ....'...he never revealed the meaning, which has aroused endless speculation. The problem has particularly interested those endeavoring to prove that Columbus was a Jew....Speculate as we may, it is unlikely that any certain solution of the cipher will be found; the exact meaning was a secret that Columbus took to his grave." 12
DAVID'S DISCOVERY—COLUMBUS' MYSTERY DECODED
I believe Maurice David, in his book, Who Was "Columbus"?, has unraveled the mystery of Columbus' autograph. He says: "...the mystic signature in the shape of a triangle, considered by Colón as his own family emblem, is nothing less than an abbreviation of the 'last confession' of the Jews and also a substitute for the Kaddish—in lieu of the real Kaddish, which was interdicted.
The abbreviation in this case should read:
.
. S . A . S .
. X . M . Y .
In Hebrew:
Shadai, Shadai
Adonoy Shadai
Yehova molai chesed
Nauthai ovon, pesha, chatuo
"
13
In a recent article entitled, "Was the Discoverer of America Jewish?", by Newton Frohlich, it was noted: "...the letters stand for a Latinized Hebrew prayer: Sanctus. Sanctus, Adonai, Sanctus. Chesed Moleh Yehovah (God. God, Lord, God. Lord grant mercy).
12Samuel Eliot Morison, Christopher Columbus, Admiral of the Ocean Sea. London: Oxford University Press, © 1939, pp. 356-357, used by permission.
13Maurice David, Who Was "Columbus"? New York: The Research Publishing Co., © 1933, p. 103, used by permission.
The last two lines are said to be Columbus' signature: Xpo FERENS has been translated as a Greco-Latin form of his name and El Almirante means 'the admiral.' " 14
THE TELLTALE EMBLEM ON COLUMBUS' LETTERS "BH"—AN ANCIENT HEBREW INSCRIPTION OF GREETING
Maurice David and Mosco Galimir also reveal the comparatively unknown meaning of another insignia Columbus inscribed at the beginning of his letters to family members. David writes: "On all of these thirteen intimate letters but one, the attentive reader can plainly see at the left top corner a little monogram which may seem cryptic to him, but which is, in fact, nothing more nor less than an old Hebrew greeting or benediction, frequently used among religious Jews all over the world even to this day.
This monogram, consisting of two characters, 'beth,' and 'hai,' the second and fifth letter of the Hebrew alphabet—written from right to left, like all Semitic script—is an abbreviation of the Hebrew words, 'Boruch hashem' (Praised be the Lord)....I have stated that the Hebrew monogram appears on all, but one, of the thirteen letters from Columbus to his son. Its omission from that one is probably more revealing than its appearance on the others. Because this particular letter begins with the traditional; 'Muy caro fijo' (My dear son), but its contents show that it was intended to reach the eyes of Queen Isabelle. Colón therein advises his son that he is sending him by special messenger two bags of large gold nuggets, the first found in India by the Spanish explorers, and directs him to hand them over to the Queen together with the letter, adding: 'To you, I am writing another long letter, which will leave here tomorrow.' " 15
Mosco Galimir also enlightens us: "The famous Admiral took special care to leave in obscurity and mystery his origin, ancestry and place of birth....In his thirteen letters to his son, he puts a small monogram at the upper left hand side of the paper, an old sephardic greeting, beginning with the Hebrew letters 'B H'...." 16
***
14 Newton Frohlich, "Was the Discoverer of America Jewish?", Moment, Dec. 1991, p. 43, used by permission.
16Mosco Galimir, Cristobal Colón, The Discoverer of America. New York: Galimir, 1950, pp. 21, 23.
15Ibid, p. 66. Bold mine.
Notice the "bh" () in the upper-left corner, in Columbus' hand.
COLUMBUS CONCEALS THE "BH" FROM ISABELLA TO AVOID PERSECUTION BECAUSE OF HIS FAITH
I believe Columbus omitted this Hebrew monogram from the letter to be read by Queen Isabella because she was ruthlessly ordering Jews and Moors to be burned. 17 He also knew that Jews bearing the surnames Colón 18 and Colom, the two names he had used, were being condemned. 19 We believe Columbus kept his origin and identity a secret because he was both a true believer in Jesus and a Jew!!
Columbus obviously kept his (born-again) faith a secret from the Catholics, just as he kept his Jewish ancestry concealed, both of which remain a historical secret even today! But, for those of you who are brave and inquisitive enough to read between the lines, you will see for yourself the obvious fact—his words are unmistakenly those of one who has a personal relationship with and trust in God, as defined by modern evangelical standards.
17 Dr. Meir Kayserling, Christopher Columbus and The Participation of the Jews in the Spanish and Portugese Discoveries. New York: Hermon Press, © 1968, p. 122. Available through Stephen Hermon Press, 1265 46th Street, Brooklyn, NY, USA 11219. Tel. (718) 972-9010.
19He gives Columbus' answer to Antonio about his final name change: "I belong to the family of the Counts of Colombo....It is to distinguish myself from other members of my family, that I call myself Columbus." Ibid, p. 33.
18Mosco Galimir writes: "In Tortosa, Salonica and Amsterdam, the name of Colón is found; all bearers of this name are Sephardic Jews." Galimar continues: "Colombo is a Spanish name. The change of name was a custom amongst Jews. Palumbus, Palombo, Columbus, Colombo. Thus the evolution to Colombo, Colón. The Colombos were Jews from Catalonia. Colón is a common Jewish name found on the Mayorcas." Mosco Galimir, Cristobal Colón, Discoverer of America, pp. 29-30.
COLUMBUS' FAITH ILLUSTRATED IN HIS USE OF THE BIBLE VS. REASON AND SCIENCE TO LOCATE THE INDIES
The well-documented volumes, The Prophetic Faith of our Fathers, record the following facts, events and words of Christopher Columbus: "CHOSEN TO PROCLAIM GOD'S NAME IN NEW WORLD—Columbus was a voluminous writer, and kept a minute diary of his voyages. These writings reflect a deep religious spirit. There is frequent citation of Scripture concerning Biblical characters and episodes. Columbus found land 'with the aid of the Lord.' He took possession of San Salvador, the first land of the Western Hemisphere that he sighted, in these words: 'O Lord, Eternal and Almighty God, by thy sacred word thou hast created the heavens, the earth and the sea; blessed and glorified be thy name, and praised be thy Majesty, who hath designed to use thy humble servant to make thy sacred name known and proclaimed in this other part of the world'....The story is told that even before his voyages, while he lay ill near Belem, Portugal, an unknown voice whispered to him in a dream, 'God will cause thy name to be wonderfully resounded through the earth, and will give thee the keys of the gates of the ocean, which are closed with strong chains!'....Columbus expressly declares that the discovery of the New World was not prompted by speculation, mathematics, or mere navigation, but by the compulsive conviction that all the divinely inspired prophecies of Scripture must be fulfilled before the approaching end of the world, [ 20 ] including the proclamation of the gospel to the ends of the earth. No trial or disappointment could turn him from his purpose....In September, 1501, Columbus began the preparation of his Libro de las Profecías (Book of the Prophecies)....He [in this work] continually invokes the Bible and the prophets, claiming to owe all he knew and all he had accomplished to the leading of God. He also quotes ecclesiastical writers, Christian and Jewish.
Columbus affirms the world must have an end, and a second advent of Christ, and that the Lord gave an account of the signs preceding it, which are mentioned in the Gospels....Libro de las Profecías contains a letter...a remarkable report, which reads like a theological treatise. 'At this time I both read and studied all kinds of literature: cosmography, histories, chronicles, and philosophy and other arts, to which our Lord opened my mind unmistakably to the fact that it was possible to navigate from here to the Indies, and He evoked in me the will for the execution of it....All those who heard of my plan disregarded it mockingly and with laughter. All the sciences of which
20 For Columbus' exact words, see our caption at the opening of our chapter 28, "The Second Coming Event—Will He Yet Be Sent."
I spoke were of no profit to me nor the authorities in them....Who would doubt that this light did not come from the Holy Spirit, anyway as far as I am concerned, which comforted with rays of marvelous clarity and with its Holy and Sacred Scriptures....'...In this letter Columbus presses the providential guidance of his Western discoveries as a miracle intended to encourage the undertaking of the restoration of Jerusalem....'...I have already said that in order to execute the enterprise of the Indies neither reason, nor mathematics, nor maps profited me; what Isaiah said was fully realized, and this is that which I wish to write here in order to bring to the mind of Your Highnesses, and in order that you rejoice of the other, which I shall tell you about Jerusalem through the same authorities, about whose enterprise, if there is any faith, hold victory for more than certain.' " 21 Mosco Galimir raises the question: "Was not his heart beating for his lost fatherland, Palestine?" 22
COLUMBUS' TRUE FAITH AND ANCESTRY REVEALED, FROM HIS HIDDEN NAME AND A BOOK HE TREASURED
We believe Columbus kept his true faith and Jewishness discreet, because in those days the Catholic Church used torture and inquisition to persecute people for their beliefs and heritage. Remember the newspaper articles quoted by McEntire which said: "...that it wasn't very safe in those days in Spain to call yourself a Jew, and Columbus knew that, and called himself 'a Genoese navigator'...." 23
We believe the words recorded in his diary, book of prophecies and other writings are the utterances of a true New Testament Bible believer rather than the thoughts of a ceremonial Roman Catholic. We believe Columbus was both a Jew and true believer in Jesus. That is why he kept his origin and identity a secret, while he treasured to the end of his days a book which proved Jesus to be the Jewish Messiah of the Old Testament. Walter McEntire shares some interesting details regarding this highly prized and beloved book of Christopher Columbus: "What may be another bit of evidence aiding us in our effort, is the record that Columbus prized most highly a book written
21 Leroy Edwin Froom, The Prophetic Faith of our Fathers, Vol. I. Washington, D.C.: Review and Herald, © 1948, pp. 167-171, 173, used by permission. [ ] mine.
23Mosco Galimir asked: "Was Cristobal Colón secretive about his past and origin out of fear of being spied upon by the inglorious Inquisition?" Ibid, p. 37. And W. F. McEntire notes that Mier Kayserling asked: " '...What must have been the feelings of Christopher Columbus, or Colón, when he heard that members of the Jewish race bore his name, and had been condemned by the Inquisition?' [McEntire says that] The connection of Cristóbal Colón with the Jewish family of Colom is not apparent until in a footnote to the above paragraph we find that 'he was also called Colom.' " Walter F. McEntire, Was Christopher Columbus a Jew, p. 77. [ ] mine. McEntire continues: "In Spain the Christoforo Colombo of Genoa chose to call himself Cristóval Colón, and the Historie tells us that he sought merely to make his descendants distinct of name from their remote kin." Ibid, pp. 77-78.
22Mosco Galimir, Cristobal Colón, Discoverer of America, p. 53.
by a Marano—not a 'forced convert Jew,' but a freely baptized earnest 'convert Christian.' Of this book a Jewish historian writes: 'In Spain, he (Columbus) read with religious zeal the tract on the Messiah, which was written by the proselyte Samuel Ibn Abbas of Morocco, for the purpose of converting R. Isaac of Sujurmente; it had been translated into Spanish in 1339, and into Latin a hundred years later. This book interested Columbus so much that he excerpted three whole chapters.' (Kayserling.) Think of the zeal of a 'convert Jew' who would write an erudite and scholarly treatise on the Messiah, for the purpose, and only purpose, of 'converting' another Jew." 24
This brings to light two important revelations about Columbus: 1. If he were not a Jew, why would he be so fascinated in seeing Jesus from the perspective of the proofs in the Old Testament prophecies? 2. If he were only a Marano (who may not have believed in Jesus), why would he care? The book would have been of little interest to him! The same reasoning follows if he were merely a ceremonial Roman Catholic. His love and prized value of this book shows he had a deep spiritual evangelical faith and interest in Jesus from a Jewish perspective. It was something only a Jew who truly believed in Jesus —a true believer—could sincerely appreciate.
CHRISTOPHER COLUMBUS, BELIEVE IT OR NOT, WAS A MESSIANIC JEW
If it were the case that Columbus was a true believer in Jesus and a Jew, modern Messianic Jews can claim one of the most famous discoveries of all time. This illustrates more than ever the legitimacy of the Jewish movement for Jesus! Columbus' dying words were: "Into Thy hands, Oh, Lord, I commit my spirit." 25 These were the same words uttered by Jesus while He was on the cross. Walter McEntire comments beautifully: "...Columbus was deeply interested in the prophecies. To him they had a special meaning; and he frequently meditated upon them....[He points out that] A Jewish historian writes: 'Some of his biographers have seen in his career not the triumph of science but that of religion; and a learned Spaniard [ 26 ] has in all seriousness asserted that without his strong religious faith Columbus would never have discovered America' (Kayserling).
Columbus' career was the triumph of religion; and without the faith he possessed he never could have accomplished the wonderful
24 Ibid, p. 66.
25 Commemoration of the Fourth Centenary of the Discovery of America. From the Report of the Madrid Commission, 1892. Washington: Government Printing Office, 1895, p. 266.
26This biographer was S. de la Rósa y López, El Libros y Autografos de D. Chr. Colón, Seville, 1891.
work he wrought: that millions of the suffering sons of man might be made peaceful and happy in the world he found and gave them." 27
27Walter F. McEntire, Was Christopher Columbus a Jew, pp. 142-144. [ ] mine.
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KGI Securities Research Team
MORNING BUZZ
03 April 2018
KGI Market Ideas
Short Oil: The upside in oil markets are capped as US shale oil increases production. WTI crude oil prices have consolidated around 65 USD for the past 3 months while US oil production surged to a 47-year high. The EIA expects US shale crude-oil production to rise towards 6.9m barrels a day by April 2018. The resurgence of US shale oil production has led to increased speculation that the IPO of Saudi Aramco will be delayed. In light of this, we expect the consolidation at 65 to be a signal for further weakness in the oil market.
HRnetGroup: HRnetGroup's share price has declined 26% from its one-year high of 96 SG cents and is currently trading at a 22% discount to its IPO price of 90 SG cents. Valuations are starting to look attractive at these price levels - 11x ex-cash 2018F (consensus) P/E would be a steep discount to peers. Fundamentally, the company's growth trajectory remains intact based on its latest 4Q17 performance - 4Q17 sales and earnings were up 7% YoY and 22% YoY, respectively. It pays a decent dividend yield of 3.0%. The group has a cash balance of S$280mn to make EPS-accretive acquisitions. So far, it has invested and acquired two companies in Singapore and Indonesia and is evaluating another potential purchase. The major shareholder has also started to buy back shares at around 75 SG cents.
Jumbo Group: An F&B provider with 15 restaurants in Singapore and 5 restaurants in China. The Group also has exposure to Vietnam, Taiwan and Japan markets via Joint Ventures (JV) and franchise agreements. Jumbo operates under 5 brands: JUMBO Seafood, JPOT, NG AH SIO Bak Kut Teh, Chui Huay Lim Teochew Cuisine and J Café. Jumbo has plans to expand its geographical reach in China with possibly 4 new restaurants in the next few years. Additionally it also plans to increase its presence in, Taiwan, Thailand, Korea, Hong Kong, Macau, Vietnam and Indonesia via a franchise model. Jumbo has entered into a 49% JV with Tsui Wah (1314 HK) to set up a HK-style "Cha Chaan Teng" in Singapore. The first outlet is expected to open in mid-2018. Jumbo's FCF has been increasing and lends support to its dividend distributions, with a payout ratio of ~70% and dividend yield of ~3%. The JUMBO Seafood brand remains the key anchor for its revenues and earnings, and is expected to improve as the Group expands its geographical reach. EPS has grown 17% since its IPO in 2015 and we expect future growth in EPS to be driven by new store openings outside of Singapore and by the growing consumption in those higher growth markets. Jumbo currently has a consensus fair value estimate of S$0.62, implying a 10.7% upside. We view Jumbo as a consumption play with growing exposure to high growth markets.
| 2/4 | TH Strategy: April model portfolio: 1Q18 earnings plays and high yield stocks |
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| 30/3 | TW Yuanta FHC (2885 TT; Outperform; TP: NT$15.50): 2018F ROE to hit 9% |
| 30/3 | CN/HK Stock Liquidity Monitor: Weekly data – Stock incentive & employee shareholding plans |
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| 29/3 | TW Auto Parts Sector: Course unchanged for EV & autonomous driving trend |
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| 29/3 | TW Uni-President (1216 TT; Neutral; TP: NT$67.00): China restructuring to bear fruit; concern over muted sales |
| 29/3 | TW Wiwynn (6669 TT; Not Rated): Pure hyperscale data center play with solid 2018F growth |
| 29/3 | HK Juvenile goods (Overweight): Goodbaby – Growing strong in all aspects |
| 29/3 | HK Cosmo Lady (2298 HK; Neutral; TP: HK$4.20): Recovery to improve further in 2018F |
| 29/3 | HK Sky Light (3882 HK; Neutral; TP: HK$0.980): Back on track in ODM business; downgrade on limited upside |
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| 28/3 | TW Strategy: Long-term bullishness intact, but mid-term fluctuations inevitable |
| 28/3 | TW Apple Insight: iPad offers full support of Apple Pencil, SZS & O-film the key suppliers to watch |
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| 28/3 | TW Formosa Lab (4746 TT; Outperform; TP: NT$72.20): More than an API manufacturer |
| 28/3 | TW Taiwan Taxi (2640 TT; Outperform; TP: NT130.00): 4Q17 a miss; 2018F earnings to shoot for record high |
| 28/3 | TW Top Bright (8499 TT; Not Rated): Niche smart scale play benefiting from IoT & big data trend |
| 28/3 | TW TUC (6274 TT; Outperform; TP: NT$109.00): Legal disputes settled; low-loss networking to make great strides |
| 28/3 | HK Sinosoft (1297 HK; Outperform; TP: HK$3.70): 2017 results in line; expanding foothold nationwide |
| 28/3 | HK Tang Palace (1181 HK; Outperform; TP: HK$4.68): Riding on higher profitability in China, seeking growth in online platforms |
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STI Components and Key Metrics
| FINANCIALS DBS SP DBS 27.32 70,045 OCBC SP OCBC 12.77 53,426 UOB SP UOB 27.40 45,521 SGX SP SGX 7.34 7,854 | |
|---|---|
| | (0.7%) 9.9% 0.4% |
| | (0.4%) 3.1% (0.2%) |
| | (0.4%) 3.6% 0.0% |
| | (0.4%) (0.7%) (0.5%) |
| PROPERTIES AREIT SP Ascendas REIT 2.66 7,681 CAPL SP CapitaLand 3.62 15,276 CCT SP CapitaLand Comm Trust 1.83 6,609 CT SP CapitaLand Mall Trust 2.07 7,345 CIT SP City Development 13.20 12,003 HKL SP Hongkong Land USD 6.88 21,204 UOL SP UOL 8.64 7,278 | |
| | 1.1% (2.2%) 2.3% |
| | 1.4% 2.5% 0.8% |
| | 0.0% (3.1%) 2.2% |
| | (0.5%) (1.5%) 2.0% |
| | 1.5% 5.7% 1.8% |
| | (0.1%) (0.3%) 0.6% |
| | 1.1% (2.6%) 2.2% |
| TELECOMMUNICATIONS ST SP SingTel 3.39 55,355 STH SP StarHub 2.33 4,029 | |
| | 0.6% (5.0%) 0.9% |
| | 1.3% (18.2%) (0.9%) |
| CONSUMER SERVICES AND GOODS JCNC SP Jardine C&C 34.75 13,734 JM SP Jardine Matheson USD 62.16 59,134 JS SP Jardine Strategic Holding 38.73 56,197 GENS SP Genting Singapore 1.09 13,129 SPH SP SPH 2.53 4,047 THBEV SP ThaiBev 0.79 19,712 VMS SP Venture Corp 28.14 8,078 | |
| | 0.7% (14.6%) 2.5% |
| | 0.9% 4.3% 1.1% |
| | 1.0% (1.6%) 1.9% |
| | 0.9% (16.8%) 0.0% |
| | 0.4% (4.5%) 3.3% 0.6% (12.8%) (1.9%) 0.1% 37.5% 1.0% |
| TRANSPORT SIA SP Singapore Airlines 10.81 12,783 CD SP ComfortDelGro 2.06 4,457 | (0.3%) 1.3% 0.7% 0.5% 4.0% 1.0% |
| COMMODITIES GGR SP Golden Agri 0.35 4,457 WIL SP Wilmar 3.21 20,308 | 0.0% (5.4%) 1.4% 0.9% 3.9% 1.3% |
| OFFSHORE & MARINE/INDUSTRIALS KEP SP Keppel Corp 7.80 14,129 SCI SP Sembcorp Industries 3.11 5,550 YZJSGD SP Yangzijiang SGD 1.21 4,802 SATS SP SATS 5.19 5,791 STE SP ST Engineering 3.56 11,108 HPHT SP HPH Trust USD 0.30 3,366 | 0.4% 6.1% 0.3% 0.0% 2.6% 2.0% 0.0% (17.7%) (2.4%) 1.2% (0.2%) 2.2% (0.8%) 9.2% 1.1% 0.0% (25.9%) (6.3%) |
Dividend Yield based on Bloomberg consensus. Total return includes dividends.
Source: Bloomberg
STI Reserve List (by market cap) - STI next review date: March 2018
Dividend Yield based on Bloomberg consensus. Total return includes dividends.
Source: Bloomberg
Appendix 1: Corporate Action
Latest Rights Issue Annoucement
Source: SGX Annoucement
Latest Bonus Issue Annoucement
Source: SGX Annoucement
Appendix 2: Financial Calendar
3-Apr
4-Apr
5-Apr
6-Apr
9-Apr
10-Apr
11-Apr
12-Apr
13-Apr
16-Apr
17-Apr
18-Apr
19-Apr
20-Apr
23-Apr
24-Apr
25-Apr
26-Apr
27-Apr
30-Apr
2-May
3-May
4-May
Q1: Keppel Telecoms & Tpt / Keppel- KBS US REIT
Q1: Keppel REIT
Q1: Keppel Corp
*Q3: Spore Exchange
*Q4: Mapletree Logistics Trust Q4: Mapletree Industrial Trust
*Q4: Mapletree Commercial Trust
1-May-18
Q2: Spore Press Hldgs
Q4: Mapletree Greater China Commercial Trust
Genting Hong Kong: Delisting of Shares from the SGX-ST
STI Review
Q2: SPH REIT
Q3: Ipco Int'l (Release on Sat, 14-Apr)
SG (Mar 2018): CPI Overall index and sub-indices
*Q1: Ho Bee Land
Q1: Keppel DC REIT / Keppel Infrastructure Trust / M1 / Soilbuild Biz Space REIT
2-Apr-18
SG (Mar 2018): Index of Industrial Production SG (1Q18): Industrial Properties
SG (Mar 2018): Unemployment Rate & Employment
Friday
Monday
Tuesday
Wednesday
Thursday
SG: 1Q18 Advance GDP Estimates (Not later than 13 Apr)
* Tentative
Source: Bloomberg
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E-ISSN 2151-349X, pp. 1-16
Indigenous Worldviews, Knowledge, and Research: The Development of an Indigenous Research Paradigm
Michael Anthony Hart University of Manitoba
Abstract
This article presents the initial development of one Indigenous research paradigm. The article begins with an overview of worldviews and Indigenous knowledge before addressing how these perspectives have been blinded by Eurocentric thought and practices. These sections set the background for the focus of the article, namely the development of an Indigenous research paradigm. This paradigm is based upon the framework shared by Wilson (2001), who suggested that a research paradigm consists of an ontology, epistemology, methodology, and axiology. By presenting Indigenous perspectives on each of the framework components, an Indigenous research paradigm that was used for research with Indigenous Elders and Indigenous social workers who are based within Indigenous worldviews and ways of being is presented.
Things are changing in the realm of research. While at one time, we, as Indigenous peoples, were faced with leaving our indigeniety at the door when we entered the academic world, several of us are now actively working to ensure our research is not only respectful, or "culturally sensitive," but is also based in approaches and processes that are parts our cultures (for further discussion see Meyer, 2008; Steinhauer, 2001; Wilson, 2008). It is in light of this change that I outline how I approached research with Cree peoples in north central Turtle Island, also referred to as North America. This experience had me contemplate several areas that I thought were pertinent to social work practice from a Cree perspective and which are addressed in this article. These areas include worldviews, Indigenous knowledge, Indigenous knowledge of helping, and research from an Indigenous stance, namely radical Indigenism. I began with worldviews as I felt that understanding worldviews is necessary given Honore France's (1997) statement that our worldviews affect our belief systems, decision making, assumptions, and modes of problem solving. I also started with worldviews as I agree with several authors (Bishop, Higgins, Casella, & Contos, 2002) who stated, "understanding worldviews of both the targeted community and ourselves is imperative if we are going to do more good than harm" (p. 611). From here I focus more on Indigenous worldviews and knowledge as I have come to understand them. I then move to address how our views and ways of helping have been blinded through the colonial
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process of marginalization before discussing how I attempted to move away from this marginalization in my research with Cree Elders and social workers who follow Cree ways of helping in their practice. One perspective of an Indigenous research paradigm is then outlined that relies on Shawn Wilson's (2001) framework of ontology, epistemology, methodology, and axiology. I close with a summary that considers some future steps.
Worldviews
The concept of worldviews has been described as mental lenses that are entrenched ways of perceiving the world (Olsen, Lodwick, & Dunlap, 1992). Worldviews are cognitive, perceptual, and affective maps that people continuously use to make sense of the social landscape and to find their ways to whatever goals they seek. They are developed throughout a person's lifetime through socialization and social interaction. They are encompassing and pervasive in adherence and influence. Yet they are usually unconsciously and uncritically taken for granted as the way things are. While they rarely alter in any significant way, worldviews can change slowly over time. A worldview can hold discrepancies and inconsistencies between beliefs and values within the worldview. Hence, worldviews often contain incongruencies.
It also has been suggested that in any society there is a dominant worldview that is held by most members of that society (Olsen et al., 1992). Alternative worldviews do exist, but they are not usually held by a majority of a society. In light of these points, I suggest that work with Indigenous peoples will often require us to act outside of the dominant worldview found in social work internationally and particularly in fourth world territories.
At the same time, I recognize limitations to discussions of worldviews. In particular, most discussions are focused on cognitive processes as the determining factor for worldviews. These processes tend to ignore others' dynamics of being in the world, including feelings and intuition on one hand and discourses, discursive structures, and practices (Kuokkanen, 2007). I also think it is pertinent to remember that "it is very possible for individuals from different cultural groups to be more similar in worldviews than those from the same culture" (Sue & Sue, 2003, p. 287) and that individuals can adapt and use behaviors associated with another worldview (Sue & Sue, 2003) or express them in entirely personal ways (Fitznor, 1998). Thus, it is in a wider explanation of worldviews that I am reflecting in this discussion.
Indigenous Worldviews
There appear to be many commonalities between Indigenous worldviews (Fitznor, 1998; Gill, 2002; Rice, 2005). McKenzie and Morrissette (2003) explained that Indigenous worldviews emerged as a result of the people's close relationship with the environment. They outlined six metaphysical beliefs of Indigenous peoples that have shaped this relationship:
All things exist according to the principle of survival; the act of survival pulses with the natural energy and cycles of the earth; this energy is part of some grand design; all things have a role to perform to ensure balance and harmony and the overall well-being of life; all things are an extension of the grand design, and, as such, contain the same essence as the source from which it flows (Gitchi-Munitou); and this essence is understood as "spirit," which links all things to each other and to Creation. (p. 259)
Leanne Simpson (2000) outlined seven principles of Indigenous worldviews. First, knowledge is holistic, cyclic, and dependent upon relationships and connections to living and non-living beings and entities. Second, there are many truths, and these truths are dependent upon individual experiences. Third, everything is alive. Fourth, all things are equal. Fifth, the land is sacred. Sixth, the relationship between people and the spiritual world is important. Seventh, human beings are least important in the world.
It is apparent to me that these and other discussions of Indigenous worldviews highlight a strong focus on people and entities coming together to help and support one another in their relationship. This has been called a relational worldview (Graham, 2002). Key within a relational worldview is the emphasis on spirit and spirituality and, in turn, a sense of communitism and respectful individualism. Communitism is the sense of community tied together by familial relations and the families' commitment to it (Weaver, 1997; Weaver, 2001). Respectful individualism is a way of being where an individual enjoys great freedom in self-expression because it is recognized by the society that individuals take into consideration and act on the needs of the community as opposed to acting on self-interest alone (Gross, 2003). I found that this relational worldview is carried forward in discussions on Indigenous peoples' knowledge.
Indigenous Knowledge
Mahia Maurial (1999) defined Indigenous knowledge as "the peoples' cognitive and wise legacy as a result of their interaction with nature in a common territory" (p. 62). Joey De La Torre (2004) defined Indigenous knowledge as the established knowledge of Indigenous nations, their worldviews, and the customs and traditions that direct them. This last definition demonstrates the close connection between Indigenous knowledge and worldviews. The connection is further evident when looking at the characteristics of Indigenous knowledge. Castellano (2000) described the characteristics of Indigenous knowledge as personal, oral, experiential, holistic, and conveyed in narrative or metaphorical language. Maurial (1999) identified three characteristics of Indigenous knowledge: local, holistic, and oral.
While these definitions are useful in shaping an understanding of Indigenous knowledge, I believe Marie Battiste and Sakej Henderson's (2000) commentary on defining Indigenous knowledge warrants attention. They stated that attempting to define Indigenous knowledge is inappropriate because such efforts are about comparing knowledges and that there are no methodologies existing to make such comparisons. Battiste and Henderson suggested that, instead of trying to define Indigenous knowledge, the process of understanding would be more important. They explained that understanding requires the inquirer to be open to accepting different realities, regardless of how one uses this term.
Blinding Indigenous worldviews
Several authors emphasized that Indigenous worldviews are vastly different from the dominant cultural worldview in Western societies (Little Bear, 2000; Pichette, Garrett, Kosciulek, & Rosenthal, 1999; Walker, 2004). Despite the differences in worldviews and the need to support such differences, Gill (2002) noted that many scholars are hesitant to address comprehensive concepts such as worldviews. He suggested that "it is frequently claimed by philosophers that Native Americans and other nonliterate peoples do not really have a coherent view of the world because they have not yet conceived of the possibility and/or necessity of sequential and critical thought" (p. 18). Thus, when most professors describe the "world," they describe Eurocentric contexts and ignore Indigenous perspectives and understandings. "For most Aboriginal students, the realization of their invisibility is similar to looking into a still lake and not seeing their image" (Henderson, 2000, p. 76). Indeed, Eurocentric thought has come to mediate the entire world to the point where worldviews that differ from Eurocentric thought are relegated to the periphery, if they are acknowledged at all (Battiste & Henderson, 2000; Blaut, 1993). When they are acknowledged, Indigenous worldviews are analyzed most often through a Eurocentric point of view.
This marginalization or blinding of Indigenous worldviews "has been and continues to be one of the major tools of colonization" (Walker, 2004, p. 531). Indeed, Amer-European educators, regardless of program level, ask daily that Indigenous peoples acquiesce to or fit within Amer-European versions of the world while ignoring their Indigenous perspectives. Society demands that we either achieve within this Eurocentric model of education or live a life of poverty and welfare as the uneducated and unemployed or unemployable. Thus, in one way or another, we are regularly forced to validate the colonialists' mythology. We are being forced to sacrifice Indigenous worldviews and values for norms outside traditional cultural aims (Henderson, 2000, p. 59).
Marginalization of Indigenous Ways of Helping
While it has been suggested that Indigenous concepts and practices are beginning to be accepted within social work (McKenzie and Morrissette, 2003), it has been noted that "too often these are marginalized or viewed as secondary to the strategies and techniques emerging from the dominant paradigm" (p. 262; see also Walsh-Tapiata, 2008; Yellow Bird & Gray, 2008). This concern of marginalizing is heightened when we acknowledge the extent to which our teaching and learning in mainstream social work education programs is based on dominantly held, middle-class, patriarchal, and white values (Faith, 2008; Mawhiney, 1995; Weaver, 2008). Sinclair (2004) presented an example of such colonial influence in social work education where Indigenous social work students are expected to learn about cross-cultural practice, which Sinclair explains is ludicrous:
The cross cultural or minority 'client' is automatically labelled as the 'other.' This forces the [Indigenous] student to take a dominant subjective stance with respect to issues of diversity because they are never requested to examine their work with 'white' individuals as cross-cultural. They are required to perceive themselves and their people as 'other' who is in need of assistance. (p. 52)
In other words, Indigenous social workers are expected to take a particular cultural conceptualization of the person that is based on the dominating Eurocentric perspective, which has associated values of individualism and self-efficacy. The approaches stemming from this perspective at best do not fit well either with Indigenous cultural values or the realities of Indigenous life (Gone, 2008; Kirmayer, Brass, & Tait, 2000; Weaver, 2008) and at worst are at the heart of psychological and philosophical imperialism (Calabrese, 2008; Duran & Duran, 2000). In light of this form of oppression, Kirmayer et al. (2000) and I (Hart, 2003) have suggested that there is a need to rethink the applicability of such modes of intervention. We need to consider the perspective of local community values and aspirations and recognize that family and social network approaches that emphasize the relational self may be more consistent with Indigenous cultures. In turn, we needed to approach research of these interventions in a manner that is at least consistent with Indigenous worldviews. It was this recognition that drove me to seek out Indigenous means of research.
Research Paradigms
To find an Indigenous means of research, I first determined the orientation and paradigm that best suited my research. To help me make this determination, I paid attention to the ideas expressed by Linda Tuhiwai Smith (1999), who identified the need for a modern Indigenous peoples' research project that resists the oppression found within research, and Eva Marie Garroutte (2003), who argued for an approach to research that stems from Indigenous peoples' roots and principles. I was driven to develop an Indigenous research paradigm to act as the foundation for my research design. To develop this paradigm, I first looked to some basic definitions of a research paradigm and relied on the definition provided by Cree scholar, Shawn Wilson (2001). He stated that a paradigm is "a set of beliefs about the world and about gaining knowledge that goes together to guide people's actions as to how they are going to go about doing their research" (p. 175). He focused on four aspects that combine to make up a research paradigm:
Ontology or a belief in the nature of reality. Your way of being, what you believe is real in the world...Second is epistemology, which is how you think about that reality. Next, when we talk about research methodology, we are talking about how you are going to use your way of thinking (your epistemology) to gain more knowledge about your reality. Finally, a paradigm includes axiology, which is a set of morals or a set of ethics. (p. 175)
Clearly, these concepts are not rooted in Indigenous worldviews since they have evolved elsewhere. However, because an Indigenous research paradigm had not been fully outlined at the time of my doctoral research and because I could not think of an alternative framework on which to base an Indigenous research paradigm, I used these concepts.
An Indigenous Research Paradigm
Eva Marie Garroutte (2003) presented an approach to American Indian scholarship that she named "radical Indigenism." She explained, "It argues for the reassertion and rebuilding of traditional knowledge from its roots, its fundamental principles" (p. 101). Radical Indigenist scholars resist the pressure to participate in academic discourse that strips Indigenous intellectual traditions of their spiritual and sacred elements. It takes the stand that if the spiritual and sacred elements are surrendered, then there is little left of our philosophies that will make any sense. I believe Garroutte's call for radical Indigenism has to be reflected in an Indigenous research paradigm in order to be considered Indigenous. Indeed, several Indigenous scholars have been moving towards the development of such Indigenous research paradigms (for a more thorough discussion, see Wilson, 2008). My initial understanding of such a paradigm is as follows.
Ontology
This Indigenous research paradigm is based upon aspects of a particular ontology. Given Wilson's (2001) definition of ontology, I am struck by the apparent inter-relationship between ontology and worldview. How people see the world will influence their understanding of what exists, and vice-versa. From this perspective, there are many views of being. For example, Hallowell (1975) outlined aspects of Anishinaabe ontology where one particular focus was on how dreams were perceived by the Anishinaabe people he addressed. He stated,
Although there is no lack of discrimination between the experiences of self when awake and when dreaming, both sets of experiences are equally self-related. Dream experiences function integrally with other recalled memory images so far as these, too, enter the field of self-awareness. (p. 165).
In other words, for the Anishinaabe, ätísókanak exist. Similarly, átaýókanak, or "spirit beings, spirit powers, spirit guardians, spirit animals" (Wolvengrey, 2001), exist for the Muskéko-Ininiwak. Recognizing that there are many worldviews and, in turn, understandings of what exists and recognizing that there are directly related, indirectly similar, and completely diverging perspectives, it appears that there would be overlaps and divergences in ontologies. A case in point is the shared understanding between the Muskéko-Ininiwak and the Anishinaabek that átaýókanak/ätísókanak exist and that this understanding diverges from the mainstream Amer-European lack of acceptance, philosophically, of such entities.
This last point leads me to suggest that the divergences between a generalized mainstream Indigenous ontology and a generalized mainstream Amer-European ontology is significant enough to give a different base for an Indigenous paradigm. However, I am only identifying those aspects of an Indigenous ontology that seem prevalent to me. One dominant aspect that has been noted amongst some, if not many, Indigenous people is the recognition of a spiritual realm and that this realm is understood as being interconnected with the physical realm (Cajete, 2000; Meyer, 2008; Rice, 2005). With such a connection, it is accepted that there are influences between the spiritual and physical. For example, Gregory Cajete (2000) has explained that Indigenous science integrates a spiritual orientation, that human beings have an important role in perpetuation of nature processes in the world, and that acting in the world must be sanctioned through ceremony and ritual. Another dominant aspect is reciprocity, or the belief that as we receive from others, we must also offer to others (Rice, 2005). Reciprocity reflects the relational worldview and the understanding that we must honor our relationships with other life.
Since all life is considered equal, albeit different, all life must be respected as we are in reciprocal relations with them. These factors, spirituality and reciprocity, are two key elements of an Indigenous ontology and are key in this Indigenous research paradigm.
Epistemology
This Indigenous research paradigm is framed with a specific epistemology. Maggie Kovach (2005) presented the thoughts of several Indigenous authors who noted some characteristics of Indigenous epistemology. These thoughts are that an Indigenous epistemology is a fluid way of knowing derived from teachings transmitted from generation to generation by storytelling, where each story is alive with the nuances of the storyteller. It emerges from traditional languages emphasizing verbs, is garnered through dreams and visions, and is intuitive and introspective. Indigenous epistemology arises from the interconnections between the human world, the spirit, and inanimate entities.
Another aspect of Indigenous epistemology is perceptual experiences. However, an Indigenous definition of perception is relevant. While perception has been defined as "the extraction and use of information about one's environment (exteroception) and one's own body (interoception)" (Dretske, 1999, p. 654), perception is considered more inclusively within Indigenous epistemology to include the metaphysics of inner space (Ermine, 1995). In other words, perception is understood to include a form of experiential insight.
Willie Ermine (1995) outlined that an Aboriginal epistemology is a subjectively based process described by the Cree term mamatowisin, which is "the capacity to tap the creative life forces of the inner space by the use of all the faculties that constitute our being–it is to exercise inwardness" (Ermine, 1995, p. 104). Through inward exploration tapping into creative forces that run through all life, individuals come to subjectively experience a sense of wholeness. This exploration is an experience in context, where the context is the self in connection with happenings, and the findings from such experience is knowledge. Happenings may be facilitated through rituals or ceremonies that incorporate dreaming, visioning, meditation, and prayer. The findings from such experiences are encoded in community praxis as a way of synthesizing knowledge derived from introspection. Hence, Indigenous peoples' cultures recognize and affirm the spiritual through practical applications of inner-space discoveries. Key people for this process are Elders and practitioners who have undergone processes to develop this ability. Thus, an Indigenous research paradigm is structured within an epistemology that includes a subjectively based process for knowledge development and a reliance on Elders and individuals who have or are developing this insight.
Methodology
Indigenous methodologies are those that permit and enable Indigenous researchers to be who they are while they are actively engaged as participants in the research processes (Weber-Pillwax, 2001). This way of being not only creates new knowledge but transforms who researchers are and where they are located (p. 174). Shawn Wilson (2001) suggested that an Indigenous methodology implies talking about relational accountability, meaning that the researcher is fulfilling his or her relationship with the world around him or her. It requires researchers to be accountable to "all my relations" (p. 177). Wilson shared his thoughts on relationality:
An Indigenous paradigm comes from the fundamental belief that knowledge is relational. Knowledge is shared with all creation. It is not just interpersonal relationships, or just with the research subjects I may be working with, but it is a relationship with all of creation. It is with the cosmos; it is with the animals, with the plants, with the earth that we share this knowledge. It goes beyond the idea of individual knowledge to the concept of relational knowledge . . . [hence] you are answerable to all your relations when you are doing research. (p. 177)
Another key characteristic of Indigenous methodology is the collective. As explained by Maggie Kovach (2005), there is a sense of commitment to the people in many Indigenous societies. Inherent in this commitment to the people is the understanding of the reciprocity of life and accountability to one another. A final point is the emphasis on practicality where "one seeks knowledge because one is prepared to use it" (p. 114). In turn, an Indigenous methodology includes the assumption that knowledge gained will be utilized practically.
Axiology
It is difficult to completely determine how an Indigenous axiology informs and guides an Indigenous research paradigm since there are many values, ethics, and principles that have been identified and outlined. However, some of these values, principles, and ethics that have been noted in relation to research warrant attention. Building on Shawn Wilson's (2003) outline of Atkinson's identification of certain principles for Indigenous research, I have identified some values to be held and the actions that would reflect these values:
Indigenous control over research, which can be demonstrated by having 1. Indigenous people developing, approving, and implementing the research;
A respect for individuals and community, which can be demonstrated 2. by a researcher seeking and holding knowledge and being considerate of community and the diversity and unique nature that each individual brings to community;
Reciprocity and responsibility, which can be demonstrated in ways a researcher 3. would relate and act within a community, such as a researcher sharing and presenting ideas with the intent of supporting a community;
Respect and safety, which can be evident when the research participants 4. feel safe and are safe. This includes addressing confidentiality in a manner desired by the research participants;
Non-intrusive observation, where one, such as a researcher, would be 5. quietly aware and watching without interfering with the individual and community processes;
Deep listening and hearing with more than the ears, where one would 6. carefully listen and pay attention to how his/her heart and sense of being is emotionally and spiritually moved;
Reflective non-judgement, where one would consider what is being seen and 7. heard without immediately placing a sense of right or wrong on what is shared and where one would consider what is said within the context presented by the speaker;
To honor what is shared, which can be translated to fulfilling the responsibility 8. to act with fidelity to the relationship between the participants and the researcher and to what has been heard, observed, and learned;
An awareness and connection between the logic of the mind and the feelings 9. of the heart, where both the emotional and cognitive experiences are incorporated into all actions;
Self-awareness, where one would listen and observe oneself, particularly in 10. relation to others during the research process; and
Subjectivity, where the researcher acknowledges that she or he brings her or 11. his subjective self to the research process and openly and honestly discusses this subjectivity.
Weber-Pillwax (2001) reflected some of these values when she addressed a particular one that must be considered for Indigenous research, a value that is directly related to the methodological importance of relationships. She stated,
I could make a value statement and say that whatever I do as an Indigenous researcher must be hooked to the 'community' or the Indigenous research has to benefit the community. . . . The research methods have to mesh with the community and serve the community. Any research that I do must not destroy or in any way negatively implicate or compromise my own personal integrity as a person, as a human being. (p. 168)
I believe at least one other value strongly merits attention. Respect is perhaps one of the most cited values of Indigenous peoples. While I have noted several definitions of respect (Hart, 2002), Ida Moore (nee Brass, 2000) has explained that respect is described in the Muskéko-ininiw term kisténitámowin, or "to take care to never mistreat any form of life" (p. 79).
Summary
Our worldviews continue to be subverted by the nations that dominate our territories. Yet our knowledge of the world continues to exist, as well as our ways of living in the world. In acknowledgement of the clash of worldviews noted by Little Bear (2000), we as researchers need to thoroughly review our processes so that we can at least be consist with our worldviews. Otherwise, we potentially end up straining our knowledge for only those pieces that fit the dominating perspectives. I recognize that worldviews are not binary consisting of Indigenous and non-Indigenous, but more fluid between various peoples of the world with strong overlaps and great chasms. However, without working to reflect Indigenous peoples' understandings, we may be unconsciously, perhaps consciously in some cases, leading other Indigenous peoples down the path of internalized oppression.
To carry the Indigenist project into research, we need to outline a wide picture of what research is from Indigenous perspectives. I have relied on Shawn Wilson's fundamental framework of ontology, epistemology, methodology, and axiology for a guide and shared my perspective of how Indigenous peoples' worldviews seep through these concepts. Through this perspective I have come to consider the following points in my research with Cree Elders and social workers who are based in our Cree ways of helping: 1) I recognized the potential influences of the spiritual through other than conscious means. In others words, such events as dreams, day visions, and ceremonial experiences are part of my research using this paradigm. 2) This also means that I incorporated my subjective insights, meaning that I will self-reflect, analyze, and synthesize my internal experiences in relation to the research that I am partaking. 3) I included ceremonies as a means to developing insight and connection. 4) I relied on Elders as key informants. 5) I maintained particular values that reflect Indigenous worldviews such as sharing and respect. 6) I included the participants' understandings of the context we shared in the research process as well as my own subjective understanding of the context of the research processes.
This included influences from my life experiences with Elders, ceremonies, and traditional Indigenous means of living, through to the completion of the research. In a broader sense, I also recognized that I was significantly influenced by the perspective of anti-colonialism and Fourth World Indigenism.
However, I recognize that even these concepts of ontology, epistemology, methodology, and axiology may be acting as a strainer. Thus, it is likely that, as we continue to more accurately reflect ourselves, we are likely to raise our own concepts, and in turn our practices, to the forefront of how research should occur with Indigenous peoples. This brings me to thoughts about future steps. While further detailed discussion is warranted on how I implemented this paradigm in my research, such a discussion is beyond what can be properly addressed here. Hence, one step is the need to share my practical research experiences with this paradigm, my reflections on its adequacies and inadequacies, and discussions on any changes, additions, or deletions that are needed. This reflects another step that we can all take in regards to this paradigm, that is to review its relevance with other Indigenousbased research projects, particularly with other Indigenous peoples. By sharing our thoughts on such Indigenous-based endeavors, we will be acting to strengthen our Indigenous knowledges and practices. Surely, such acts will positively serve us in our decolonizing efforts as Indigenous peoples.
References
Battiste, M., & Henderson, J. S. Y. (2000). Protecting Indigenous knowledge and heritage. Saskatoon, Saskatchewan, Canada: Purich.
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The Geant4 Geometry Modeler
G. Cosmo, CERN
Abstract— The Geometry modeler in Geant4 (a software toolkit for the simulation of the interactions of particles with matter) is a key component of the Geant4 software. It offers the ability to describe the geometrical structure of a detector in a natural way, and has been designed for allowing efficient propagation of particles in the geometrical detector model and exploit at the best the features provided by the Geant4 simulation toolkit. Advanced techniques for optimizing tracking in the geometrical model have been seriously taken into consideration in the design, both in order to optimize the run-time performance and reduce the physical memory consumption when dealing with complex geometrical setups. A great variety of geometrical shapes are defined, including the possibility of combining them with Boolean operations to achieve nearly any possible detector geometry configuration. The major concepts of the Geant4 geometry modeler are here reviewed, with emphasis on recent features introduced in the last releases of the software.
Index Terms— Geant4, Logical volume, Physical volume, Voxels.
I. MODELING A DETECTOR
The Geometry module of Geant4 offers to the simulation user the ability to describe the geometrical structure of a detector and allows to the system to propagate particles efficiently in the detector model. The Geant4 geometry modeler includes many advanced concepts in key areas in order to cope with the great number and different organisation of detector volumes now possible.
Important considerations in the design were needed for performant navigation and for facilitating as much as possible also exchange conversion of simple detector geometries developed with CAD systems.
A detector's geometry is described by listing the different elements it contains and specifying their positions and orientations. Key concepts for modelling geometries in Geant4 are those of logical and physical volume. A logical volume represents a detector element of a certain shape, can hold other volumes inside it and can have different attributes associated; it manages the information associated to detector elements represented by a given solid and material, independently from its physical position in the detector. A logical volume can also represent the envelope for other logical volumes included, holding attributes affecting the physics which will take place in its elements: a specific electromagnetic field can be associated, or specific production cuts dependent on the particle interacting with matter inside it (region).
A physical volume represents the spatial positioning of the volumes describing the detector elements, as positioned with respect to an enclosing (logical) volume.
Structures of the detector that are repeated can be described as one logical volume and placed in several places and great memory saving for complex structures can be achieved. Volumes can be replicated according to a regular structure or can be parameterized according to a precise mathematical formula applied to their shape, positioning or attributes, such that only one instance of the physical volume will be created in memory.
Irregular combined geometry structures can be assembled together and easily placed multiple times. A whole hierarchy of volumes can be reflected, by specifying an axis plane.
The concept of a logical volume's shape and dimensions is separated and represented in a separate entity, the solid. Solids with simple shapes, like rectilinear boxes, trapezoids, spherical and cylindrical sections or shells, are available directly as solid objects, according to the Constructed Solid Geometry (CSG) specifications. Other more specific solids are provided, like elliptical tubes, hyperbolic tubes and twisted shapes (tube, box, trapezoid). More complex solids can be defined by their bounding surfaces, which can be planes or second order surfaces [4]: Boundary REPresentations (BREPs).
Another way to obtain solids is by combining simple solids using boolean operations, like unions, intersections and subtractions. Creating such a boolean solid may also require an optional transformation for one of the two solids involved. The solids used should be either CSG solids (for examples a box, a spherical shell, or a tube) or another boolean solid (the product of a previous boolean operation). By properly using boolean operations one can describe boolean solids with particular shapes in a simple and natural way with very efficient geometrical navigation inside them.
For all shapes it is possible to compute the geometrical volume of the solid, either if a simple solid or a boolean composition; for the case of complex compositions or complex shapes, the value is estimated adopting a specific Monte Carlo technique.
As described above, a detector can be described by utilising a hierarchy of volumes, each of which can contain smaller volumes. Or it can be specified by listing all the volumes one by one, with no volume containing another. The former way can be utilised successfully to provide performant simulations.
Geant4 also provides built-in tools for helping a user modelling his/her geometry in detecting potential mistakes, like volume overlaps for which Geant4 tracking algorithms are quite sensitive and in general not tolerant. Volumes are defined as overlapping when they actually protrude from their mother-volume or when volumes in a common mother-volume actually intersect themselves. The tools implemented in the geometry modeler allow to detect most of these erroneous setups.
II. TOLERANT GEOMETRY
An important task of the geometry module in Geant4 is also to handle the geometrical propagation of tracks and find
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their intersections with volume boundaries even in the case of charged particles in a magnetic field. This geometrical or "pure" tracking consists of three steps:
1) Identify the solid in which the particle is inside.
2) Calculate the intersection distance to volumes inside of the current solid, and to the current solid's boundary (exiting distance).
3) Calculate the minimum step, and move the particle.
Geant4's propagation methods were designed to overcome limitations present in previous simulation packages (where particles were sometimes moved by small steps in order to cross a volume boundary) and to provide accuracy and efficiency. To minimise the number of geometrical calculations, tracks are propagated exactly to boundaries and their state is stored: whether it is on a boundary, whether it is exiting the current volume, etc.
Volume boundaries are effectively given a very small but finite 'thickness' to take into account the roundoff and accumulated errors of floating point arithmetic. Thanks to this "tolerant" geometry [3], intersections with boundaries less than the tolerance from the point will be ignored if the direction of the particle is away from the boundary. The thickness (or tolerance) is chosen to be very small compared to detector features but much larger than the expected arithmetic errors.
The number of steps a particle must take to traverse a detector is therefore much reduced. However, in order to efficiently traverse a detector model geometry, it is critical to reduce the number of intersections of candidate volumes made in each step. As intersections are potentially costly operations, we seek an optimisation method to minimise the number of them required.
III. OPTIMISATION TECHNIQUES
While tracking through the detector, a particle may encounter any one of several detector parts at each step. Calculating the intersection of a track with every daughter volume at each tree level would be extremely inefficient. Different methods also inspired by techniques used in ray tracing, have been studied to optimise the process by lowering the number of candidate volumes to be tested for intersection.
A possible technique is the one adopting virtual divisions, which consists of having mother volumes sliced evenly along one axis into sections. Each section stores pointers to the sub-volumes it contains, compressed by bunching together common lists. This scheme works well in a hierarchical detector description, where the number of structured daughter volumes is small. It will fail though for 'flat' geometries, where a large number of sub-volumes may exist and the level of detail in different regions of the model detector varies greatly.
Other techniques based on fixed or variable grids foresee storing for each cell of the grid a list of pointers to the volumes intersected. The contents of each cell can be determined entirely at initialisation time, based on the bounding box of each volume. Fixed size grids have the disadvantage of memory consumption versus finer granularity dictated by small detector components. The usage of variable grids would overcome this problem but would make more complex intersection tests and determining within which cell a particle is inside.
In Geant4 a different optimisation technique is adopted. The technique is derived from the voxels-based method also adopted in ray tracing, where space is subdivided into cubical volume elements (voxels) and a tree based map is created by recursively dividing the detector into octants. A traditional voxel based technique retains the disadvantage of grid based methods in that every voxel intersected along the particle's trajectory must be tested for intersection. In the smart voxels technique [2] adopted in Geant4, for each mother volume, a one dimensional virtual division is performed. The best axis for the virtual division is chosen by using a heuristic where equal subdivisions are gathered into single bins. Each division containing too many volumes is then refined by applying virtual division again, but using a second Cartesian axis. If the resultant subdivisions contain too many volumes, a further refiniment can be performed by dividing again along a third Cartesian axis.
If a hierarchy of volumes exists, the local axes introduced typically aid in producing efficient space decomposition. For a "flat hierarchy" smart voxels can produce either a simple virtual division if volumes are regular and suitably placed, or a deep tree if it contains many volumes of different sizes and placements. Such technique allows to greatly improve runtime performance for "pure" tracking, up to 20 times for "flat" geometries compared to the traditional techniques adopted in previous simulation packages.
Smart voxels are computed at initialisation time, and require small memory and computing resources. At tracking time searching is done in the hierarchy of virtual divisions. This method for pure tracking was found to be very well performant and does not require the need to tune detector description parameters.
IV. PERSISTENCY OF GEOMETRY MODELS
There are several way by which a user can define the actual geometry description in Geant4: either by directly coding it in pure C++, making use of the APIs defined in the Geant4 toolkit; either defining it by means of the GAG Java visual tool [5] and then directly generating the related C++ code to be integrated; either by importing/exporting the geometry model with GDML (Geometry Description Markup Language) [6].
GDML is a markup language based on XML and is aimed to define a common approach for sharing and exchanging of geometry description data. Through GDML it is possible in Geant4 to store persistently on an ASCII file all the information related to a geometry model: material definitions, solids and volumes compositions, including replications and size/positioning parameterisations.
V. CONCLUSION
The geometry modeler of Geant4 is capable of describing complex geometries made of a combination of a large variety of shapes. Geometrical shapes are represented as separate entities (solids) which define the logical structure of the volumes positioned in the model.
It provides means by which memory consumption can be greatly reduced, and regular or irregular patterns can be easily replicated, assembled or reflected. Efficient navigation and optimisation techniques are provided to allow for exact geometrical propagation of tracks in the simulation, and fast detection of intersections in generic geometries.
Geometry models can be easily exchanged by importing/exporting their GDML descriptions.
REFERENCES
[1] S. Agostinelli et al, Geant4 Collaboration, Nuclear Instruments and Methods in Physics Research, A 506 (2003) 250. See also the Geant4 web page: cern.ch/geant4 .
[2] Pure Tracking and Geometry in Geant4, P.Kent, April 1995, CERN note.
[3] Minimising Precision Problems in Geant4 Geometry, P.Kent, April 1995, CERN note.
[4] GEREP, a Boundary Representation Modeler proposal for Geant4, J.Sulkimo and J.Vuoskoski, IT Division Internal Report, CERN.
[5] M. Nagamatsu, T. Kodama, H. Uno, H. Yoshida, K. Ohtsubo, S. Tanaka, M. Asai, Proceedings of the CHEP '98 Conference, Chicago, September 1998.
[6] R.Chytracek, Proceedings of the CHEP '01 Conference, Bejing, September 2001. See also the GDML web page: cern.ch/gdml .
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UN Special Rapporteur Margot Wallström Visits PRIO
The Special Rapporteur told the audience about progress, challenges, and priorities in the fight against sexual violence in conflict.
PRIO Gender, Peace and Security Update
Second Issue 2011
The PRIO Gender Peace and Security Update is an electronic newsletter published by PRIO‟s Gender Team in response to growing interest among the public for information about women, peace and security issues. The newsletter will keep readers informed of the latest developments both internationally and in Norway in relation to UN Security Council Resolution 1325 (2000)
Margot Wallström, UN Special Rapporteur on Sexual Violence in Conflict, visited PRIO 15 June 2011. Wallström was appointed Special Rapporteur by UN Secretary General Ban Ki Moon in February 2010, as a part of the Secretary Generals efforts to reduce and combat the widespread use of violence against in contemporary armed conflicts. Wallström has focused significant attention on the scourge of rape in the DRC. However, she also lists Colombia, Bosnia-Herzegovina, Central African Republic (CAR), Cote d‟Ivoire, Sudan and Liberia as focal countries, and has recently paid significant attention to the worrying reports of systematic use of rape by Gaddafi-loyal fighters in the conflict in Libya.
of armed violence accountable for their actions in a systematic way has been a major priority for her investigations and recommendations. Wallström has contributed to a growing understanding of how rape during conflict is being used as a weapon, strategically employed to undermine the morale of the enemy and to break down the social fabric of local and national communities. Understanding the use of rape in conflict on these terms is crucial for the recent international development, where sexual violence is being prosecuted as war crimes by special tribunals and by the International Criminal Court.
Thematically, the problem of impunity and the need for holding perpetrators
A great number of civil society organizations showed up at PRIO for the meeting, including representatives of field-based organizations, activists, and
Peace Research Institute Oslo | Independent • International •
Interdisci- researchers. Wallström opened her talk at PRIO by reflecting on madness – the madness of taking on a task such as hers, and the madness of the widespread occurrence of sexual violence in conflict. Sexual violence is in a greater or lesser extent a feature of all armed conflicts, though there are massive challenges associated with gathering reliable data and ensuring accurate reporting and measuring of occurrences. As the Special Rapporteur stressed several times during her intervention, there is still a sense of the unavoidable about sexual violence committed in times of conflict. This tacit acceptance, not necessarily of the acts themselves but of their unavoidability makes it even harder to challenge impunity and to start creating preventive measures aiming at eradicating sexual violence in conflict.
Wallström is a firm believer in the use of naming and shaming techniques when calling for accountability, legal action and an end to impunity. While such strategies may appear toothless, Wallström claims that making herself a nuisance and refusing to just quietly "go away" after making her point has proven quite effective.
Indeed, much of the work of Wallström and her small and overstretched office focus on efforts to challenge impunity and to bring perpetrators of sexual violence to justice. The issue of prosecution of armed actors for sexual violence committed during conflict seems a particularly weighty argument on the side of justice when justice is seen as a question of trade-offs with reconciliation. This particular type of war crime is almost exclusively targeted at civilians, and the resulting trauma for the victim is often severe and multiple. The victim often experiences additional trauma through the taboo that surrounds sexual violence in many cultures, and the exclusion they often experience at the hands of their partners, families or societies.
It seems a convincing argument that these situations in particular make a strong case for why reconciliation without justice for the victims can be hard to achieve. The widespread impunity for such acts in many local and national courts is a case for concern, and it is not clear that international courts are able to provide victims with a real sense of justice and reparation. Wallström points to this shortcoming in both international and national courts when she, in an address to the UN Human Rights Council, said that "women argue that they have got law, rather than justice".
The important work towards an end of impunity for sexual violence in conflict is making slow and uneasy progress, and when asked to identify issues under her mandate where progress can already be detected, this is what Wallström points to. She identifies a changing trend in that never before have high-level soldiers standing trial before the ICC been charged with counts of sexual violence. This has also been seen in military courts, and although the procedures and framing may not be ideal, the processes have generally been considered fair and just. Wallström particularly mentioned the prosecution of high-level fighters from the conflict in the DRC as encouraging. Several members of the Congolese army are standing trial before national courts on charges of wartime rape, suggesting increased acknowledgement of the severity of this type of crime as well as of the need to hold commanding officers accountable for gross or systematic uses of sexual violence by soldiers under their command.
This meeting was a good opportunity for civil society to provide input to the Special Rapporteur, both reflecting their particular work and experiences, and giving feedback on the work carried out by her office thus far. About ten organisations had been asked to prepare comments and questions, and several took the opportunity to inform Wallström and the audience about their activities and lessons learned from their research or field presence. Unfortunately there was no time for the audience and the Special Rapporteur to engage further on these topics, leaving several interesting inputs unexplored. It can nevertheless be expected that Wallström left the meeting with new ideas, new knowledge and new questions based on the wide range of expertise and perspectives present in the room.
Thematic prosecution of international sex crimes
In the context of Margot Wallström‟s visit to PRIO and the emphasis that she
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has placed on ending impunity and ensuring prosecution for sexual violence during conflict, it is worth noting the research being carried out by PRIO associate Morten Bergsmo and the Forum for International Criminal and Humanitarian Law (FICHL) on thematic prosecution of international sex crimes.
Morten Bergsmo is a Senior Researcher at the University of Oslo, and Visiting Fellow at Stanford University, as well as an initiator of the FICHL. The concept of thematic prosecution may be quite foreign to the average lay person. Bergsmo explains:
"When many war crimes are committed in an armed conflict, criminal justice is normally unable to prosecute all cases. A prioritization of cases is required. That may entail placing more emphasis on some crimes than others. International sex crimes can, for example, be singled out for prioritization. That can be referred to as thematic prosecution." This type of prosecution can be particularly beneficial in issue areas marred by widespread impunity due to the crimes being largely ignored. "Successful prosecutions of war crimes do generally speaking address impunity directly and they can contribute a sense of justice to victims, whether it is pursuant to thematic prosecution or not. Thematic prosecution may be a way to give more attention to crimes previously ignored, provided there is adequate justification," Bergsmo explains.
FICHL organized an expert seminar in
Cape Town in March 2011 where several legal experts addressed different aspects of thematic prosecution and investigation of international sex crimes. According to the participating academics at the workshop, benefits of thematic prosecution include increased attention to and understanding of the given type of crime, and potentially more targeted and wide-reaching use of investigative resources. FICHL have published a policy brief based in part on the two expert seminars they arranged earlier in 2011, and are planning two antologies to be published by Torkel Opsahl Academic E-Publisher.
The policy brief, available from http://www.fichl.org/fileadmin/fichl/ docu- ments/FICHL_Policy_Brief_Series/FICH L_PB4.pdf , is a very good introduction to the different debates currently surrounding thematic prosecution of sex crimes in international as well as national courts.
The issue is still in its infancy, according to Bergsmo, who says that "We do not have clear-cut examples of thematic prosecution of international sex crimes in internationalised criminal jurisdictions. Arguably the Yugoslavia Tribunal engaged to a certain extent in such practice. However, the question now is whether a strong rationale for such thematic prosecution can be developed. The FICHL seminar in Cape Town in March 2011 started this debate. As far as we know, there has only been one publication on the topic, in a Norwegian Festschrift to Helga Hernes in 2008."
Several of the contributors address the topic in light of the impact it can have on the victim‟s sense of justice and reparations, and how thematic prosecutions may err on the side of scale over impact as it may remove the prosecution and sentence further away from the individual victims and their need for a sense of justice. However, it is also quite conceivable that thematic investigations and prosecutions of sex crimes in many cases is the only way a number of perpetrators of such crimes may be tried, as it focuses the limited resources of the court and prosecution on this particular category of crimes. In a broader perspective, this may also serve a more general purpose of bringing attention to the severity and prevalence of sex crimes and to reinforce the normative prohibition of such acts. Increased awareness and precedence that breaks down perceptions of sex crimes as less serious or less relevant for post-conflict and restorative justice may play an important role in the fight against impunity for perpetrators of sexual violence.
The FICHL project is noteworthy in the way it combines in-depth research and principled debates with practical expe-
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rience of legal practitioners. The tradeoff between efficient use of resources and the victim‟s experience of closeness and relevance of the prosecution to their particular victimization is one of several important questions worthy of further discussions, and this research appears to be of particular relevance to the Special Rapporteur and others who are concerned with ending impunity for sexual violence in conflict.
Civil Society Help Push the Norwegian 1325 Agenda Forward
On Tuesday the 21st of June, the Norwegian MFA invited researchers, practitioners, activists and other civil society representatives to a meeting in the network for gender, peace and security work in Norway. The network is part of the Norwegian strategic plan for implementation of Resolution 1325 from 2011-2013, which was launched earlier this year (see PRIO GPS Newsletter No. 1 2011). A significant bulk of the meeting was therefore dedicated to discussing how the priorities listed therein are being realized. Additionally, the MFA had invited a panel of three practitioners with different significant experiences and expertise on gender aspects of peacebuilding to share their experiences with the group towards the end of the meeting.
The meeting was opened by Hilde Klemetsdal, project leader of the 1325 project at the MFA who asked State Secretary Ingrid Fiskaa to go through the most important activities carried out by the Norwegian government to follow up the obligations and goals of the revised strategic plan. The first thing she sought to emphasise was the efforts made to strengthen the women, peace and security perspective in international operations. She told the group that Norway were focusing their efforts in this regard on several arenas, including discussing gender, peace and security issues with key UN peacekeeping troop contributing countries such as India, Pakistan and Indonesia, and pushing the 1325 agenda within NATO. She also said that there was a continued domestic focus on ensuring a mainstreamed gender perspective within military and police entities involved in international operations.
Ingrid Fiskaa addressing the room. Photo: Hilde Wallacher
She also put strong emphasis on the importance of realising the immense potential for women‟s participation in post-conflict peacebuilding, a theme that was also to be echoed by the panel of experts later in the afternoon. According to Fiskaa, Norway‟s support for DCAF (the Geneva Centre for the Democratic Control of Armed Forces) was an important part of realising these ambitions of the strategic plan, in addition to routinely emphasising the point in multilateral and bilateral relations.
The State Secretary was challenged on this point both by the Norwegian Church Aid and by Torunn L. Tryggestad from PRIO. The NCA made the point that even though Norway was traditionally a strong ally for the NGOs when it comes to female participation in civil society peacebuilding initiatives, they missed a strong commitment to support the involvement of women and of civil society in UN-led processes. These two things are often strongly interlinked, as civil society organisations are often women‟s access point to peacebuilding in many conflict and post-conflict areas. Fiskaa admitted that while they were working politically in the UN to increase the acceptance of the important role of women and of civil society, this perspective often got lost in the "heat of the moment" when a process is being played out.
Tryggestad made the additional point that while it is commendable that Norway lobby for the inclusion of women in peacebuilding processes around the world, the peace and reconciliation group at the MFA is still a very male dominated environment where as recently as a couple of years back its delegation was all male. And while Fiskaa has a point when she points out that it takes time to build competence among women, and that Norway now has a woman involved in a peacebuilding process on the Philippines, it is nevertheless far from clear that Norway is doing enough at home to rectify this enormous imbalance.
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The panel of experts addressing the group in the second half of the meeting had significant insights to contribute to this particular debate. The discussion was chaired by State Secretary Espen Barth Eide, and on the panel we had Leymah Gbowee, Donald Steinberg and Sanam Anderlini who shared their diverse experiences related to the role of women in different peacebuilding processes.
Resonating across experiences from Liberia, Angola, Afghanistan and UNbased work on the development of resolution 1325 was recognition of the importance of empowerment of women and of recognizing that women have and ought to be able to exercise agency. Gbowee told the audience how important it is that women are included at all stages of a peacebuilding process. If they are excluded at the early stages and at the lower levels of consultation and mobilization, she said, they would also be excluded at the higher levels and in the negotiations. She also made the very valuable point that ensuring women at the table does not equate ensuring that regular women‟s voices are heard or that somehow the grass-root is represented. For all representatives at the negotiating table it is of essential importance that there are mechanisms to ensure accountability of the participants to the larger community.
Steinberg, speaking from his experience from peace talks in Angola, made the obvious but crucially important point that including women in peace talks is not just a "right" thing to do, it is also a smart thing to do. Peace talks that do not reflect the perspectives and interests of 50% of the population will have a slim chance of success, meaning that mainstreaming of gender perspectives and the inclusion of women at all stages and levels of a process ought to be a very attractive option for competitive negotiation leaders. Reflecting on the failed process in Angola where he was involved, he said that a peace negotiated by fighters and for fighters would often fail to enjoy the necessary legitimacy in the wider community. Particularly, he said, the fact that former fighters would grant each other amnesties from atrocities committed against civilians, including widespread use of sexual violence, put a significant strain on the volatile peace. Summarizing Steinberg‟s points, his lessons learned are that empowerment and real participation of women is essential to ensure efficient peacebuilding.
The last speaker on the panel, Sanam Anderlini, also emphasized the importance of empowerment and to recognize that women are not just victims but that they have agency in conflict and in peacebuilding processes. She took issue with the concept of the token "gender person" who gets thrown into all aspects of an organization and who receives very little respect but is at the same time expected to be able to provide the gender perspective on a vast and very diverse range of subjects. She also made the compelling argument that there is a lot to be gained from establishing alliances at leadership levels, especially with male leaders. Significantly, those at leadership level may come to realize that this is not only sensible from a rights perspective, but also from an efficiency perspective. Excluding 50% of the population from processes meant to build sustainable peace after violent conflicts can‟t be expected to yield ideal results that enjoy the necessary local legitimacy.
The three speakers only made a short stop at the 1325 network meeting on their way to a meeting of the Oslo Forum, an informal platform for highlevel mediators and other key individuals involved in peacebuilding. The Oslo Forum would have a record level of 30% female participation this time, which is somewhat encouraging although the agenda reflected the tendency of having one token gender breakaway session thrown into a mix of conventional themes that, at least to an outsider, failed to reflect any significant ambition to take seriously the challenge of women‟s exclusion from peace processes. However, if Anderlini‟s somewhat cynical point about the
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importance of ensuring that the "gender language" is spoken by the (male) leadership, the presence of these three people at the Forum might just make a little bit of a difference.
CMI Seminar on Gender Justice
CMI, the Chr. Michelsens Institutt in Bergen, recently invited interested researchers to a three hour seminar on the topic of gender justice and legal pluralities. The seminar aimed at presenting and discussing the impact of legal pluralities on women‟s rights in different legal systems in Latin America and in Africa. Presentations were given by Rachel Sieder, senior research professor at the Centro de Investigaciones y Educación Superior en Antropología Social (CIESAS) in Mexico City, and research fellow at the Institute for the Study of the Americas at the University of London; and Anne Hellum, professor at the Department of Public and International Law at the University of Oslo.
Both researchers emphasized the essential importance of context for understanding the ways that systems of legal pluralities may impact gender justice and women‟s rights. Rachel Sieder‟s research on Latin American cases showed the inter-sectionality of legal systems such as regimes based on indigenous claims to autonomy; national legal regimes to a greater or lesser extent transformed by multicultural or pluricultural legal reforms; and regional and international law have an impact on gender justice. She was partic- ularly concerned with the impact on indigenous women, as they overwhelmingly are victims of a triple and intersecting discrimination based on gender, ethnicity and class. This, combined with low literacy (especially in the majority language), low rights awareness, the existence of structural violence and patriarchal domination, and corrupt and inefficient justice systems makes indigenous women‟s access to justice and legal reparations severely limited.
Among scholars of legal anthropology, there is a strong tendency to assume that legal pluralities are inherently disadvantageous, particularly for marginalized groups of a population. Sieder proposes a more pragmatic approach. For example, the intersecting discrimination of indigenous women in Guatemala suggests that there will be no real access to justice for these women without proper justice for indigenous peoples. At the same time, giving legal status to traditional indigenous norms and justice regimes may come to legitimize and institutionalize discriminating and oppressive practices that women in these communities seek to challenge.
Anne Hellum shared some thoughts on legal pluralities and gender justice in Africa. She stressed how legal pluralities must be seen in the light of local history and pre-existing legal regimes. In many African countries, legal pluralities are a legacy of British colonial rule, and as such reflect a context in which the "native" population did not have access to the judicial systems of the elites, but were given the legal space to seek justice under regimes reflecting real or perceived traditional practices. However, legal pluralities are also often claimed by minority groups as a key aspect of autonomy, seen both in cases concerning indigenous peoples and, recently in Northern Europe, in claims made by immigrant groups facing racism in their host countries. Overlapping legal systems, thus, are challenging, but neither inherently good nor bad for marginalized groups.
In Hellum‟s case studies from several African states, parallel systems of mediation and justice are sometimes the only effective avenue for dispute settlements for many women, as the courts are highly corrupt and function as inaccessible, closed spaces. This provides a space for third party mediation that has been filled by a fauna of NGOs, including many women‟s organizations. Such platforms may provide useful spaces for women‟s organizations to exercise this third-party power, though this access is often determined by existing legal frameworks and by donor policies.
While external actors such as aid organizations often intend to utilize such spaces in order to expand women‟s real enjoyment of rights, they may lack the comprehensive insight necessary to negotiate the opposition this may be faced with. They therefore run the risk of aiding in the restriction of space for women rather than to realize inten-
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tions of improving women‟s positions and access to justice and enjoyment of rights.
Both Sieder‟s and Hellum‟s research exist in the intersection between anthropology, sociology and law. One of the benefits of this cross-disciplinary
International News
The Nobel Women's Initiative, composed of six women Nobel Peace Prize laureates on May 23-25 held the conference "Women Forging a New Security: Ending Sexual Violence in Conflict" in Montebello, Quebec. The goal of the conference was to make new connections in order to build peace and stability in conflict-affected regions and to launch a campaign geared at ending sexual violence in conflict. For more information see www.nobelwomensinitiative.org/
News from Norway
The Oslo Forum 2011 Annual Mediator's Retreat took place on June 21-23. It is organized by the Norwegian MFA and the Centre for Humanitarian Dialogue, and is meant as a platform for senior third-party mediators and other key individuals involved in peace processes to share knowledge and experience. The meeting had a record attendance of 30% women, and one separate break-away session with a gender focus. This was entitled Gender in Mediation: Why all the Fuss? For more information see http://www.osloforum.org/
The Norwegian Defence University College organised a one-day international research seems to be how it is able to illuminate how law is not a disengaged and technical phenomenon, but a set of dynamic entities that are unequally applied and accessible, and that carries different meaning, impact and relevance depending on the cultural, social and historical context on which it is
conference on „Sexual Violence, the Armed Forces and Military Operations‟ in Oslo, 17 June. The aim of the conference was to highlight the role sexual violence plays for the armed forces and in military operations and provide the armed forces with concrete tools to prevent and respond to conflict-related sexual violence. For more information see www.forsvaret.no/gender
News from PRIO
Helga Hernes and Inger Skjelsbæk
Attended the launch of Women and War: Power and Protection in the 21 st Century at the United States Institute for Peace in Washington DC. The book was edited by Helga Hernes, Kathleen Kuehnast and Chantal de Jonge, and Inger Skjelsbæk contributed a chapter entitled "Sexual Violence in the PostYugoslav Wars." In connection with the launch Hernes and Skjelsbæk participated in a panel discussion at a symposium discussing the themes of the book. Helga Hernes closed the launch by giving a well-received summary of discussions and a short presentation of the book.
Ragnhild Nordås
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applied. These lessons ought to be shared with activists, policy makers and NGOs seeking to change, challenge or utilize legal framework in their efforts to improve women‟s livelihoods and rights enjoyment.
Presented a paper entitled What do we know about sexual violence in conflict? at the Norwegian Defence College conference on Sexual Violence, The Armed Forces and Military Operations on 17 June.
Attended the conference "Women forging a new security: Ending sexual violence in conflict" arranged by the Nobel Women‟s Initiative in Montebello, Quebec, Canada on May 23-25.
Inger Skjelsbæk
Gave a presentation on PRIO Research on Sexualised Violence at the 1325 Research Network Meeting on 26 May. Presented a paper on Why Rape? Perpetrators of Sexual Violence Crimes in War; An Analysis of Court Transcripts from the International Criminal Tribunal for the Former Yugoslavia (ICTY) at the International Studies Association (ISA) Convention in Montreal, Canada. The panel title was "The Gendered Discourses of Sexual Violence" on 17 March.
Gave the presentation Sexual violence in war and conflict; misinterpreted masculinities or an unavoidable side effect? for Amnesty International at the University of Oslo on 31 March. Other panelists were Morten Bøås from FAFO and Jon Rian from FOKUS.
Torunn L. Tryggestad
Attended a meeting of the 1325 Network Meeting organized by the Ministry of Foreign Affairs on 21 June.
Organised a one-day meeting at PRIO for the 1325 Research Network (researchers based in Norway), 26 May. Close to 20 researchers conducting research on „women, peace and security‟ related topics met to discuss research projects and exchange views and ideas.
Gave a presentation on UN Security Council Resolution 1325 – 10 Years O‟ at the Annual Women‟s Conference organized by Kvinners Frivillige Beredskap (KFB) on 10 May.
Gave an introductory lecture for the newly established PRIO Research School in Peace and Conflict on Peace and Conflict – What‟s the Relevance of Gender? on 12 April.
Presented a paper on Collaborative Governance: Gendering the UN Security Agenda at the ISA in Montreal on 18 March.
Gave a lecture on Women‟s roles in crisis and war at an MA course in International Crisis Management organized by the Directorate for Civil Protection and Emergency Planning on 9 March.
Hilde Wallacher
Attended the CMI seminar Gender Jus-
tice and Legal Pluralities: Latin American and African Perspectives on 24 June.
Attended the 1325 Network meeting on 21 June.
Attended the Arms Trade Treaty Preparatory Committee session at the UN in New York on the 28 February-4 March, including the IANSA Women side event Disarmament Through Education – Women Take the Lead.
Recent PRIO Publications
Wibben, Annick T. R (2011), Feminist Security Studies. A Narrative Approach, PRIO New Security Studies Series, London and New York: Routledge Taylor and Francis Group
Other Recent Publications
Enloe, Cynthia (2010), Nimo‟s War, Emma‟s War. Making Feminist Sense of the Iraq War, Berkeley, Los Angeles, London: University of California Press. Garner, Karen (2010), Shaping a global women‟s agenda. Women‟s NGOs and global governance 1925-85, Manchester and New York: Manchester University Press.
Griffin, Penny (2009), Gendering the World Bank. Neoliberalism and the Gendered Foundations of Global Governance, New York: Palgrave Macmillan
Gender Aware Security – The Make of
Editors: Hilde Wallacher, Torunn L. Tryg- gestad
Peace Research Institute Oslo (PRIO)
Hausmanns gate 7
PO Box 9229 Grønland
NO-0134 Oslo Norway
Tel +47 22 54 77 00
The PRIO Gender, Peace and Security Update is published by the PRIO Gender Team with the support of the Ministry of Foreign Affairs, Norway. If you wish to find out more about PRIO Gender Team's current research projects, please visit our website www.prio.no/gender. If you have any comments or inquiries regarding the newsletter, please contact the editors: firstname.lastname@example.org www.prio.no/gender
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UN SC Resolution 1325. An Evaluation of 1325 and its implications for an altered view on military security, Swedish National Defence College.
Hellum, Anne and Bill Derham (2010), The Making and Unmaking of Unequal Property Relations between Men and Women: Shifting Policy Trajectories in South Africa's Land Restitution Process, Nordic Journal of Human Rights Vol. 2 2010.
Kaufman, Joyce P. and Kristen P. Williams (2010), Women and War: Gender Identity and Activism in Times of Conflict, Kumarian Press.
International Criminal Tribunal for the Former Yugoslavia (ICTY) (2011): Crimes of Sexual Violence web site at http://www.icty.org/sid/10312
Kuehnast, Kathleen, Chantal de Jonge
Oudraat and Helga Hernes (eds)
(2011),
Women and War: Power and Protec- st
tion in the 21Century, Washington:
United States Institute for Peace Press.
Leatherman, Janie L. (2011), Sexual Violence and Armed Conflict, War and Conflict in the Modern World Series, Cambridge: Polity Press.
Towns, Ann E. (2010), Women and States. Norms and Hierarchies in International Society, New York: Cambridge University Press.
UNIFEM (2011): Resources on Women, Peace and Security web site at http://www.unifem.org/materials/ite m_detail.php?ProductID=186
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2018 PINEWOOD DERBY CROSSWINDS DISTRICT RULES
OFFICIAL CAR RULES:
* The Pit Boss has final say on if a car passes inspection.
* These rules and the equipment used at this event take precedence over any rules or equipment used at previous Pinewood Derbies; and are identical to 2017 rules as published, with Lions added.
All cars, regardless of division or category , must comply with the following racing specifications which are excerpted from the Official Grand Prix Pinewood Derby Kit Instructions:
* The car must be newly constructed. It shall not have been built (whether or not it was run) in a previous year.
* The car must be built using the materials in the official Pinewood Derby Racing Car Kit, including the body block and nail axles. Wheels from the kit may be substituted with Official BSA approved colored plastic wheels purchased from the Scout Shop (Black – SKU 17553, Blue – SKU 17556, Orange – SKU 17557, Red – SKU 17554, Yellow – SKU 17555). No other wheels may be used. Materials from the kit may be supplemented but not replaced. Professionally prepared axles and wheels are illegal.
1. Length, Width, and Clearance
a. Overall width including wheels, axles, and attachments shall not exceed 2 ¾".
b. The width between wheels must be 1 ¾" so the car will clear the center guide strip on the track.
c. Overall height including any attachments shall not exceed 4 ¾".
d. Bottom clearance between the car and the track must be at least ⅜" so the car will clear the center guide strip on the track.
e. Overall length including any attachments shall not exceed 7.0".
f. The wheelbase (distance between the front and rear axles) must remain at a distance of 4 ¼ inches (some kits may be off between 1/8 inch to 1/4 inch).
2. Car Body, Weight, and Appearance
a. The maximum weight shall not exceed 5.00 ounces. The reading of the official scale will be final.
b. No liquids or loose materials of any kind are permitted in or on the car.
c. No taping weight down to car.
d. The car may be hollowed out and built up to a maximum weight by the addition of solid materials only, provided any additional materials are securely built into the body or firmly affixed to it.
e. Details such as steering wheel, driver, decals, painting, or interior detail are permissible as long as these details do not exceed the maximum length, width, and height specifications and/or modify the mechanical functions of the body, wheels, and axles.
f. The car shall not have any parts that are live animals, reptiles, etc.
g. Car shall not extend past the starting gate.
3. Wheels & Axles
a. ONLY BSA approved wheels and axles, as provided in the Official Pinewood Derby Kit (or the Official BSA approved colored wheels purchased from the Scout Shop) shall be used (Black – SKU 17553, Blue – SKU 17556, Orange – SKU 17557, Red – SKU 17554, Yellow – SKU 17555).
b. The wheels may not be tapered or rounded. The wheels may be slightly sanded to remove any molding marks or surface imperfections but may not be modified in any other way. Lathing wheels is not permitted. The treads must be left flat. Beveling, tapering, narrowing, thinning, thin sanding or wafering of the wheels is prohibited. See below for examples.
c. Washers and bushings are prohibited.
d. The car must have four operational wheels.
e. The distance between front and rear axles cannot be altered.
f. Axles must be all in the same plane and parallel to the track surface (all four touching the track). A standard (20lb) piece of printer paper will be used to determine if the wheels are touching. If passing the paper between the table and the wheel causes the wheel to turn freely, then the wheel is considered to touching the surface in a legal manner.
wheels surface
be
g. Axles must be fully visible for inspection. If the axle channel is covered, the covering must be removable at time of registration for inspection of the axles. Please do not permanently attach any device that covers the axle channel on the bottom of the car.
h. The car shall not ride on any type of springs.
i. The car must be freewheeling, with no starting devices or other types of propulsion.
j. Axles can be smoothed to remove surface imperfections, but not altered in any way except polishing. The head of the axle (nail) shall not be altered.
k. Judges will use a special-purpose gauge to ensure that wheels do not have a diameter less than 1.180". Raw wheels (slightly sanded- not lathed) will have 1.182" to 1.185" of diameter or greater. Judges will also check to ensure that the wheels do not have a width less than .360". Finally, a visual inspection and, if need be, comparison against known illegal wheels on web sites such as maximum-velocity.com will be used to ensure no other illegal modifcations have been made to the wheels. If the judges determine that a car has illegal wheels, then the competitor may either swap the wheels with legal ones (supplied by the judges) or the car will be allowed to race, but will not be eligible for any prizes.
l.
4. Lubrication
a. Only graphite or powdered Teflon "white lube" will be allowed for lubricating the wheels. You MAY NOT use any other lubricant, especially oil and silicone sprays. (Liquids and sprays mix with the paint of the car or the plastic wheels and make them tacky which will slow your car considerably.)
b. There will be NO lubrication after your car has completed Final Inspection and Registration.
c. Lubrication must be applied outside of the Cary Towne Center. If a car is seen being lubricated inside the building by one of the vehicle inspectors, that car will be disqualified.
5. Inspection and Registration
a. Each car must pass inspection by the Official Inspection Committee before it may compete. The Inspectors have the right to disqualify those cars which do not meet these specifications. The Pit Boss has final say on if a car passes or is disqualified.
b. Once the car has been inspected, weighed and registered, it will go to a holding area and can only be handled by the Cub Scout owner for racing, by the Pit Crew for repairing, or by the judges for evaluation of design.
c. Once registered, there will be NO additional lubricant applied to the wheels. All lubricant should be applied outside of the building and PRIOR TO weigh in (excessive graphite application has made a terrible mess of both the track and the mall in the past years).
d. No test runs before the event.
6. Ground Rules and Competition
SPEED
a. The car cannot be altered in any way after the race starts, with the exception of repairs. NO GRAPHITE may be applied to the car during the race or while in the building.
b. The speed race will be run on a four-lane track with timer. Each Cub Scout will run four races, once on each lane. The winner will be the car that has the lowest total elapsed time in the races.
c. Only Pinewood Derby officials and Scouts participating in the current race may enter the track area.
Each heat will be announced. Drivers will retrieve their cars from the "garage," report to the starting
d. line and place their cars on the designated track. The starter will start the race.
e. The car whose nose is over the finish line first is the winner for that race as detected by the electronic finish device.
f. The judge at the finish line will determine the winner if the electronic finish device fails.
g. The drivers will then report to the finish line to retrieve their cars for the next race, and return their cars to the "garage" after the last race of the heat. The drivers return to their places outside the track area after the heat.
h. If a car jumps the track or interferes with another car, the heat will not be counted and will be re-run. If a car jumps the track twice in the same heat, that car will be disqualified from the race.
i. In the event of a breakdown on the track (a wheel falls off), a repair time of two (2) minutes will be allowed. Only the Cub Scout owner and the Pit Crew will make repairs. One time only is allowed for repairs to a car.
j. The Pinewood Derby Committee will handle any questions of the rules or problems that may arise during the event.
k. The decisions of the Inspection Crew, the Derby Officials, and the Judges are final. These rules will be strictly enforced.
DESIGN
Best Design
a. Cars will be judged by independent judges that have been chosen by the Pinewood Derby Committee. These judges have been instructed by the Committee and are believed to be non-biased in their judging.
b. Best design will be based on the following:
* Neatness: is the overall appearance pleasing and well-executed
* Detail: how well was the idea carried out
* Colors: do the colors blend well with the overall design
* Scout Ability: is it evident that the Cub did the majority of the work
c. Votes will be cast on ballot sheets and tallied by members of the Pinewood Derby Committee.
Most Original
a. Cars will be judged for Originality by independent judges that have been chosen by the Pinewood Derby Committee. These judges have been instructed by the Committee and are believed to be non-biased in their judging.
b. Originality will be based on the following:
* Unique Design: something other than a "usual" racecar design
* Clever use of materials
* Unique Colors: different color scheme that impacts the design
* Detail: how well was the idea carried out
* Scout Ability: is it evident that the Cub did the majority of the work
c. Votes will be cast on ballot sheets and tallied by members of the Pinewood Derby Committee.
7. Awards and Recognition
a. The most important values in Pinewood Derby competition are parent/scout participation, good sportsmanship and learning how to follow rules. The Awards Committee is responsible for recognizing and encouraging these qualities in addition to traditional racing awards.
b. First, Second and Third place trophies will be awarded in each category of Speed, Craftsmanship and Originality. Trophy winners must be present to win.
Coaching Hints for Parents
* Help your Scout understand the rules and specifications found in the kit and those developed by the Crosswinds Pinewood Derby Committee.
* Spending time with your scout and helping him "do his best" will be remembered by both of you long after the race is finished.
* Remember the focus of this event is not to win at any cost but for each Cub Scout to "DO HIS BEST" and HAVE FUN!!
PACK LEVEL RACING GROUP BREAKDOWN
- LIONS WILL RACE AS A SINGLE GROUP
- TIGERS WILL RACE AS A SINGLE GROUP
- WOLVES WILL RACE AS A SINGLE GROUP
- BEARS WILL RACE AS A SINGLE GROUP
- WEBELOS & ARROW OF LIGHT WILL RACE AS A SINGLE GROUP
PACK LEVEL DESIGN JUDGING BREAKDOWN
TWO DIFFERENT CLASSES - ONE EACH FOR BEST DESIGN & MOST ORIGINAL
- LIONS WILL BE JUDGED AS A SINGLE GROUP
- TIGER CUBS WILL BE JUDGED AS A SINGLE GROUP
- WOLVES WILL BE JUDGED AS A SINGLE GROUP
- BEARS WILL BE JUDGED AS A SINGLE GROUP
- WEBELOS & ARROW OF LIGHT WILL BE JUDGED AS A SINGLE GROUP
CONTESTANTS WHO WILL QUALIFY TO PARTICIPATE IN THE DISTRICT PINEWOOD DERBY:
EACH PACK WILL SEND THEIR 1 ST, 2 nd, and 3 rd PLACE WINNERS FOR SPEED AND THEIR 1 st PLACE WINNERS FOR DESIGN AND ORIGINALITY AT THE PACK'S OWN PINEWOOD DERBY EVENT.
THAT WOULD BE A TOTAL OF TWENTY (25) DIFFERENT YOUTH FROM EACH OF OUR CROSSWINDS DISTRICT PACKS.
THE DISTRICT RACE IS MARCH 3, 2018 at the Cary Towne Center Mall center court.
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VIEWS AND ESTIMATES
OF THE
COMMITTEE ON TRANSPORTATION AND I FOR FISCAL YEAR 2011
NFRASTRUCTURE
Overview
The Committee's legislative priorities this year include authorization of surface transportation programs; reauthorization of the Federal Aviation Administration (FAA), the Economic Development Administration (EDA), selected provisions of the Clean Water Act and the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), the Coast Guard, and the Federal Emergency Management Agency; and enactment of a water resources development act.
Transportation Investment Leads to Economic Growth
Increased investment in transportation infrastructure has far-reaching effects on our nation's economy, our competitiveness in the world marketplace, and the quality of life in our communities. Each day, every American and every business will benefit from such investment by experiencing shortened travel times, increased productivity, and improved safety.
Throughout our nation's history, economic growth, prosperity, and opportunity have followed investments in the nation's infrastructure. From the "internal improvements" of the early 1800s – canals, locks, and roads – to the Interstate Highway System of today, infrastructure investment has been our foundation for economic growth. For example, between 1980 and 1991, almost one-fifth of the increase in productivity in the U.S. economy was attributable to investment in highways. 1
Our nation's highways, transit and rail systems, pipelines, airlines, airports, harbors, and waterways not only provide the backbone of our economy by moving people and goods, they also employ millions of workers and generate a significant share of total economic output. In 2008, transportation-related goods and services contributed $1.38 trillion, or 9.5 percent, to the total U.S. Gross Domestic Product of $14.44 trillion. Economic growth and vitality are also dependent upon high quality water and wastewater infrastructure systems.
In addition to facilitating economic growth and global competitiveness, our transportation system has a direct and significant impact on the daily lives of nearly all Americans. To the average American, higher Federal investment in transportation infrastructure will mean:
Shorter commutes that save time, fuel, and reduce pollution.
Better access to work, school, health care, and recreation.
1 "Transportation and the Economy: National and State Perspectives," American Association of State Highway and Transportation Officials, May 1998.
Lives saved – many of the more than 37,000 highway fatalities each year could be prevented by building better roads and improving the safety features of existing roads.
Safer technologies to prevent passenger and freight train collisions, such as the tragic rail accident in Chatsworth, California, in 2008.
Safer systems to accommodate the transportation of hazardous materials, estimated at 1.2 million daily movements and 3 billion tons of regulated hazardous materials transported each year.
Fewer delays for the more than 700 million passengers who travel by air each year.
River and harbor channel depths that can accommodate the efficient movement of consumer goods from domestic and foreign trade.
Facilities to accommodate the increased number of air passengers projected to travel in the future.
Despite the importance of transportation to both our economy and the quality of life in our communities, many of our nation's transportation infrastructure needs are going unmet. This has resulted in, among other things, an alarming increase in congestion.
Congestion Crisis
Congestion is a major national problem. In February 2004, a highway organization study found that the number of severe highway bottlenecks had increased by 40 percent in the past five years. In 1999, 167 major highway bottlenecks located in 30 States and the District of Columbia were identified. Using the same methodology, the number of bottlenecks grew to a total of 233 in 2004, located in 33 States and the District of Columbia.
According to the Texas Transportation Institute's 2009 Urban Mobility Study, traffic congestion in the Nation's 439 urban areas leveled off in 2007 as high gas prices brought about a slight reduction in traffic. However, congestion remains significant and will likely continue growing once the economy rebounds.
Over time, both the severity and the duration of congestion have increased. In 1982, extreme or severe congestion occurred during just 11 percent of peak period travel. In 2007, extreme or severe congestion occurred during 30 percent of peak period travel.
The extra time needed for rush hour travel has nearly tripled since 1982. The average Travel Time Index for the nation's urban areas in 2007 was 1.25 (meaning a trip during rush hour took 25 percent longer than the same trip during free-flowing travel conditions). The average in 1982 was only 1.09. Thirty-four urban areas now have a Travel Time Index above 1.20, compared with only one such area in 1982.
Congestion imposes a high cost both on our economy and on motorists. In 2007, traffic congestion cost urban motorists $87.2 billion in terms of wasted time and fuel, compared to $87.1 billion in 2006, and just $6.7 billion in 1982. 2 This cost equates to an
2 In constant 2007 dollars.
average annual cost per traveler of about $757 in 2007, down slightly from $758 in 2006, but up significantly from $290 in 1982. The hours of delay and gallons of fuel consumed due to congestion are only the elements that are easiest to estimate. The effect of uncertain or longer delivery times, missed meetings, business relocations and other congestion impacts are not included in this estimate.
The uncertain and longer delivery times caused by congestion are a serious problem for freight transportation. The vast majority of freight is transported via truck. Over the last two and a half decades, the volume of freight has grown dramatically. Highway system improvements have not kept pace with this growth. For example, between 1980 and 2008, truck vehicle-miles traveled more than doubled, while roadway lane-miles increased by only 7.1 percent.
According to the Federal Highway Administration (FHWA), the demand for freight transportation will continue to increase in the future. Over 19 billion tons of freight worth more than $13 trillion was transported in 2002. Roughly two-thirds of this freight was transported by truck. By 2035, freight volumes are expected to almost double and the value of shipments is expected to grow to nearly $42 trillion. Assuming no changes in highway capacity, the FHWA estimates that increases in truck and passenger vehicle traffic will expand recurring, peak-period congestion to 40 percent of the National Highway System (NHS) in 2035, compared with 11 percent in 2002. This will slow traffic on nearly 20,000 miles of the NHS and create stop-and-go conditions on an additional 45,000 miles.
Congestion negatively impacts our environment, as well, by increasing emissions and wasting fuel. Vehicles in stop-and-go traffic emit more pollutants – particularly carbon monoxide and volatile organic compounds – than they do when operating without frequent braking and acceleration. In 2007, traffic congestion in the nation's urban areas wasted an estimated 2.8 billion gallons of fuel.
Perhaps most importantly, reducing highway congestion would save lives. If modest improvements were made to improve the traffic flow at the 233 severe bottlenecks identified in the highway organization study discussed above, the number and severity of vehicle crashes would be lessened. Over the 20-year life of the projects, such improvements would prevent more than 449,500 crashes, including some 1,750 fatalities and 220,500 injuries.
Although the slowing economy and the terrorist attacks of September 11, 2001, temporarily reduced aviation congestion beginning in 2001, the number of air travelers subsequently rebounded and reached a new record-high in 2007. With the rebound in airline travel, the number of delayed flights increased. In 2007, travelers experienced the highest number of delayed flights -- 1.8 million -- in the 13 years since the Department of Transportation (DOT) has collected such data. The economic recession that began in December 2007 subsequently weakened demand for air travel once again, and the number of delayed flights declined to 1.5 million in 2008 and 1.2 million in 2009.
Although the demand for air travel fluctuates over the business cycle, it is generally forecast to increase over time, with continued population and economic growth. Absent aviation system capacity improvements, delays will continue to increase in the future. Delays at large hub airports have persisted even with the drop in overall system congestion. These delays ripple throughout the National Airspace System, causing system-wide impacts.
Infrastructure Investment Needs
To alleviate congestion and reap the economic benefits of an efficient transportation system, our transportation infrastructure needs must be met. These needs, which are discussed in more detail later in this document, are significant:
$105.6 billion a year just to maintain highways and bridges at their current conditions, or $174.6 billion a year to improve conditions.
$18.9 billion a year in airport capital needs.
$15.1 billion a year just to maintain transit systems at the current condition and performance, or $21.1 billion a year to improve conditions and performance.
Over $3 billion per year to meet the capital needs of the Federal Aviation Administration, including modernization of the air traffic control system.
$162 billion over the next 20 years to re-establish the national intercity passenger rail and high-speed rail network.
Between $11-12 billion over the next nine years to bring the Northeast Corridor to a state-of-good-repair (including backlog, growth, and trip time improvements) and for other improvements to the national rail passenger transportation system, including equipment replacement.
$39 billion over the next 26 years to expand capacity on our nation's Class I freight railroads.
$35 billion over the next ten years to fund cumulative capital improvement needs at the nation's largest public ports.
$13 billion over the next 26 years to upgrade shortline and regional railroads to accommodate heavier rail cars and meet demand.
$7.5 billion to finish currently authorized inland waterway construction needs.
The nation's commercial shipping ports, which handle 95 percent of our international trade, face severe access problems on both the waterside and landside. With more than two billion tons of cargo valued at more than $2 trillion moving through our ports and waterways annually, we must ensure adequate infrastructure to meet the growing demands of international trade. Investments of at least $3.5 billion per year are needed by federal and nonfederal sources to improve ports and keep pace with the growth of commerce.
The nation's inland waterways contain a series of outdated and antiquated locks and dams that, unless rehabilitated or improved, will continue to hinder the movement of coal, grain, and other bulk products. Close to 55 percent of the lock chambers on the system have exceeded their 50-year design lives. With the use of the aging inland waterway system expected to increase, including through expanded use of short-sea shipping, delays are likely to continue to rise.
Currently authorized construction needs for the inland waterway system are valued at $7.5 billion, but we are currently investing at a pace that will see us falling further behind these needs. Additional investment of hundreds of millions of dollars will be needed each year for modernization and replacement of the nation's locks and dams to meet the demands on the inland waterway system.
Our wastewater infrastructure also is facing substantial funding needs in order to meet and maintain clean water restoration goals. Communities throughout the United States continue to struggle financially to meet their ever-increasing wastewater treatment infrastructure needs. The Environmental Protection Agency (EPA) has reported that a failure to increase investment in wastewater treatment infrastructure would erode many of the water quality achievements of the past 30 years.
The nation's failure to adequately restore and maintain the integrity of its waters can have devastating effects on the economy. Cities and towns, commercial fishing and shellfish harvesting, tourism, recreation, and many sectors of industry rely on the availability of clean, safe water supplies.
Estimates of the nation's clean water infrastructure needs over the next 20 years exceed $400 billion. The needs are especially urgent for areas trying to remedy the problem of combined sewer overflows and sanitary sewer overflows and for small communities lacking sufficient independent financing ability. Drinking water infrastructure needs are estimated at nearly $500 billion over the next 20 years. Current spending by all levels of government is one-half of the estimated needs. Increased investment by Federal, state, and local governments, as well as by the private sector, will be needed to close the gap between current spending and projected needs.
The Federal Government is continuing to under-invest in its wide variety of buildings and facilities that house federal employees, the judiciary, and cultural institutions. The General Services Administration (GSA)-controlled inventory of existing Federal buildings is aging and requires extensive repair and renovation to ensure that Federal employees are housed in safe, modern facilities. These GSA-controlled facilities have a functional replacement value of $41 billion, and an estimated backlog exceeding $7 billion to repair and modernize existing Federal buildings. Similarly, the Smithsonian Institution estimates its repair and alteration backlog to be in excess of $2.5 billion. Funding provided by the American Recovery and Reinvestment Act of 2009 (Recovery Act) (P.L. 111-5) will partially address these backlogs. Specifically, the Recovery Act provided GSA with $5.55 billion in funds for repair, alteration, and construction of Federal buildings, courthouses, and border stations, with a focus on energy efficiency and conservation. The Recovery Act also provided an additional $25 million for repair and alteration of the Smithsonian's facilities. However, even with this additional funding, many buildings are having basic repair needs delayed or derailed. Delaying these necessary repairs threatens the missions of the agencies that occupy this space.
Transportation Trust Funds
To help meet some of the infrastructure investment needs discussed above, Congress established a series of trust funds to collect user fees and invest those funds in capital improvements and maintenance. These funds include the Highway Trust Fund, the Airport and Airway Trust Fund (Aviation Trust Fund), the Inland Waterways Trust Fund, and the Harbor Maintenance Trust Fund. Each of these trust funds invests dedicated user fee revenues in infrastructure programs to finance long-range construction and maintenance activities that benefit from the funding certainty provided by the trust funds.
Recently, increased fuel prices and the economic recession have resulted in lower than anticipated trust fund revenues. Despite the recent downturn, the trust funds still remain an important source of funding for our infrastructure investments.
One of this Committee's highest priorities is to ensure that the user fees deposited into these trust funds are in fact used for their intended purposes – to rebuild our nation's infrastructure. These trust funds represent a contract between the government and the user. This contract specified that certain user fees would be levied on the users of highways, airports, inland waterways, and ports. In return, the government pledged to use the receipts to build transportation infrastructure for the taxpayer's use.
While recent surface and aviation reauthorization acts have upheld the contract for the Highway and Aviation Trust Funds, the two remaining funds face unique challenges for addressing both the Inland Waterways and Harbor Maintenance needs of the nation. The Inland Waterways Trust Fund balance by the end of fiscal year (FY) 2010 is estimated to be $23 million, at the same time that authorized Inland Waterways construction needs are estimated at $7.5 billion. The Harbor Maintenance Trust Fund balance at the end of FY 2010 is estimated to be $5.519 billion, at the same time that currently authorized harbor maintenance needs are not being met.
Similar to the reforms achieved for the Highway and Aviation Trust Funds, the full receipts and balances of the Inland Waterways and Harbor Maintenance Trust Funds should be made available to serve their intended purpose – meeting our infrastructure needs.
Extension of Spending Caps and Budget Process Reforms
Given the Transportation and Infrastructure Committee's commitment to achieving budget reforms for the transportation trust funds, other budget process legislation, including any extension of the discretionary spending caps, is of significant interest to this Committee.
The Transportation and Infrastructure Committee would strongly oppose any effort to reinstate the discretionary spending caps in a manner that fails to recognize the unique nature of Trust-Funded programs, or negatively impacts the traditional funding guarantees that have been established for highway, transit, and aviation programs.
Waste, Fraud, Abuse, and Improving Governmental Performance
Pursuant to section 425 of the FY 2010 congressional budget resolution, S. Con. Res. 13, the Committee submits the following recommendations regarding waste, fraud, and abuse, and improving governmental performance.
Implementation of American Recovery and Reinvestment Act of 2009
The American Recovery and Reinvestment Act of 2009 (P.L. 111-5) (Recovery Act) provided $64.1 billion for programs within the jurisdiction of the Committee on Transportation and Infrastructure. Oversight of the use of these funds has been a major focus of the Committee over the past year.
The Committee has held 15 oversight hearings on the Recovery Act since October 2008, including eight Full Committee hearings and seven subcommittee hearings. These 15 hearings included a total of 117 witnesses and spanned over 61 hours. The breadth of witnesses included Ray LaHood, Secretary of the U.S. Department of Transportation (DOT) and Lisa Jackson, Administrator of the U.S. Environmental Protection Agency (EPA), as well as other Federal, State, and local government officials, and private industry leaders actively engaged in implementing the Recovery Act.
To assist in its oversight of Recovery Act programs, the Committee wrote to Governors, Metropolitan Planning Organizations, and transit agencies who are direct recipients of funds under the Recovery Act to request expedited and additional reporting on the use of Recovery Act funds, beginning in April 2009 and continuing monthly thereafter. Letters were sent to the 50 Governors of the United States, the Mayor of Washington, DC, and the Governors of American Samoa, Guam, Northern Mariana Islands, Puerto Rico, and the Virgin Islands. In addition, letters were sent to 156 Metropolitan Planning Organizations for transportation management areas (areas with populations greater than 200,000 people) and 256 major public transit agencies (areas with populations greater than 200,000 people) that directly receive Federal-aid highway and public transit funding under the Recovery Act. The information requested by the Committee goes beyond the transparency and accountability requirements of the Recovery Act, and has enabled the Committee to track more closely the implementation and use of Recovery Act funds.
In an effort to spur improved performance, the Committee has periodically issued rankings of the best and worst performing States in utilizing Recovery Act funds, based on the information reported to the Committee. Additionally, in August and October of 2009, the Committee wrote letters to the Governors of the best and worst performing States in utilizing Recovery Act highway formula funds. In November 2009, the Committee wrote letters to the Governors of the best and worst performing States in utilizing wastewater infrastructure Recovery Act funds.
In 2010, the Committee will continue to monitor closely the implementation of transportation and infrastructure provisions of the Recovery Act to ensure that the funds are invested quickly, efficiently, and in harmony with the job-creating purposes of the Act.
Leasing of Federal Office Space
In most circumstances, the use of long-term leases to satisfy the need for Federal office space is a wasteful use of appropriated funds, because such leases are typically more expensive than federal construction. The current guidelines for the budgetary treatment of leases, which have been in place since 1991, require the full cost of a capital lease or leasepurchase to be scored up-front, rather than on an annual basis. This scoring rule has had the unintended and undesirable effect of forcing GSA into using long-term operating leases, which contain no ownership option, to meet Federal office space requirements. Under the current scoring rule and budget constraints, more cost-effective options, such as leasepurchase, cannot be considered; rather, GSA is left with just two options for meeting the Federal Government's office space needs – either direct appropriations or long-term leases. Due to budget constraints, direct appropriations are often not a viable option, resulting in the inefficient use of long-term leases.
The Federal Buildings Fund depends on the rent payment by agencies in government-owned space, which then allows GSA to construct, maintain, and repair buildings in the federal inventory. Recent trends towards leasing buildings has led to a steady shrinking of the Federal Buildings Fund, which in turn limits the federal government's ability to not only maintain its inventory of buildings and facilities but also generate funds for new federal construction to house federal employees. This "leased to owned" ratio trend presents a distressing portrait of the condition of an essential government function.
The Government Accountability Office's (GAO) work over the years has shown that building ownership often costs less than operating leases, especially for long-term space needs. For example, in 1995 GAO reported in GAO/T-GGD-95-149 that 55 of 73 operating leases that the GSA had entered into cost a total of $700 million more than construction. In 1999, GAO reported in GAO/GGD-99-49R that, for eight of nine major operating lease acquisitions, GSA had proposed, construction would have cost less than leasing and saved the Federal Government $126 million over 30 years. In 2005, GAO testified that for the Patent and Trademark Office's long-term requirements in northern Virginia, the cost of an operating lease was estimated to be $48 million more than construction and $38 million more than lease-purchase of the necessary office space. Similarly, GAO estimated that the U.S. Department of Transportation building in Washington, D.C., would have cost $190 million less to construct than to enter into an operating lease. In 2008, GAO reported in GAO-08-197 that for four of seven GSA building leases GAO examined, leasing was more costly over the long-term than construction – by an estimated $83.3 million over 30 years.
According to GAO, the current practice of relying on costly leasing to meet longterm space needs results in excessive costs to taxpayers and does not reflect a sensible or economically rational approach to capital asset management. If GSA's budget cannot be increased such that it can accommodate the up-front scoring rule while still meeting the space needs of the federal government, then the Committee recommends that GSA be authorized to acquire federal space through lease-to-ownership leases, without up-front scoring, if such a lease-purchase is more cost-effective than an operating lease.
Emergency Management
The Committee recognizes the inherent tension between providing disaster relief in an expeditious manner while at the same time minimizing waste, fraud and abuse. Nevertheless, the Committee expects the Federal Emergency Management Agency (FEMA) to fulfill its obligation to be a good steward of the public's funds and trust. The Committee recognized the importance of this issue when it passed the Post Katrina Emergency Management Reform Act of 2006, which includes Subtitle F, "Prevention of Waste Fraud
and Abuse" (6 U.S.C. 791 -797). In 2007, the Committee continued to provide oversight to prevent waste, fraud and abuse by holding the following oversight hearings to examine whether FEMA was carrying out these duties: "Post-Katrina Temporary Housing: Dilemmas and Solutions" (March 2007); and "FEMA's Emergency Food Supply System" (April 2007).
In addition, in the 111 th Congress, the Committee has examined FEMA's operation of the Integrated Alerts and Public Warnings System (IPAWS), which is authorized under section 202 of the Stafford Act. Two hearings of the Subcommittee on Economic Development, Public Buildings and Emergency Management have raised questions as to whether FEMA is effectively implementing this program to deliver critical messages to the nation in times of disaster or crisis and whether FEMA is effectively using the resources provided to accomplish this mission. Those hearings were "Assuring Public Alert Systems Work" (June 2008) and "This is NOT a Test: Will the Nation's Emergency Alert System Deliver the President's Message to the Public?" (September 2009) .
The Committee will continue its vigorous oversight of FEMA's disaster relief program and emergency management operations to ensure the effective use of funds.
Coast Guard Acquisition Reform
The Committee has continued its oversight of Coast Guard acquisitions programs in the 111 th Congress. In March 2009, the Committee held a hearing to examine the Coast Guard's current acquisition programs, as well as the policies and procedures the service is implementing to strengthen its management of the entire acquisition process. Specifically, the Committee examined the efforts the Coast Guard has undertaken to respond to the extensive criticisms of the early Deepwater 3 effort and the Rescue-21 program by creating a new Acquisitions Directorate; issuing and continuing to revise a "Blueprint for Acquisition Reform" which guides the acquisition management systems it is building; and extracting Deepwater from the Integrated Coast Guard Systems (ICGS) team and bringing the Lead Systems Integration functions back in-house. During the hearing, Rear Admiral Gary Blore, the Assistant Commandant for Acquisition, also announced that under an agreement signed the morning of the hearing, all options for extending the Deepwater contract with the ICGS team beyond the date of expiration of the current award, January 24, 2011, had been eliminated.
Last year, the House passed H.R. 1665, the Coast Guard Acquisition Reform Act of 2009. H.R. 1665 strengthens Coast Guard acquisition management processes and establishes personnel-related standards and policies for individuals in the Coast Guard's acquisition workforce. The legislation responds directly to the acquisition failures during the early years of the Deepwater procurements that led to the expenditure of what the GAO has estimated to be nearly $300 million on projects that were cancelled or subsequently restructured, including $95 million wasted in the failed effort to lengthen 110-foot patrol boats to 123 feet; $119 million wasted on the first effort to develop a vertical unmanned aerial vehicle; and $66 million wasted on the first designs for the Offshore Patrol Cutter and the Fast Response Cutter.
3 The Deepwater program is the Coast Guard's effort to replace or rehabilitate aircraft and cutters that operate primarily 50 miles offshore.
The legislation would require the appointment of a Chief Acquisition Officer who, at the Commandant's choice, can be either a member of the military or a civilian member of the Senior Executive Service, but who must be a Level III Program Manager and who must have 10 years of professional experience in acquisition management.
Additionally, the legislation would require that the Coast Guard put in place systems to ensure that it effectively defines operational requirements before initiating acquisition efforts, and that all acquired assets undergo thorough developmental and operational testing to ensure that they will meet mission needs, meet the highest quality standards, and pose no safety risks to Coast Guard personnel.
This legislation would also ensure that the service develops and, critically, maintains the expertise within its workforce that it will need to effectively and efficiently manage acquisition efforts in the future by requiring the service to designate the members of its acquisition workforce and establish career paths in acquisition.
The Committee will continue oversight of the Coast Guard's implementation of the Deepwater procurements.
Hazardous Material Safety Program
The Committee held an oversight hearing on September 10, 2009, to examine concerns with the Pipeline and Hazardous Material Safety Administration's (PHMSA) oversight and management of hazardous material safety in the United States. Prior to the hearing, Majority Committee staff released preliminary findings of a staff investigation of PHMSA which found that PHMSA's performance of its primary safety mission was less than diligent in far too many instances, including oversight and management of its special permits and approvals programs.
The hearing coincided with the release of preliminary findings of a DOT Inspector General's audit of PHMSA which found serious deficiencies in PHMSA's review and authorization of special permits and approvals; coordination between PHMSA and affected operating administrations, the Federal Aviation Administration in particular, before issuing special permits and approvals; and oversight and enforcement of approved parties' compliance with the terms and conditions of special permits and approvals.
The Committee subsequently ordered reported H.R. 4016, the "Hazardous Material Safety Act of 2008", which would address many of the deficiencies found as a result of the oversight investigation and hearing and calls for significant enhancements to the hazardous material safety program through an increase in personnel, including inspectors, training, significant improvements to data collection and analysis, and a more well-defined mission. The legislation also requires PHMSA to: (1) enhance training for emergency responders; (2) issue regulations for the safe transportation of lithium cells and batteries on board aircraft, in coordination with the Federal Aviation Administration; (3) eliminate transportation of flammable materials in external product piping; (4) strengthen the special permits and approvals programs; (5) establish a working group to improve the collection, analysis, and reporting of data related to hazmat transportation accidents; and (6) carry out a hazmat
enforcement training program. The legislation also directs the Secretary to increase the number of personnel by 84 full-time employees to carry out PHMSA's important hazardous materials safety mission.
H.R. 4016 proposes $51.3 million for the hazardous material safety program in FY 2011, $10.9 million above the President's budget request. Without a higher level of funding as proposed in H.R. 4016, it will be difficult for PHMSA to correct the significant deficiencies in its hazardous material safety program which, in turn, could jeopardize safety.
Conclusion
The detailed views and estimates presented below urge that the Congressional Budget Resolution meet the important needs discussed above, to improve our nation's infrastructure and transportation safety and ensure that vital services, such as those provided by the Coast Guard, are maintained. While the cost of meeting our nation's transportation and infrastructure investment needs may seem high, the cost of not meeting them is greater still.
This report was circulated to all Members of the Committee on Transportation and Infrastructure for their review and comment, and was approved in a Full Committee meeting on March 3, 2010. While the report reflects a bipartisan effort, the Committee wishes to emphasize that not all Members of the Committee necessarily agree with every aspect. Accordingly, the Committee reserves its flexibility to determine program needs and recognizes the potential for funding changes as the Committee and Congress work their will through the legislative process.
Aviation
Since airline deregulation in 1978, air travel has become an essential form of transportation for much of the nation. The number of commercial air travelers has grown dramatically since then, from 312 million travelers in 1980 to a record-high of 765 million in 2007.
This unprecedented number of air travelers pushed our nation's air traffic control system and over-crowded airports to the brink of gridlock. In 2007, travelers experienced the highest percentage of late arrivals – 24.2 percent – in the 13 years since DOT has collected such data.
Increased fuel costs and a slowing economy caused enplanements to decline in 2008 and 2009, and overall on-time performance improved. However, delays at large hub airports have persisted even with the drop in overall system congestion. These delays ripple throughout the National Airspace System, causing system-wide impacts. Absent further improvements in aviation system capacity and efficiency, delays will likely increase significantly as the number of air travelers rebounds and continues to grow in the future.
FAA Facilities & Equipment
Increased capital investment in our air traffic control system is necessary to increase system capacity and avoid gridlock. These investments have traditionally been funded by the FAA's Facilities & Equipment (F&E) account.
The FAA has embarked upon on a major new Next Generation Air Transportation System (NextGen) program to increase system capacity. In 2007, the interagency Joint Planning and Development Office (JPDO) issued both an Enterprise Architecture and a Concept of Operations for NextGen. These documents provide a high-level blueprint for how to technologically transform the National Airspace System and triple capacity by the year 2025. In January 2009, the FAA issued a mid-term architecture, focusing on objectives through the year 2018. Despite the completion of these documents, the cost of transitioning to the NextGen remains uncertain.
The President's Budget requests $2.97 billion for F&E in FY 2011, an increase of $34 million (1.2 percent) above the FY 2010 enacted level of $2.936 billion. Within the total amount requested for F&E, $1.023 billion is requested for NextGen programs, an increase of $234.5 million (30 percent) above the FY 2010 enacted level of $788.3 million. Relative to the FY 2010 enacted funding level, the FY 2011 request would shift approximately $200 million away from procurement and modernization of en route and terminal facilities, and put it toward Engineering, Development, Test and Evaluation, in support of NextGen programs.
As it makes the investments necessary to develop NextGen, the FAA also needs to properly invest in the maintenance and upkeep of existing infrastructure. A lack of sufficient funding for the F&E program would likely result in continued deferred maintenance and repair of the FAA's existing infrastructure.
To ensure that our nation's air traffic control system remains safe, reliable, and efficient, and is ready to accommodate the significantly increased number of passengers anticipated in the near future, the Committee recommends that the F&E program be funded at no less than $3.353 billion in FY 2011, consistent with the funding level authorized by H.R. 915, the "FAA Reauthorization Act of 2009", as approved by the House last year.
Airport Improvement Program (AIP)
Increased investment in our airport infrastructure is also necessary to maintain a safe and efficient aviation system. The FAA estimates that $49.7 billion of AIP-eligible infrastructure development will be needed between 2009 and 2013 based on the latest National Plan of Integrated Airport Systems (NPIAS) report dated September 30, 2008.
An airport trade association's Capital Needs Survey, conducted in December 2008 January 2009, estimates that airport capital development costs for AIP-eligible and other necessary projects will total approximately $94.4 billion during the same time frame (20092013), an average annual cost of $18.9 billion.
To allow the AIP program to keep pace with inflationary cost increases, and begin to address the investment gap in airport safety and capacity needs, the Committee recommends that AIP be funded at least at $4.0 billion in FY 2010, $4.1 billion in FY 2011, and $4.2 billion in FY 2012, consistent with H.R. 915, the "FAA Reauthorization Act of 2009", as approved by the House last year.
FAA Operations and Maintenance
For FAA's operating costs, the Committee recommends providing at least $10.094 billion for FY 2011, consistent with the authorized funding level in H.R. 915, the "FAA Reauthorization Act of 2009", as approved by the House last year. This is an increase of $301 million (3.1 percent) above the President's Budget request of $9.793 billion. The authorized funding level will allow the FAA to maintain current operations, as well as hire additional aviation safety inspectors and carry out additional airspace redesign initiatives.
Small Community Air Service Development
Inadequate service to small communities has been a concern since airline deregulation. Although the benefits of airline deregulation have been significant, they have not been evenly distributed. In certain small- and medium-sized communities, the lack of competition among airlines has resulted in significantly higher fares. Other small communities lack air service altogether. The Small Community Air Service Development program addresses these problems by helping underserved communities improve their air service through the use of strategies such as marketing support and revenue guarantees.
Demand for this program has far exceeded the funding available. When this program received its initial funding of $20 million in FY 2002, DOT received 179 applications totaling more than $142.5 million from communities in 47 states. The program continued to receive $20 million in each of FYs 2003 through 2005, $10 million in each of FYs 2006 through 2008, $8 million in FY 2009, and $6 million in FY 2010. However, the Administration requests no funds for this program in FY 2011. The Committee recommends this program be funded from the General Fund in FY 2011 at the $35 million level authorized in H.R. 915, the "FAA Reauthorization Act of 2009", as approved by the House last year.
Essential Air Service
The financial condition of the airlines, higher fuel costs, and increased regulatory costs have also increased demands on the Essential Air Service (EAS) program over the past several years. Before September 11, 2001, a total of 106 communities required EAS subsidy (32 in Alaska and 74 elsewhere in the United States). As of February 2010, there are 159 communities requiring EAS subsidy (45 in Alaska and 114 elsewhere), a 50 percent increase compared to 2000. The cost of funding the current array of contracts in FY 2010 4 is approximately $182 million. This does not assume any new communities require subsidy, or any subsidy increases are required as contracts expire and are re-let. To meet increased costs of renewing existing contracts, as well as the cost of providing service to communities that
4 As of February 1, 2010.
may begin to require subsidy, the Committee recommends EAS be funded in FY 2011 at the $200 million level authorized in H.R. 915, the "FAA Reauthorization Act of 2009", as approved by the House last year.
Coast Guard and Maritime Transportation
The Committee recommends $10.2 billion in FY 2011 for U.S. Coast Guard activities, which is an increase of $346 million (or 3.5 percent) above the total amount enacted for FY 2010 and $623 million (6.5 percent) above the FY 2011 President's Budget. Of this $623 million increase, $308.5 million was requested for Coast Guard operations within the President's budget request for other agencies. The Committee recommends that this funding be included in the Coast Guard's budget to provide a more accurate accounting of the resources available to the service to carry out its missions.
This recommendation is designed to sustain the Coast Guard's ability to support America's maritime safety, security, and stewardship, interests for FY 2011. A detailed break-out of this recommended funding level by program is provided below.
The Committee believes it is imperative that the Coast Guard receive the resources necessary to protect America while implementing the Service's core missions such as search and rescue, marine safety, fisheries law enforcement, drug interdiction, migrant interdiction, aids to navigation, marine environmental protection, and boating safety. Therefore, the Committee makes the following recommendations.
Coast Guard Operating Expenses
The Committee recommends $7 billion for Operating Expenses (OE), an increase of $192 million (2.8 percent) over the FY 2010 enacted level and $346 million (5.2 percent) above the FY 2011 President's Budget. The OE account comprises more than two-thirds of the Coast Guard's budget. Funding from this account supports all of the Coast Guard's missions, including Search and Rescue, Marine Safety, Aids to Navigation, Living Marine Resources, Drug and Migrant Interdiction, Marine Environmental Protection, Other Law Enforcement, Ports Waterways and Coastal Security and Defense Readiness. This funding also covers the costs associated with the Coast Guard's workforce comprised of more than 42,170 active duty, 8,100 reservists and 7,700 civilians.
Approximately $79.983 million of the President's budget request will be allocated to operation and maintenance funding to support follow on and new costs related to shore facilities and aids-to-navigation, delivery of 18 Response Boat-Mediums, Rescue 21, Nationwide Automatic Identifications System, Defense Messaging System, rescue swimmer training facility and surface and air asset follow-on.
The Committee's recommendation includes the transfer of $54 million from the National Science Foundation to the Coast Guard for the operation of the Coast Guard Cutters POLAR STAR, POLAR SEA, and HEALY. The Committee's recommendation also includes the transfer of $254.5 million from the Navy to the Coast Guard for Overseas Contingency Operations.
In contrast to the President's budget, the Committee recommends restoring the following units and assets that were proposed for elimination:
o Two High Endurance Cutters;
o Five Maritime Safety and Security Teams (MSST).
o Five H-65 helicopters; and
The President's budget proposed to decrease the Coast Guard's total budget by $35.1 million and the workforce by 773 personnel. Restoring these units and assets will increase the Coast Guard's budget request by $37.7 million and number of personnel by 841.
The Committee recommends restoring funding for two High Endurance Cutters that the President's budget proposed to decommission, which will increase the budget request by $14 million.
The Committee recommends restoring funding for five H-65 helicopters that the President's budget proposed to remove from active service, which will increase the budget request by $5.5 million. Hearings last year indicated the Coast Guard needs additional helicopters to deploy in drug interdiction patrols; therefore the Committee recommends increasing the budget request by $5.5 million to keep the helicopters in active service.
The Committee recommends restoring funding for the five Maritime Safety and Security Teams (MSST) the President's budget proposed to decommission, which will increase the budget request by $18.2 million.
Reserve Training
The Committee recommends $135.7 million for reserve training; an increase of two percent over the FY 2010 enacted level.
Environmental Compliance and Restoration
The Committee recommends $13.3 million for environmental compliance and restoration operations, a one percent increase over the FY 2010 enacted level. This funding will provide the resources necessary to meet the mandated milestones of major cleanup efforts and other environmental restoration needs. Significant increases in this account will be necessary in future years to allow the Coast Guard to complete the decommissioning of the LORAN system.
Coast Guard Capital Funding (Acquisition, Construction & Improvement (AC&I))
The Committee recommends $1.64 billion to fund all planned Coast Guard capital acquisitions in FY 2011, a $106 million (7 percent) increase above the FY 2010 enacted level. These funds support the acquisition, construction, and improvement of vessels, aircraft,
information management resources, shore facilities, and aids to navigation.
The Committee's recommendation includes $108 million above the President's request to purchase long lead time material for the sixth National Security cutter.
The Committee's recommendation includes $1.22 billion for the Integrated Deepwater Systems program, to replace or rehabilitate cutters and aircraft, a $66.2 million (5.7 percent) decrease from the FY 2010 enacted level.
The Committee's recommendation also includes $153 million to support the construction of a new combined buoy tender-icebreaker for service on the Great Lakes which was included in The Great Lakes Icebreaker Replacement Act which passed the House on April 27, 2009.
Research, Development, Test and Evaluation
The Committee recommends $20 million for Research, Development, Test and Evaluation. The Committee continues to support full funding of this account under the Coast Guard's direct control.
Alteration of Bridges
The Committee recommends $16 million for the Alteration of Bridges, a $12 million (300 percent) increase above the FY 2010 enacted level of $4 million. The Coast Guard has determined eight bridges to be unreasonable obstructions to navigation and an additional 32 bridges as potentially unreasonable obstructions to navigation. Funding for this program is imperative to the safe navigation of recreational and commercial vessels.
Port Security Grants
The Committee supports providing at least $300 million for port security grants in FY 2011.
Federal Maritime Commission
The Committee recommends approximately $25.5 million for the Federal Maritime Commission in FY 2011.
Economic Development, Public Buildings, and Emergency Management
Economic Development
The Committee has jurisdiction over five existing economic development programs: the Economic Development Administration (EDA), the Appalachian Regional Commission, the Denali Commission, the Delta Regional Authority, and the Northern Great Plains Regional Authority. In addition, P.L. 110-246 authorized the creation of three new regional commissions: the Southeast Crescent Regional Commission, the Southwest Border Regional Commission, and the Northern Border Regional Commission. During the 111th Congress, the Committee intends to reauthorize EDA.
The Administration requests $246 million for EDA's Economic Development Assistance Programs (EDAP) in FY 2011, a decrease of $9 million or 3.5 percent below the FY 2010 enacted level of $255 million. For EDA's salaries and expenses, the Administration requests $40.2 million in FY 2011, a slight increase of $2.2 million above the FY 2010 enacted level of $38 million.
Regional Economic Development Commissions
Regional commissions have a proven track record of efficiently and fairly meeting the needs of the regions they serve by providing grants for infrastructure and economic development plans. These plans undergo a rigorous and thorough vetting process to ensure that only the best plans receive funding. The Committee remains committed to ensuring the full funding of these programs.
In 2008, P.L. 110-371 reauthorized the Appalachian Regional Commission (ARC) through FY 2012. For FY 2011, $108 million is authorized for ARC programs, and an additional $13.5 million is authorized for economic and energy development initiatives. The Administration's FY 2011 funding request for the ARC is $76 million, which is equal to the FY 2010 enacted level. The Committee supports full funding at the authorized level for this important economic development program, 50 percent of which goes to Appalachian counties that are economically distressed. The Committee also supports continued funding for the Appalachian Development Highway System, which will be reauthorized as part of the upcoming surface transportation authorization legislation to be considered later this year.
The Committee supports funding the Denali Commission at levels sufficient to allow it to continue with effective sustainability and development programs. The Administration has requested $12 million for the Denali Commission for FY 2011, which is equal to the FY 2010 enacted level.
The Administration has requested $13 million for the Delta Regional Authority (DRA) for FY 2011, which is equal to the FY 2010 enacted level. The Committee recommends funding the DRA at $30 million for FY 2011, equal to the authorized level. A failure to fully fund the DRA significantly hampers its ability to meet its mission.
The Administration has requested $1.5 million for the Northern Border Regional Commission for FY 2011, which is equal to the FY 2010 level. The Northern Border Regional Commission will play a vital role in the economic renewal of the upper northeast border region. The Committee recommends funding the Authority at $30 million for FY2011, equal to the authorized level.
The President's budget did not include any funding for the Northern Great Plains Regional Authority, which will play a vital role in the economic renewal of the Great Plains region. The Committee recommends funding the Authority at $30 million for FY 2011, equal to the authorized level.
The Administration has requested $250,000 for the Southeast Crescent Regional Commission for FY 2011, which is equal to the FY 2010 enacted level. The Committee also recommends providing $30 million for both the Southeast Crescent Regional Commission and the Southwest Border Regional Commission established by P.L. 110-246 in FY 2011, which is the authorized funding level.
Public Buildings
In the area of public buildings, the Committee intends to address a number of issues concerning the Public Buildings Service of the GSA. These issues include the continued viability of the Federal Buildings Fund (FBF), GSA's courthouse construction program, border station construction, the need for increased funds for repairs and alterations, and the use of leased space.
The FBF, the primary source of funding for GSA's capital investment program, while receiving consistent funding over the past several years, is barely maintaining its present position with regard to providing funding for construction of new federal buildings and the repair of existing buildings. The FBF is supported by lease payments charged to federal agencies occupying space in GSA facilities. GSA is increasingly relying on the use of leased space because it lacks funds for construction, repair, alteration, and modernization of federally-owned facilities. The Committee recommends that the Administration carefully review the amount of funds made available for the construction, repair and alteration of federally owned facilities as well as reconsider the increased reliance on leased space and how these issues impact the FBF.
GSA's repair and alteration program in previous years has failed to meet projected demand for the modernization of GSA's aging inventory of federal buildings. The functional replacement value of GSA's 1,532 owned buildings is $41 billion. A significant investment will be necessary to make these buildings modern and efficient places to work. The FY 2011 repair and alteration request is $703.5 million; a 70 percent increase of the FY 2010 enacted level of $413.8 million. The requested amount will fund repairs and alterations at federal buildings and judicial facilities. The marked increase in FY 2011 is a result of the significant decrease in the FY 2010 repair and alteration program due to the investments of the American Recovery and Reinvestment Act. The Committee recommends fully funding the FY 2011 repair and alteration program, which will allow for an increase in the level of renovations being made to federally owned buildings. Doing so will allow GSA to locate
more federal employees in government-owned space, which will reduce the amount of office space being leased from the private sector and thereby reduce overall costs.
GSA has requested $676.4 million for the construction and acquisition of new facilities, a 24.3 percent decrease from the FY 2010 enacted level of $894 million. This request includes funding for continued agency consolidations, new border stations, funds for general infrastructure and development activities, and funds for non-prospectus level construction. The Committee supports this request and urges the full funding of GSA's construction program.
The Committee will continue to monitor GSA's leasing program. The Committee continues to be concerned about the rising amount of leased space being used to meet the requirements of the civilian branch of the Federal Government where Federal facilities are not available. The leasing program is increasing from year to year, largely as a result of the scoring rules implemented pursuant to the Budget Enforcement Act of 1990, which force GSA into short-term, expensive leases, to avoid the budget impact of a capital lease.
The Committee will also continue to exercise oversight over GSA's Federal Judiciary projects. The Committee will pursue savings on existing construction projects and carefully scrutinize newly requested courthouse space.
Emergency Management
Department of Homeland Security
The failed response to Hurricane Katrina made evident many shortcomings at the federal level, in general, and with the Department of Homeland Security (DHS) and the Federal Emergency Management Agency (FEMA), in particular. Most of these shortcomings can be directly tied to FEMA's placement in the DHS bureaucracy. Since 2003, the Committee has held hearings showing a clear correlation between the absorption of FEMA into DHS and the deterioration of FEMA's effectiveness. Another reason for this trend is that since becoming a part of DHS, FEMA's emergency management mission has shifted toward a disproportionate focus on terrorism at the expense of other hazards. The country requires FEMA to once again function with the nimbleness and flexibility that was its hallmark before being placed within the DHS bureaucracy. Therefore, the Committee feels that FEMA would function best, and the country would be best served in times of disasters, if FEMA was once again an independent agency led by an Administrator with extensive experience in emergency management, reporting directly to the President.
Additionally, there are continuing tensions between homeland security grant programs and the all-hazards emergency management approach as was identified at a Committee hearing on "An Independent FEMA: Restoring the Nation's Capabilities for Effective Emergency Management and Disaster Response" on May 12, 2009, as well as several hearings of the Subcommittee on Economic Development, Public Buildings and Emergency Management, including "FEMA's Preparedness And Response To All Hazards" on April 27, 2007, "Readiness in the Post-Katrina and Post-9/11 World: An Evaluation of the New National Response Framework" on September 11, 2007, "FEMA's Response to the 2008 Hurricane Season and the National Housing Strategy" on September 23, 2008, and
"Post-Katrina Disaster Response and Recovery: Evaluating FEMA's Continuing Efforts in the Gulf Coast and Response to Recent Disasters" on February 25, 2009.
Federal Emergency Management Agency
Mitigation – For FY 2011, Congress enacted $140 million for mitigation grants including $100 million for Pre-Disaster Mitigation (PDM) and $40 million for flood mitigation assistance (FMA). The FY 2011 President's Budget requests $140 million for mitigation grants, including $100 million for PDM and $40 million for FMA. The PDM Program, which is authorized by the Committee on Transportation and Infrastructure, will sunset on September 30, 2010, if further action is not taken. Effective disaster mitigation spending reduces the costs incurred in managing the consequences of natural disasters. In the 111th Congress, the Committee reported and the House passed H.R. 1746, which would have authorized an appropriation of $250 million for FY 2011. The Committee supports funding at this level.
Disaster Relief – For disaster relief programs administered by FEMA, the Committee recommends funding sufficient to meet the needs of communities hit by disasters. The total amount enacted for the Disaster Relief Fund (DRF) to date in FY 2010 is $1.6 billion, a decrease of $7.76 billion below the FY 2009 level of $9.36 billion. However, the President has requested an additional $5.1 billion in supplemental funding for the DRF in FY 2010. For FY 2011, the President's Budget requests $1.95 billion for the DRF. In addition, Congress enacted $295,000 for the Disaster Assistance Direct Loan account for FY 2010, the same as the FY 2009 level. The President's Budget requests this same funding level for FY 2011.
Flood Map Modernization – In FY 2010, Congress enacted $220 million for flood map modernization, the same level as was provided for FY 2009. For FY 2011, the President's Budget requests $194 million, a decrease of $26 million from the FY 2010 enacted level. Over the past several years, FEMA has engaged in an aggressive plan to modernize the nation's flood maps. As maps are modernized, the Committee supports FEMA's efforts to include risk identification for multiple hazards associated with these maps. The Committee supports fully funding this program to ensure that communities across the country have the most accurate information possible for insurance, planning, and mitigation activities.
Emergency Management Performance Grants (EMPG) – The EMPG program is the Federal Government's principal grant program to build basic State and local emergency management capability. In FY 2010, Congress enacted $340 million for the EMPG program, a $25 million increase above the FY 2009 enacted level of $315 million. For FY 2011, the President's Budget requests $345 million. The Committee believes the program should remain a flexible program focused on building basic emergency management capability and should not combine the funding of EMPG with terrorism-specific programs. The Committee recommends that it be funded at the authorized level of $815 million in FY 2011.
Emergency Operations Centers – In FY 2010, Congress enacted $60 million for all-hazard Emergency Operations Centers (EOCs), authorized by section 614 of the Stafford Act, an increase of $25 million above the FY 2010 enacted level of $35 million. The President's Budget proposes no funding for EOCs in FY 2011. While EOC construction is authorized under EMPG, the President's Budget requests an increase of just $5 million for EMPG.
FIRE Grants - In FY 2010, Congress enacted $810 million in all hazard assistance to firefighters in small and large communities around the nation. Of this amount, $420 million was specifically targeted to Staffing for Adequate Fire and Emergency Response ("SAFER") grants, which help fire departments increase the number of frontline firefighters, and the remainder, $390 million, was for Assistance to Firefighter Grants ("Fire Grants"). This is an increase from the $210 million FY 2009 enacted level for SAFER, and a decrease from the $565 million FY 2009 enacted level for Fire Grants. The FY 2011 President's Budget requests $305 million for SAFER and $305 million for Fire Grants. The authorization for the Fire Grant program expired on September 30, 2009, and the authorization for the SAFER program will expire on September 30, 2010. H.R. 3791, which would reauthorize both programs, passed the House on November 18, 2009. The Committee supports funding Fire Grants and SAFER in FY 2011 at $1 billion and $1.194 billion, respectively, consistent with the funding levels authorized by H.R. 3791.
Homeland Security Grants – In FY 2010, Congress enacted $3.105 billion for Homeland Security Prevention and Protection Programs, virtually the same as the $3.106 billion FY 2009 enacted level. This amount includes $950 million for the State Homeland Security Grant Program (same as enacted in FY 2009), and $887 million for the Urban Area Security Initiative (up from $837 million enacted in FY 2009). The FY 2011 President's Budget requests $1.05 billion for the State Homeland Security Grant Program and $1.1 billion for the Urban Area Security Initiative, which includes $200 million for hosting terror-related trials. The Committee does not support the Administration's proposal to fund EMPG, Fire Grants, and SAFER from this account. The Committee also does not support consolidating the Citizen Corps program into the Urban Area Security Initiative and the State Homeland Security Grant Program.
Smithsonian Institution
The FY 2011 President's budget request for the construction and revitalization of Smithsonian facilities is $136.8 million, and increase of $11.8 million above the FY 2010 enacted level of $125 million. A recent GAO report indicated $2.5 billion is necessary over the next 10 years to address the Smithsonian's backlog of facility maintenance. Continued instability in the amount provided for facilities at the Smithsonian Institution poses a serious risk to the vitality of the Smithsonian and its ability to carry out its core missions. A reduction in funding in past years has made such projects as restoration of the Arts and Industries building impossible at this time, even though this historic building has serious structural defects that have required its closure. Additionally, this lack of funding threatens the Smithsonian's accreditation due to its inability to maintain and update its collection, provide adequate security at its museums, continue to fund research, and provide adequate staffing. The Committee recommends funding the Smithsonian's construction and revitalization program at a level that will allow it to meet its basic needs while continuing its research and outreach activities.
Architect of the Capitol
The Architect of the Capitol's (AOC) FY 2011 budget request includes $90.8 million for House Office Buildings, $101.2 million for libraries and grounds, $14.3 million for the Botanic Gardens, and $120.6 million for the Capitol power plant. In addition, the AOC requested $50 million for the House Historic Buildings Revitalization Trust Fund. The Committee is concerned about the mounting backlog of capital requirements and urges full funding for the AOC program. The Committee intends to exercise aggressive oversight over the Capitol buildings and grounds.
John F. Kennedy Center for the Performing Arts
The FY 2011 President's Budget requests $37.4 million for the John F. Kennedy Center for the Performing Arts (Kennedy Center). These funds are exclusively for the Operations and Maintenance (O&M, $23.5 million) and Capital Repair and Restoration (CR&R, $13.9 million) activities of the Kennedy Center. This level is $3 million less than the amount enacted in FY 2010 ($40.4 million). P.L. 110-338 authorizes appropriations for the John F. Kennedy Center for the Performing Arts through FY 2012. In FY 2011, a total of $40.5 million is authorized for the Kennedy Center, including $23.5 million for maintenance, repair, and security, and an additional $17 million for capital projects. The performing arts programming and administrative support for the Kennedy Center is financed by ticket sales, auxiliary and investment income, and through private donations. The Committee recommends funding the Kennedy Center at the authorized levels to ensure that the Kennedy Center can continue to maintain its historic building and provide a world class venue for its robust programming activities.
Highways and Transit
The most recent long-term authorization of the Federal surface transportation program, the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), expired at the end of FY 2009. Since that time, Federal highway, highway safety, and public transportation programs have been operating under a series of short-term extensions, the most recent of which expired on February 28, 2010.
In its FY 2011 budget request, the Administration has called for further extension of the program through March 31, 2011. The Committee continues to reject an extension of this duration, which would unacceptably postpone a much-needed infusion of Federal surface transportation investment, the creation of millions of new jobs, and comprehensive reforms to the Federal surface transportation program.
Despite the Administration's continued call for an 18-month extension of surface transportation programs, the budget request contains a number of significant programmatic and policy proposals. The Committee believes that restructuring of and changes to the highway, highway safety and transit programs should be addressed in a comprehensive longterm authorization bill, not in a piecemeal fashion.
In June 2009 the Subcommittee on Highways and Transit unanimously reported to the Full Committee on Transportation and Infrastructure a comprehensive surface transportation authorization proposal: the Surface Transportation Authorization Act of 2009 (STAA). STAA would invest $450 billion in the nation's surface transportation network, and would significantly transform the surface transportation programs and policies, many of which were crafted more than a half-century ago. The current programs are no longer wellsuited to address today's challenges of improving the condition, performance, and safety of our system. STAA establishes programs and policies designed to achieve specific national objectives: reduce fatalities and injuries on our nation's highways; unlock the congestion that cripples major cities and the freight transportation network; provide transportation choices for commuters and travelers; limit the adverse effects of transportation on the environment; and promote public health and the livability of the nation's communities.
The increased investment called for in STAA is accompanied by greater transparency, accountability, oversight, and performance measures to ensure that taxpayer dollars are being spent effectively and in a manner that provides the maximum return on that investment. Under current Federal surface transportation programs, recipients of funding have significant flexibility in the use of funds, and tracking the benefits derived from these investments is difficult. STAA will establish programs that are outcome-based and include mechanisms to allow Congress and the American public to see the benefits achieved from the investments made.
Under existing transportation policy, the Federal highway, highway safety, and transit programs would be funded at a total level of $326 billion over the next six years. This level is not adequate to meet the needs of the system. According to the U.S. Department of Transportation's "2008 Status of the Nation's Highways, Bridges, and Transit: Conditions and Performance" report (C&P Report), over the next 20 years, an additional:
$27 billion 5 per year from all levels of government is needed simply to sustain highway conditions and performance;
$2.3 billion 6 per year in capital investments from all levels of government are necessary to maintain the current average transit asset conditions and current transit vehicle occupancy levels; and
$96 billion 5 per year from all levels of government is needed to make all costbeneficial highway improvements and to eliminate the backlog of bridge deficiencies;
$8.3 billion 6 per year in capital investment from all levels of government are necessary to improve transit conditions and performance.
The significant underinvestment in surface transportation infrastructure identified in the C&P Report confirms the findings of two commissions established by Congress to study future surface transportation policy and financing needs. The National Surface
5 Amount shown is an increase relative to current capital investment by all levels of Government of $78.7 billion in 2006.
6 Amount shown is an increase relative to current capital investment by all levels of Government of $12.75 billion.
Transportation Policy and Revenue Study Commission called for an annual investment level of between $225 and $340 billion – by all levels of government and the private sector – over the next 50 years to upgrade all modes of surface transportation (i.e., highways, bridges, public transit, freight rail and intercity passenger rail) to a state of good repair. Similarly, the National Surface Transportation and Infrastructure Financing Commission (Finance Commission) found that an annual investment of $200 billion by all levels of government was necessary to maintain and improve the nation's highway and transit infrastructure systems. These amounts are more than double the current levels of highway and transit capital investment (a cumulative $91.5 billion per year from all levels of government and the private sector).
At the same time reports identify a significant and growing surface transportation investment gap, the primary source of Federal investment, the Highway Trust Fund (HTF), is facing ongoing problems of solvency due to the declining revenues going into the trust fund. According to the Administration's estimates, under the President's budget request, absent additional revenues or a General Fund (GF) transfer, the cash balance of the Highway Account of the HTF would be -$11.6 billion at the end of FY 2011. Similarly, the Administration estimates that the cash balance of the Mass Transit Account of the HTF would be -$2.5 billion at the end of FY 2011 under this proposal.
In the past, the Committee has worked with the Committee on Ways and Means to address the projected shortfalls in the Highway Account. The Committee will continue to work with the Committee on Ways and Means to ensure the short-term solvency of the HTF, however, a long-term solution is necessary to provide the sustainable investment required to maintain and improve the surface transportation network. The Committee will continue to examine all current and potential methods of funding greater infrastructure investment and financing surface transportation projects.
The Committee will continue its efforts to pass a long-term intermodal surface transportation authorization that transforms the nation's surface transportation programs to meet the new challenges necessary to improve economic competitiveness, reduce congestion, return the system to a state of good repair, improve mobility and access for people and goods, and improve the safety and sustainability of our surface transportation network.
Cross-Cutting Issues
National Infrastructure Innovation and Finance Fund
The President's Budget requests $4 billion for a new National Infrastructure Innovation and Finance Fund (NIIFF) in FY 2011. The NIIFF would make grants and loans to transportation and transportation-related projects that provide a significant economic benefit to the Nation or a region. The NIIFF would be overseen by a Policy and Investment Board that would establish and maintain the criteria for the evaluation of investment projects and make investment recommendations to the Secretary of Transportation. Eligible projects would be capital projects which are either (1) primarily for a highway, tunnel, bridge, transit, commuter rail, passenger and freight intermodal facilities, passenger rail, including Amtrak, freight rail, airports, aviation, ports and maritime
investment; or (2) for a transportation component of a non-transportation project; or (3) for transportation infrastructure that increases the environmental sustainability of the transportation network in a region.
The Committee is prepared to work with the administration to authorize a National Infrastructure Fund, and looks forward to receiving a detailed legislative proposal. The Committee generally supports the intent of the administration's proposal and has, in fact, proposed the establishment of a similar Fund as part of the STAA. However, the Committee views this as a substantive authorization proposal which should be dealt with in the context of a long-term surface transportation authorization, and would strongly oppose the establishment of this new program in any other context.
Livable Communities
The President's Budget would establish within the Office of the Secretary of Transportation a new Office of Livable Communities. The Budget requests $20 million for this Office in FY 2011, including $12 million for grants and technical assistance to States, local governments, and non-profit organizations for performance measurement capability, enhanced ability to perform alternatives analysis, and training and workshops. The remaining $8 million would be used for administration, including developing performance standards, building analytical capacity related to the creation of livable communities, and coordination of livability initiatives between the Department of Transportation, the Environmental Protection Agency, and the Department of Housing and Urban Development.
The President's Budget also requests funding for this initiative within the Federal Highway Administration and the Federal Transit Administration. More detailed information is included within the discussion of highway and transit programs below.
Although the Committee supports the intent of the administration's proposal to improve livable communities, the creation of a new program such as this should be considered within the context of a long-term surface transportation authorization.
Highways
The physical condition and operational performance of our nation's roads and bridges require substantial attention and investment. As of 2006 – the most recent year for which we have comprehensive and reliable data – only 57 percent of travel on the National Highway System (NHS) took place on pavement rated as having good ride quality. In urban areas this figure was an even lower 48 percent. Roughly 165,000 bridges, equaling more than one of every four bridges in the United States, are structurally deficient or functionally obsolete. Finally, traffic congestion impacts 30 percent of daily travel in U.S. urbanized areas, costing the nation almost $80 billion per year in lost time and wasted fuel. Taking all of this into account, the American Society of Civil Engineers recently graded the condition of America's bridges at a "C" level and America's roads as a "D-."
According to the U.S. Department of Transportation, our nation's roads and bridges will require an average of $106 billion in annual capital investment over the next two decades simply to sustain highway conditions and performance, and would need $175 billion per year in capital investment to make all cost-beneficial investments and eliminate the current backlog of bridge deficiencies. Today the public and private sectors spend just under $80 billion per year on highway and bridge capital projects.
Pending development of the Administration's comprehensive surface transportation reauthorization proposal, the President's FY 2011 budget request includes placeholder baseline (adjusted for inflation) funding levels for surface transportation programs in FY 2011. The request includes an obligation limitation of $41.4 billion for the Federal-aid Highways program and $0.7 billion in exempt contract authority, for a combined $42.1 billion. This funding level is $255.8 million above the appropriated FY 2010 obligation limitation of $41.1 billion (+0.6 percent). However, when unauthorized general fund appropriations made in FY 2010 are considered, the budget request is $687 million (-1.6 percent) below the FY 2010 enacted level. While the Committee recognizes that this investment level represents a placeholder until a long-term surface transportation authorization is enacted, the level of investment called for in the budget proposal is well below the levels necessary to sustain and improve the nation's highways and bridges.
According to the Administration's estimates, under the budget request the cash balance of the Highway Account of the Highway Trust Fund (HTF) would be -$11.6 billion at the end of FY 2011 absent additional revenues or a General Fund (GF) transfer. By law, the Highway Account may not reach a negative balance. This indicates that, without additional revenues or a GF transfer, at some point within FY 2011 FHWA would be required to delay Federal-aid highway reimbursements to States. The budget request assumes that Congress will ensure the solvency of the HTF through FY 2011 by transferring $20.0 billion from the General Fund to the HTF ($16.0 billion for the Highway Account and $4.0 billion for the Transit Account) at some point during FY 2010.
The Committee supports a transfer of $19.5 billion to the HTF to restore interest payments foregone on Trust Fund balances since 1998 (prior to which point the HTF accrued interest). The Highway Trust Fund is currently the only Federal trust fund that does not accrue interest, and the Committee strongly supports not only the restoration of foregone interest, but also statutory changes to allow the HTF to collect interest from this point forward. H.R. 2847, the Jobs for Main Street Act passed by the House on December 16, 2009, included provisions that accomplished both of these objectives. The Committee continues to support the provisions in H.R. 2847 that restructure the current fuel tax exemptions and refunds provided to State and local governments so that they are supported by the General Fund rather than the HTF.
The Administration's budget request proposes to cancel $263.1 million in unobligated funding under various project-related accounts authorized in the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) or prior bills. On April 2, 2009, the Committee released principles for reform of member-designated surface transportation high priority projects. Among these principles, the Committee gave notice that it intends to repeal designations under the Transportation Equity Act for the 21st Century (TEA-21), the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA), and prior authorization bills for projects that have not proceeded to construction or have remaining unused funds. The Committee intends to carry out this repeal as part of STAA.
The Administration's budget request proposes the reallocation of a combined $200 million in States' FY 2011 core highway program apportionments under the Interstate Maintenance, National Highway System, Surface Transportation, Highway Bridge, Congestion Mitigation and Air Quality Improvement Programs. The Administration proposes to use these funds for a new Livable Communities Program (LCP) in support of the Administration's Partnership for Sustainable Communities. Under the LCP, the Federal Highway Administration would provide discretionary capacity-building grants to States, localities, tribes, and transit agencies to enhance the grant recipients' ability to plan and implement transportation projects consistent with livability goals. The creation of a new discretionary grant program such as this should be considered within the context of a longterm surface transportation authorization. The Surface Transportation Authorization Act of 2009, which the Subcommittee on Highways and Transit favorably reported to the Committee in June 2009, includes a number of provisions that would promote livable communities, including the creation of an Office of Livability. The Committee will address initiatives such as the LCP in the course of moving forward with that bill.
Transit
According to the American Society of Civil Engineers, transit use has increased faster than any other mode of transportation. The American Public Transportation Association documented that Americans took 10.7 billion trips on public transportation in 2008, the highest level in 52 years. This increase in transit ridership is almost triple the growth rate of the population, and substantially more than the growth rate for vehicle miles traveled on our nation's highways. The infrastructure required to support these riders is extensive, and ensuring the reliability, efficiency, and safety of transit assets is a top priority of the Committee.
Unfortunately, numerous segments of the nation's public transportation infrastructure are in need of major repairs. According to the 2008 C&P Report, the number of bus and rail facilities in adequate or better condition has decreased. In 2006, 64 percent of urban bus maintenance facilities were in adequate or better condition, down from 67 percent in 2000. In 2006, 74 percent of rail facilities were in adequate or better condition, down from 80 percent in 2002. Additionally, the conditions of rail track, elevated structures, underground tunnels, and rail maintenance facilities have all declined in recent years. The C&P report also finds that $15.1 billion in total capital investment per year is needed just to maintain current transit asset conditions - representing an increase of $2.3 billion over current capital investment levels – while an average of $21.1 billion is needed annually to bring all transit assets up to a good condition. This required funding level represents an increase of $8.3 billion over current capital investment levels.
The Administration's budget request proposes total budget authority of $10.8 billion for the Federal Transit Administration (FTA) programs in FY 2011. Although there is no authorization for FY 2011, the request is $459 million more than the $10.338 billion authorized by the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) for FY 2009. In addition, the budget proposes several new initiatives, programs and budget categories, but at the same time, continues to assume an extension of current law through March, 2012. The Committee views these as substantive
authorization proposals which should be dealt with in the context of a long-term surface transportation authorization, and would strongly oppose making these changes in any other context.
The President's budget proposal would create several new accounts to be funded from the Mass Transit Account of the HTF for livable communities and energy reduction initiatives. The Administration's FY 2011 budget proposes redirecting $307 million in existing transit program funds to a new Livable Communities Account. This new account would include the Job Access and Reverse Commute, Alternatives Analysis, and Metropolitan and Statewide Planning programs. These are all existing Highway Trust Funded transit programs, and the new Livable Communities Account would not alter existing programmatic funding levels, formula apportionments, or eligibilities. The President's Budget also proposes a new Greenhouse Gas and Energy Reduction Account, which would include $53 million in Trust Funded amounts for a competitive grant program. The budget proposal would also combine the existing Bus and Bus Facilities discretionary and Fixed Guideway Modernization formula programs into one new program called Bus and Rail State of Good Repair. The Committee views all of these proposed changes as substantive authorization proposals, which should be dealt with in the context of a longterm surface transportation authorization.
The Administration also requests $30 million and 130 new FTEs to conduct Rail Transit Safety Oversight activities. These activities require enactment of legislation to authorize FTA to regulate transit safety and provide the additional substantive authorizing language to direct a new program. The Committee believes that this proposal should be considered as part of a comprehensive authorization of surface transportation programs and policies.
According to the Administration's estimates, the cash balance of the Mass Transit Account of the HTF, absent additional revenues or a General Fund (GF) transfer, would be -$2.458 billion at the end of FY 2011 under this proposal. By law, the Mass Transit Account may not reach a negative balance. Therefore, the Administration's estimate indicates that without additional revenues or a GF transfer, at some point within FY 2011 FTA would be required to suspend grant approvals for transit projects. The budget request assumes that Congress will ensure the solvency of the Mass Transit Account through FY 2011 by transferring $20.0 billion from the General Fund to the HTF at some point during FY 2010. The Committee supports a transfer of $19.5 billion to the HTF to restore interest payments foregone on Trust Fund balances since 1998 (prior to which point the HTF accrued interest). H.R. 2847, the Jobs for Main Street Act, which passed the House on December 16, 2009, included this transfer.
Highway and Motor Carrier Safety
Over the past five years, an average of 41,515 people lost their lives and almost 2.5 million people were seriously injured in motor vehicle crashes. According to the National Highway Traffic Safety Administration (NHTSA) motor vehicle crashes are the leading cause of death and disability for American ages 2 through 34. The more than 6 million annual motor vehicle crashes cost an estimated $289 billion related to deaths, injuries, property damage, productivity losses, medical bills, and other related costs. In addition,
crashes involving large trucks resulted in 4,887 fatalities and 105,000 injured persons each year, on average, over the past five years. Recognizing the significant impact of these deaths and serious injuries, the Committee proposes to double highway and motor carrier safety funding in STAA.
The Administration's budget request proposes a total obligation limitation for NHTSA's highway safety grants, alcohol-impaired driving countermeasures, occupant protection incentive grants, seat belt performance grants, high-visibility law enforcement campaigns, motorcyclist safety grants, and child passenger safety grants of $620.7 million, compared to $619.5 million made available for FY 2010.
The Administration proposes that up to $50 million of the amounts authorized and provided for seat belt performance grants be made available for a new Distracted Driving Prevention Grant program. This proposal would provide incentive grants to States to enact and enforce laws combating distracted driving. While the Committee recognizes the growing evidence that driver distraction is a serious and growing cause of motor vehicle crashes, such a proposal would be more appropriately considered as part of a comprehensive review and restructuring of the highway safety programs.
To address motor carrier safety, the Administration's FY 2011 budget proposes to increase funding for the Federal Motor Carrier Safety Administration (FMCSA) to $570 million, an increase of 3.6 percent over FY 2010 enacted levels and an increase of 5.3 percent over FY 2009 authorized levels.
The FY 2011 President's Budget proposes to continue FY 2010 enacted funding levels for the following motor carrier safety grant programs: Motor Carrier Safety Assistance Program (MCSAP) grants ($212.1 million); Border Enforcement grants ($32 million); Commercial Vehicle Information Systems and Networks (CVISN) grants ($25 million); Performance Registration Information Systems and Management (PRISM) grants ($5 million); and Safety Data Improvement grants ($3 million). The budget requests increased funding for the Commercial Driver's License (CDL) Improvement grants ($30 million from $25 million) and the New Entrant grants set-aside within the MCSAP program ($32 million from $29 million). FMCSA proposes to reprogram $8 million authorized for the Commercial Driver's License Information System (CDLIS) modernization grants to fund these increases. These changes leave the overall request for the Motor Carrier Safety Grants category unchanged from FY 2010 levels ($310 million). This amount represents a $3 million increase over full funding of motor carrier safety grants as authorized by SAFETEALU for FY 2009. The MCSAP program received the full $3 million increase in FY 2010; other programs remained unchanged in FY 2010 from FY 2009 authorized levels.
The Committee supports robust funding for the MCSAP program, as this provides States with funding to conduct motor carrier safety enforcement activities. As part of the surface transportation authorization legislation, the Committee intends to elevate the MCSAP program by consolidating several grant programs into an enhanced MCSAP program, and to improve accountability in the enhanced program through performance measures. Similarly, the Committee believes that FMCSA's CDL Improvement grant program is in need of an overhaul to ensure that States administer CDL programs in accordance with federal standards, to institute measures to track States' performance, and to hold States not in compliance strictly accountable. FMCSA's oversight of this program has been inadequate and has failed to ensure that States use grant funds to correct deficiencies and meet federal guidelines. The Committee supports higher levels of funding to States to issue CDLs under an improved program that ensures federal dollars will be spent effectively.
The President's Budget requests $259.9 million for Motor Carrier Safety Operations in FY 2011, an increase of $20.1 million over FY 2010 enacted level of $239.8 million. This account includes FMCSA operating expenses, research and technology, information management, regulatory development, and outreach and education. Within this account, FMCSA requests funding for 59 additional full-time equivalent (FTE) personnel, including 25 FTEs for the enforcement of the Comprehensive Safety Analysis 2010 (CSA 2010) initiative and 12 FTEs to oversee the safety of new entrant carriers. The Committee fully supports FMCSA's effort to invest additional resources in enforcement and oversight that will improve the safety of motor carriers. However, FMCSA's budget for Motor Carrier Safety Operations represents 46 percent of the agency's total budget request; agency operating expenses alone account for 34 percent of the budget. The Committee notes that FMCSA expended funds for activities related to the cross border surface transportation pilot program between the U.S. and Mexico from September 2007 to March 2009, as well as activities leading up to the launch of this program. FMCSA did not request additional funds under the Motor Carrier Safety Operations account specifically for these activities, and did not demonstrate to the Committee what activities were curtailed to conduct activities related to the pilot program. The Committee believes that, as States should be held accountable for how they spend federal dollars, FMCSA should demonstrate that its expenditures under the Motor Carrier Safety Operations account maximize safety benefits.
Transportation Research
The Administration's request for the Research and Innovative Technology Administration (RITA) is $47 million in FY 2011, a 14.6 percent increase over the FY 2010 enacted level. The request includes $17 million in General Fund dollars for the coordination of research, development and technology. The remainder of the request is $30 million from the Highway Trust Fund to fund the Bureau of Transportation Statistics (BTS). In addition to the budget request, RITA will conduct over $300 million in transportation research done on a reimbursable basis for other agencies.
Railroads, Pipelines, and Hazardous Materials
Federal Railroad Administration
The Committee reauthorized the Federal Railroad Administration's (FRA) rail safety program in the 110th Congress through enactment of the Rail Safety Improvement Act of 2008 (P.L. 110-432). Prior to enactment of the Rail Safety Improvement Act (the Act), the FRA's rail safety program had not been reauthorized since 1994.
The Act implements a number of longstanding National Transportation Safety Board (NTSB) recommendations by strengthening hours-of-service standards for certain railroad workers; mandating installation of positive train control (PTC) on most major rail lines by December 31, 2015; directing the FRA to study the use of cell phone and other personal electronic devices in the locomotive cab and to prohibit the use of such devices if the study supported such a prohibition; requiring Class I railroads to provide emergency escape breathing apparatus for all crewmembers on freight trains carrying hazardous materials; strengthening track and grade crossing safety; and enhancing worker training.
The Act also prohibits railroads from denying, delaying, or interfering with the medical treatment of injured workers; increases civil penalties for certain railroad safety violations; strengthens bridge and tunnel safety; establishes a program at the NTSB to assist victims and their families involved in a passenger rail accident, modeled after a similar aviation disaster program; and ensures that State governments are able to protect their citizens against environmental hazards, such as noxious fumes or leaks into groundwater, which could result from operation of a waste processing facility by a railroad.
To ensure that the FRA is able to meet the numerous goals set forth in the Act, the Committee authorized a total of $245 million for FY 2011, plus an additional $50 million to assist freight, commuter, and intercity passenger railroads in implementing the PTC mandate. The President's budget proposes $153.8 million for a new Federal Railroad Operations account and $49.5 million for a new Railroad Safety account, for a total request of $203.3 million for rail safety and operations. This is an increase of $31.1 million above the FY 2010 enacted level of $172.3 million, but $41.7 million less than the FY 2011 authorized level of $245 million. Although the Committee recognizes that the President's budget proposal represents an 18 percent increase for FRA from FY 2010 enacted levels, the Committee supports funding at the authorized level.
The President's budget proposes to zero-out funding for the Railroad Safety Technology Grant Program, which provides financial assistance to freight, commuter, and intercity passenger railroads to implement the PTC mandate. Fifty million is authorized for the program for FY 2011. The Committee supports the authorized level.
The President's budget also proposes to establish a new rail safety user fee to offset enforcement costs. There is no current statutory authority for imposing such a fee, and the Committee strongly opposes the authorizing language included in the budget that would prescribe these user fees.
Passenger Rail
The Committee reauthorized Amtrak in the 110th Congress. The Passenger Rail Investment and Improvement Act of 2008 (the Act) (P.L. 110-432) provides a total of $13.06 billion over five years for passenger rail programs, including $9.77 billion over five years for Amtrak, $1.9 billion for capital grants to States for development of new and improved intercity passenger rail service, and $1.5 billion for the planning and development of high-speed rail corridors in the United States.
Amtrak
In addition to authorizing $9.776 billion for Amtrak for FY 2009 through 2013, the Act included a number of measures to reform Amtrak's operations and financial and accounting procedures; improve Amtrak's on-time performance; reduce Amtrak's debt; and resolve disputes between commuter and freight railroads.
On February 1, 2010, Amtrak submitted its General and Legislative Annual Report to Congress for FY 2011 which requested a total of $2.196 billion in FY 2011, including $592 million for operating assistance, $1.018 billion for capital grants, $305 million for debt service, and $281 million for compliance with the Americans with Disabilities Act (ADA).
The amount authorized for Amtrak for FY 2011 is $1.927 billion, which includes $592 million for operating assistance, $1.025 billion for capital grants, $288 million for debt service, and such sums as may be necessary for compliance with ADA. However, the President's Budget proposed $1.637 billion for Amtrak, including $563 million for operating grants, $483 million for capital grants, $288 million for debt service, $281 million for ADA compliance, and $22 million for the Amtrak Office of Inspector General.
The Committee supports fully funding Amtrak at the authorized levels for FY 2011. In addition, Amtrak is required to meet ADA accessibility requirements at all stations by July 26, 2010. According to Amtrak's ADA stations development plan, only 12 of Amtrak's stations will be fully compliant in 2010. The Committee supports additional capital funding for ADA compliance and requests strict language directing Amtrak to use the funds solely for meetings its responsibilities under this landmark civil rights law.
High-Speed Rail
The Committee supports the President's goal of providing additional funding for planning and development of high-speed rail corridors in the U.S., building upon the $8 billion provided in the American Recovery and Reinvestment Act for high-speed rail, and the additional $2.5 billion provided in the FY 2010 appropriations bill.
It is clear that the United States lags woefully behind the rest of the world when it comes to developing high-speed rail. Japan, the nation that unveiled the world's first highspeed rail system in 1964, has a 1,350-mile network and is already at work building a line that will connect Tokyo with Osaka at speeds of over 300 mph.
France, which holds the world speed record for steel wheels-on-steel rail—357 miles per hour—used its high-speed rail system to pull entire regions from isolation, ignite growth, and remake quiet towns into thriving tourist destinations. After inaugurating its high-speed rail system in 1981, France developed a 1,180-mile network and plans to add another 1,500 miles. The system currently carries a remarkable 100 million passengers annually.
Spain changed the demographics of entire regions with its high-speed rail line from Madrid to Seville, which opened in 1992. The line is so successful that more people travel between the two cities by rail than by car and airplane combined. Spain plans to spend more than $100 billion over the next decade to build Europe's largest high-speed rail network.
The project will put nearly everyone in Spain within 30 miles of a train station, and will create tens of thousands of jobs.
Earlier this year, China announced a plan to expand its high-speed rail system to a network of over 16,000 miles by the year 2020. In this year alone, China has poured more than $50 billion into this system.
The Committee believes that a robust, high-speed rail system will go a long way toward solving some of our nation's economic, energy, environmental, and transportation challenges. These benefits, however, do not come without a price tag, and experience in other countries makes clear that a successful high-speed rail system will require a significant financial commitment.
The Surface Transportation Authorization Act, which the Committee unveiled last June, provides $50 billion for high-speed rail over a six-year period. It also provides funding for planning high-speed rail projects and for research, development, and demonstration of high-speed rail.
Given the fact that the FRA received requests totaling $57 billion from States for the $10.5 billion that is currently available, the Committee believes that additional funding is warranted in FY 2011.
Pipelines and Hazardous Materials Safety Administration
The Committee expects to reauthorize the Pipeline and Hazardous Materials Safety Administration's (PHMSA) hazardous material safety program in the 111th Congress; the prior authorization expired in 2008. On November 19, 2009, following Department of Transportation Inspector General (DOT IG) and Committee Majority staff investigations, the Committee ordered reported H.R. 4016, the Hazardous Material Transportation Safety Act of 2009. The findings of both investigations revealed serious deficiencies in PHMSA's hazardous material safety program, in particular the special permits and approvals programs.
H.R. 4016 addresses many of those deficiencies and calls for significant enhancements to the hazardous material safety program through an increase in personnel, including inspectors, training, significant improvements to data collection and analysis, and a more well-defined mission. The legislation also requires PHMSA to: (1) enhance training for emergency responders; (2) issue regulations for the safe transportation of lithium cells and batteries on-board aircraft, in coordination with the Federal Aviation Administration; (3) eliminate transportation of flammable materials in external product piping; (4) strengthen the special permits and approvals programs; (5) establish a working group to improve the collection, analysis, and reporting of data related to hazmat transportation accidents; and (6) carry out a hazmat enforcement training program. The legislation also directs the Secretary to increase the number of personnel by 84 full-time employees to carry out PHMSA's important hazardous materials safety mission.
H.R. 4016 proposes $51.3 million for the hazardous material safety program in FY 2011, $10.9 million above the President's budget request of $40.4 million. Without a higher level of funding as proposed in H.R. 4016, it will be difficult for PHMSA to correct the
significant deficiencies in its hazardous material safety program which, in turn, could jeopardize safety.
With respect to pipelines, the Committee expects to reauthorize PHMSA's pipeline safety program in the 111th Congress; the program expires in 2010. The program was last reauthorized at the end of the 109th Congress through enactment of the Pipeline Inspection, Protection, Enforcement and Safety Act of 2006.
The President's budget calls for $111.1 million for pipeline safety, an increase of 5.6 percent over funding enacted for FY 2010.
Water Resources and Environment
Army Corps of Engineers
The Committee supports Federal investment in the Civil Works program at levels sufficient to address the nation's current and future needs for navigation, flood damage reduction, and environmental restoration. In total, the Committee recommends a minimum appropriation of $8.0 billion for the Corps of Engineers for FY 2011. The President's recommendation for FY 2011 is $4.9 billion. A detailed break-out of the Committee's recommended funding level by program is provided below.
Our existing aging infrastructure must be modernized and adequately maintained. With a growing backlog of Corps construction and maintenance projects, including projects and studies authorized through enactment of the Water Resources Development Act of 2007, and given the importance of these water resource projects to the economy, the Committee believes the Corps should be funded at the level that allows it to achieve its full capability.
With trade expanding and highways and railways congested, efficient water navigation must be provided and maintained. The ports and waterways constructed and maintained by the Corps program also assist in the movement of military equipment for overseas deployment. While much has been done to discourage development in floodplains, there are still many areas where floods create tremendous economic and personal hardship. In addition, in the aftermath of Hurricanes Katrina, Rita, and Ike, the nation is coming to learn that much of its flood-damage reduction infrastructure, including the nation's interconnected network of Federal, state, and locally-constructed levees, is either in need of significant repair or is wholly insufficient to protect the populated areas of the country.
The vast array of navigation and flood damage reduction infrastructure is important to the nation's economy, and a secure economy is a necessary part of a secure nation. But this infrastructure has suffered from many years of inadequate funding for maintenance and replacement. The capital stock value of Corps water resources infrastructure has been decreasing since the late 1970s. Significant increases in investment for maintenance of existing facilities and the construction of modern ones are urgently needed.
In the 110 th Congress, in an effort to address the growing need for navigation, flood damage reduction, and environmental restoration projects, the Water Resources Development Act of 2007 (WRDA 2007) was enacted. This important legislation authorized approximately $23 billion in Federal assistance for new Corps projects and studies, and modifications to existing Corps projects. The Committee supports appropriation levels for FY 2011 and beyond that will allow the Corps to proceed expeditiously with carrying out the projects and studies contained in WRDA 2007 and prior water resources development acts, including key national priorities within the Corps mission areas, such as restoration of the Florida Everglades, navigation and environmental restoration projects along the Upper Mississippi River and Illinois Waterways, and efforts to restore the Louisiana Coastal Area.
Investigations
The Corps must conduct new studies to determine where there is federal interest in water resource development. The President's Budget requests $104 million to conduct studies in FY 2011, a decrease of $56 million (-35 percent) below the FY 2010 enacted level of $160 million.
The President's Budget continues a recent trend in Presidential budget requests for the Investigations account that have proposed funding levels far below Corps' capability, and have had a negative impact on the continued development of justified projects.
In addition, an underfunded Investigations account places the nation at risk of losing the skills developed by Corps personnel as they plan and design civil works projects. Because the Corps is both a civilian and a military organization, these skills directly benefit the Corps' military mission, as demonstrated by the current deployments of Corps personnel to Iraq and the substantial involvement of Corps districts and laboratories in managing infrastructure improvements in Iraq. The Corps also responds to domestic and international emergencies, such as Hurricane Katrina in August 2005.
The Committee recommends a minimum appropriation of $300 million for the Investigations account in FY 2011 to support the core capabilities of the agency, maintain a steady flow of good investment options that will provide economic benefits and protect and restore the aquatic environment, and provide funding for ongoing project studies and studies authorized by WRDA 2007 or through Study Resolutions of the Committee on Transportation and Infrastructure.
Construction
The Committee supports funding for the Construction account sufficient to sustain a steady and reliable pace for ongoing construction projects, as well as initiate construction on priority projects throughout the Corps' missions of navigation, flood damage reduction, and environmental restoration. While the $2 billion in project construction funding from the American Recovery and Reinvestment Act (P.L. 111-5) enabled the Corps to complete construction on an additional 71 projects, significant construction needs remain.
Recent Presidential budget requests for the Construction account have proposed funding levels far below the Corps's construction capability. Reduced funding levels draw out the construction period for most projects, delay the start of new investments, and delay benefits.
The President's Budget requests $1.69 billion for project construction in FY 2011, a decrease of $341 million (or -16.8 percent) below the FY 2010 enacted level of $2.031 billion. The Committee is concerned that insufficient funding levels for the Construction account will increase the cost of completing projects and will delay the national economic and ecosystem restoration benefits that these investments provide. The Committee supports funding the Construction account at a level that would allow for completing more projects in an efficient manner. The Committee recommends a minimum appropriation of $3.4 billion for the Construction account in FY 2011 to fund the construction of vital ongoing projects at the Corps' capability and begin construction of projects authorized in the WRDA 2007.
Operation and Maintenance
The Committee supports funding for the Operation and Maintenance account sufficient to meet the Corps' needs for dredging, repairs, and other traditional operation and maintenance activities. With much of the nation's inland navigation infrastructure at or past its design life, the Committee supports funding that is sufficient for addressing the growing backlog of maintenance projects. While the $2.075 billion in project operations and maintenance funding from the American Recovery and Reinvestment Act (P.L. 111-5) enabled the Corps to address a significant portion of this maintenance backlog, significant operation and maintenance needs remain.
The President's Budget requests $2.361 billion for project operation and maintenance in FY 2011, a decrease of $39 million (or -1.6 percent) below the FY 2010 enacted level of $2.4 billion. The Committee is concerned that sustained low funding will limit the navigability of our ports and waterways, reduce flood damage reduction benefits and hydropower production, and imperil environmental benefits. For example, unscheduled lock closures have been increasing significantly, shutting down rivers, disrupting the movement of goods, and harming the economy.
The Committee recommends an appropriation of $3.2 billion for the Operation and Maintenance account in FY 2011.
Harbor Maintenance Trust Fund
The Committee remains concerned about the surplus in the Harbor Maintenance Trust Fund. At the end of FY 2010, the estimated surplus in this fund is expected to be $5.519 billion. This fund is supplied by taxes paid by users of ports and is meant to pay for harbor maintenance projects.
For years, more funds have been collected than have been appropriated and a large surplus in the Trust Fund has accumulated. For example, Trust Fund receipts are estimated to be $1.4 billion in FY 2011, but the FY 2011 President's Budget proposes to use just $764 million from the Trust Fund for the Corps' Operation and Maintenance program. This mismatch between Trust Fund receipts and appropriations has not been caused by a lack of needed port maintenance dredging. To the contrary, the Corps of Engineers has had the capability to execute a far greater amount of work on nationally significant water projects authorized by Congress. The constraint on the performance of this valuable work has been the limited level of funding appropriated from the Trust Fund. The result has been unnecessary cost increases, significantly delayed completion dates, and delays in realizing transportation savings. At a minimum, the Committee supports annual appropriations from the Harbor Maintenance Trust Fund for authorized purposes consistent with annual collections to the Fund.
Inland Waterways Trust Fund
The Committee is aware of the declining revenues in the Inland Waterways Trust Fund, which is derived from a 20-cent-per-gallon tax on diesel fuel used by commercial vessels engaged in inland waterway transportation, plus investment income. The Trust Fund is used to pay one-half of the costs associated with the construction, replacement, expansion, and major rehabilitation of Federal inland waterways projects. At the end of FY 2010, the Inland Waterways Trust Fund is expected to have a balance of just $23 million.
The FY 2011 President's Budget proposes to replace the current excise tax on diesel fuel for the inland waterways with a new funding mechanism that raises the revenue needed to meet the authorized non-Federal cost-share of inland waterways capital investments "in a way that is more efficient and more equitable than the fuel tax". In addition, the Budget proposes to preserve the landmark cost-sharing reform established by the Congress in 1986, while supporting inland waterways construction, expansion, replacement, and rehabilitation work.
As it did with the previous administration's similar proposal, the Committee continues to express reservations with any proposal to raise the costs of shipping goods along the inland waterway system.
Regulatory Program
The Committee supports funding for the Corps' regulatory program at levels sufficient to ensure efficient and effective permit review, compliance, and enforcement, and to allow projects that require a Corps of Engineers' permit to be addressed in a timely manner. While the President's FY 2011 Budget for the Corps' regulatory program is $3 million (or 1.6 percent) above the FY 2010 enacted level of $190 million, this proposed funding level fails to provide adequate resources necessary to meet Corps' performance measures on reaching final permit decisions on general and individual permits within a targeted period of time, and on maximizing compliance and enforcement of existing general and individual permits.
The Committee is aware of continued delays within the Corps' regulatory program for processing individual and general permit application requests and ensuring compliance with existing permits, in accordance with the Rivers and Harbors Appropriations Act of 1899, the Federal Water Pollution Control Act Amendments of 1972 (more commonly known as the Clean Water Act), and the Marine Protection, Research and Sanctuaries Act of 1972. According to Assistant Secretary of the Army (Civil Works) John P. Woodley's FY
2009 Budget statement, the U.S. Supreme Court decision in Rapanos and Carabell has resulted in additional field documentation, coordination, and evaluation work for Clean Water Act permits.
The Committee supports an appropriation of $300 million for the Regulatory account of the Corps of Engineers. At this level, the Corps should meet and potentially exceed its performance measures for permit review, compliance, and enforcement.
Remaining Accounts
The President's Budget requests $240 million for the Mississippi River and Tributaries account in FY 2011, a decrease of $100 million (-29.4 percent) from the FY 2010 enacted level of $340 million. The Committee supports an appropriation of $400 million for this account in FY 2011.
The President's Budget requests $130 million for the Formerly Utilized Sites Remedial Action Program (FUSRAP) account in FY 2011, a decrease of $4 million (-3 percent) below the FY 2010 enacted level of $134 million. The Committee supports an appropriation of $200 million for the FUSRAP account for FY 2011.
The President's Budget requests $185 million for the Expenses account in FY 2011, the same as the FY 2010 enacted level. The Committee supports an appropriation of $200 million for the Expenses account for FY 2011.
Natural Resources Conservation Service
The Committee has jurisdiction over the following programs of the Natural Resources Conservation Service (NRCS): Watershed Surveys and Planning, Watershed Protection and Flood Prevention Operations, and Watershed Rehabilitation. The President's Budget requests a total of $40.5 million for these programs in FY 2011, a decrease of $29.7 million (-42.3 percent) below the FY 2010 enacted level of $70.2 million.
The Committee supports an appropriation of $120 million for NRCS to carry out its Watershed Surveys and Planning, Watershed Protection and Flood Prevention Operations, and Watershed Rehabilitation programs, plus additional funding to address emergency watershed protection measures that typically require $100 million annually.
Recent Presidential budget requests have proposed to eliminate funding for the Watershed Protection programs of NRCS. The Committee continues to oppose such proposals to eliminate a highly cost-effective program that provides, on average, $1.5 billion in annual benefits to agricultural and urban communities, including $663.5 million in average annual flood damage reduction benefits.
Environmental Protection Agency
For water infrastructure programs administered by the Environmental Protection Agency (EPA), the Committee recommends levels adequate to address the increasing need for capitalization grants for Clean Water State Revolving Funds (Clean Water SRFs) and
core programs under the Clean Water Act. Meeting the increasing need and the widening wastewater infrastructure financing gap will require an increase in the authorization levels and accompanying appropriations.
To this end, the Committee strongly supports the efforts of this Presidential administration to increase investment for the Clean Water SRF program significantly above the funding levels the program received prior to FY 2010. The Committee supports significant Federal appropriations for the Clean Water SRF, starting at least at $2.7 billion for FY 2011, to help State and local governments meet their wastewater infrastructure needs, produce jobs, and to continue the Federal commitment to restoring and maintaining the nation's water quality.
In the 111 th Congress, the Committee hopes to complete consideration, and send to the President for his signature, H.R. 1262, the "Water Quality Investment Act of 2009". Title I of H.R. 1262 authorizes $13.8 billion over five years for the Clean Water SRF, including $2.7 billion for FY 2011. The Committee recognizes that the $13.8 billion over five years authorized by H.R. 1262 in and of itself will not address the documented wastewater infrastructure needs of the Nation. Therefore, additional funding may be necessary. In December 2009, the House passed the "Jobs for Main Street Act", which included an additional $1 billion for the Clean Water SRF program.
The Committee supports increased Federal funding for efforts to control nonpoint sources of pollution, including the nonpoint source management program authorized by section 319 of the Clean Water Act. The Committee is concerned that, in the years since enactment of the 1972 Clean Water Act, the single largest-remaining and uncontrolled contributor of pollutants to the nation's waters is nonpoint sources. In fact, EPA has estimated that 90 percent of the nation's impaired waters are contaminated, in part, by nonpoint sources of pollution. According to the most recent EPA Clean Watersheds Needs Survey, total nonpoint source needs over the next 20 years are, at a minimum, $38 billion or $1.9 billion annually on average. In addition, in 2009, the Association of State and Interstate Water Pollution Control Administrators (ASIWPCA) issued a report, entitled "Call for Change", which notes that the current level of section 319 funding is not sufficient to run a comprehensive nonpoint source program. To address this need, ASWIPCA recommended that Congress appropriate an additional $1 billion for the section 319 program annually. The Committee supports an appropriation for EPA's nonpoint source management program at a level sufficient to address ongoing nonpoint sources of pollution throughout the nation.
The Committee supports the $45 million increase in Federal funding for State water quality management programs under Section 106 of the Clean Water Act that is proposed in the President's FY 2011 Budget request (over the FY 2010 appropriation of $229.3 million). Prevention and control measures supported by State water quality management programs include Clean Water Act permitting, pollution control activities, surveillance, monitoring, enforcement, local governmental training, and public information. The Committee supports an appropriation of $400 million for FY 2011 for State water quality management programs under section 106 of the Clean Water Act, consistent with the authorization for this program contained in H.R. 1262, the "Water Quality Investment Act of 2009".
The Committee supports increased Federal funding for water quality cooperative agreements and grants, and wastewater operator training grants authorized by section 104 of the Clean Water Act. Section 104(b)(3) of the Clean Water Act authorized Federal grants to state water pollution control agencies, interstate agencies, municipalities, Indian tribes and other nonprofit institutions to promote the prevention, reduction and elimination of pollution, with priority consideration given to watershed protection, and activities addressing stormwater, combined sewer overflows, mining, on-site systems, and animal feeding operations. Section 104(g)(1) of the Clean Water Act authorizes funding for the wastewater treatment plant operator on-site assistance training program, which provides small publicly owned treatment works with on-site training and other technical operation and maintenance assistance. The Committee supports a combined appropriation of $25 million for FY 2011 for water quality cooperative agreements and grants authorized by section 104(b)(3) of the Clean Water Act and the wastewater treatment plan operator on-site assistance training program authorized by section 104(g) of the Clean Water Act.
The Committee supports increased Federal funding for projects and activities related to the remediation of contaminated sediment in the Great Lakes' areas of concern, as authorized by the Great Lakes Legacy Act, as amended by P.L. 110-365. The Committee supports an FY 2011 appropriation of $150 million for projects eligible under section 118(c)(12) of the Clean Water Act, consistent with the proposed authorization level for this program contained in H.R. 1262, the "Water Quality Investment Act of 2009".
The Committee supports continuing funding for projects and activities eligible under the National Estuaries Program (section 320 of the Clean Water Act), section 117 of the Act (Chesapeake Bay), section 118 of the Act (Great Lakes), section 119 of the Act (Long Island Sound), and section 120 of the Act (Lake Champlain). The Committee plans to move reauthorizing legislation related to several of these authorities later this session.
For the Superfund program administered by the EPA, the Committee recommends funding at a level commensurate with current program needs and as necessary to maintain the average number of construction completions over the past 10 years. As with the Corps of Engineers Civil Works Program, the Committee recommends funding for the Superfund program at a level that matches its capability, so that no cleanup projects fail to advance due to lack of funding, delaying public health and environmental benefits, as well as economic benefits derived from returning sites to productive use.
The Committee supports funding the brownfields program at authorized levels. The Small Business Liability Relief and Brownfields Revitalization Act (P.L. 107-118) authorizes $200 million annually for brownfields site assessments, cleanup, research, technical assistance, and job training, which has traditionally been funded out of the State & Tribal Assistance Grants (STAG) account. These funds are used to assess and physically clean-up sites, putting valuable urban land back into productive use. The Small Business Liability Relief and Brownfields Revitalization Act also authorizes $50 million annually in grants to States to fund State voluntary cleanup programs, which also has traditionally been funded out of the STAG account. The President's FY 2011 Budget requests $215.1 million for the brownfields program, including $138.3 million ($200 million authorized) for grants to assess and/or cleanup brownfields, and $49.5 million ($50 million authorized) for States and Tribes to establish or enhance their response programs.
Tennessee Valley Authority
Since FY 2001, 100 percent of the Tennessee Valley Authority's (TVA's) power and non-power programs have been funded through its power revenues and TVA has received no appropriated funds. However, the Committee will exercise its oversight responsibilities over the agency in FY 2011, including continued oversight of TVA's cleanup of the Kingston Coal Ash spill, and its efforts to evaluate the condition of other coal ash storage facilities within its inventory.
Saint Lawrence Seaway Development Corporation
The Saint Lawrence Seaway Development Corporation is a wholly-owned government enterprise created in 1954 to construct, operate, and develop jointly with Canada a seaway between Montreal and Lake Erie. Funding for operation and maintenance of Seaway facilities is appropriated from the Harbor Maintenance Trust Fund, which derives its revenue from a 0.125 percent tax on the value of cargo loaded or unloaded at U.S. ports, as well as from tolls collected on the Saint Lawrence Seaway.
The Saint Lawrence Seaway Development Corporation has developed a 10-year U.S. Asset Renewal Program Capital Investment Plan for navigation infrastructure and facilities, including lock operation upgrades and maintenance, waterway management, tunnel and bridge maintenance, and facility upgrade and maintenance. The total cost of the 10-year asset renewal program is $164,605,000, which is authorized by section 5015 of the Water Resources Development Act of 2007 (Pub. L. 110-114).
The Committee strongly supports sufficient appropriations in FY 2011 and beyond to carry out the long-term asset renewal plan of the Seaway.
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3. Pricing and Payment for the Work.
a. Prices quoted by NDTS for the Work are solely for the performance of the Work and do not include freight, insurance, inspection or packaging charges, warehousing or storage costs, or any sales, use, excise, customs, or other duties, taxes or fees ("Costs"). The Costs are to be paid by Customer and any Costs paid by NDTS shall promptly be reimbursed by Customer. The quoted pricing may include a minimum charge for each sample submitted. Written and oral quotations may be withdrawn by NDTS at any time, and, in any event, shall be valid for a maximum of sixty (60) days from the date issued.
b. NDTS shall provide monthly invoices to Customer for that portion of the Work performed in the previous month. Payment on an invoice is due in cash within thirty (30) days of the issuance date on the invoice, unless otherwise specified in NDTS's quotation, proposal or order confirmation. Should performance or completion of the Work be delayed by Customer or other causes beyond NDTS's reasonable control, NDTS may submit invoices, and payment shall become due, as if the Work had been completed as scheduled. If payment in full is not made when due, interest shall accrue on the unpaid balance at the lesser of (i) the rate of 1½% per month (18% per annum) or (ii) the maximum rate permitted under applicable law. Customer agrees to pay reasonable attorneys' fees incurred by NDTS in the collection of past due invoices and account balances.
c. If NDTS at any time determines in its sole judgment that there are reasonable grounds for insecurity with respect to Customer's payment for the Work or any other obligation of Customer set forth in the Contract, including without limitation these Terms & Conditions, NDTS may require adequate assurance of due payment or other performance, such as payment in cash or satisfactory security, and until NDTS receives such assurance, NDTS may suspend any performance for which it has not already received payment.
4. Completion of Work and Warranty. NDTS warrants that it will complete the Work in a satisfactory and workmanlike manner consistent with industry standards. NDTS will exercise commercially reasonable efforts to complete the Work and provide a report of the results of the Work by a reasonable date requested in writing by Customer, but shall not be liable for (i) any delay in Customer's performance of projects or delivery of goods, or (ii) any damages incurred by Customer due to such delay. NDTS' s performance of any and all Work is subject to NDTS's schedules, capacity, capabilities, governmental priorities, government regulations, purchase orders, directions, and restrictions that may be in effect from time to time. EXCEPT AS EXPLICITLY SET FORTH IN THIS SECTION 4., NDTS MAKES NO OTHER WARRANTY, WHETHER EXPRESS, IMPLIED OR STATUTORY, AND ALL SUCH WARRANTIES ARE HEREBY EXPRESSLY EXCLUDED. NDTS's warranty shall not apply to any portion of the Work performed by a party other than NDTS except to the extent that any such third party has warranted such performance to NDTS and is liable to NDTS under such warranty. No employee, agent or other person is authorized to give any warranties on behalf of NDTS in addition to or different from those stated in this Section 4. or to assume for NDTS any other liability in connection with the Work.
5. Customer Property and Samples.
a. For purposes of nondestructive testing ("NDT), the Customer's property and/or samples (the "Property/Samples") shall be treated and handled as provided in the quotation or as agreed in writing by Customer and NDTS.
b. The type of material, tolerances and specifications for processing Property/Samples shall be declared in writing delivered to NDTS by Customer prior to NDTS's commencing any Work or shall be deemed not to have been known by NDTS.
c. NDTS will not be responsible for any costs or losses resulting from destruction of Property/Samples submitted to NDTS unless clearly marked "Do Not Destroy" both (i) in the Contract and (ii) on the Property/Samples. If either the Contract or Property/Samples are not so marked, NDTS shall have no liability for damage to the Property/Samples. If the Contract and Property/Samples are so marked, NDTS's liability for damage to the Property/Samples is limited to the lesser of either (i) the value of the Property/Samples or (ii) the cost of the Work performed on the damaged Property/Samples pursuant to the Contract. Under no conditions will NDTS be responsible for any additional costs or damages, including consequential damages and indirect costs or losses, resulting from destruction of the Property/Samples. By submitting Property/Samples to NDTS, Customer acknowledges and accepts these limitations and recognizes that NDTS bases its price for the performance of Work on the existence and enforceability of such limitations.
d. Customer shall make all arrangements, be responsible for all costs, and bear any and all risks for transport of any Property/Samples to and from NDTS. Under no conditions will NDTS have any liability for any item transported to or from its facility.
e. Title to the Property/Samples and all risk of loss or damage to such shall remain with Customer at all times. Customer hereby grants to NDTS a security interest in all of the Property/Samples provided to NDTS for the Work to secure the payment of the purchase price for the Work and other fees or charges due NDTS under the Contract. Customer will not be entitled to the return of the Property/Samples, and after such return shall not be entitled to transfer or encumber the Property/Samples upon which Work is performed, until all sums due and owing to NDTS have been paid. Customer shall execute and deliver any financing statements or other documents that NDTS reasonably requests for the perfection of NDTS's security interest the Property/Samples and Customer shall do all other acts necessary for the perfection and preservation of this security interest.
6. Cancellation by Customer. A request, order or Property/Sample for Work once placed with and accepted by NDTS can be cancelled by Customer, in whole or in part, only upon (i) a written notice of the cancellation being delivered to NDTS and (ii) all Work performed as of the end of business on the date following delivery of the written notice is paid for in full. If Customer cancels without written notice and payment in full for all Work performed, Customer shall be liable for the full price of the Work, less any actual third party expenses saved by NDTS in not having to perform the Work, as reasonably determined by NDTS in its sole discretion.
7. Use of Results from the Work. The results from the Work ("Reports") constitute confidential information that is to be protected and shall be used solely to (i) assist Customer in completing its internal requirements, (ii) comply with the Customer's customer requirements for the delivery and use of the data recited in the Reports, (iii) respond to a court order or subpoena, or (iv) respond as required by law. Except for the allowed uses in this Section 7., neither NDTS nor Customer shall disclose the results or any details of the Work to any third party without the prior written consent of the other Party. Customer shall not present or publish a Report except in full as delivered by NDTS and shall not use the Report, or any portion thereof, in any manner that might reflect unfavorably on NDTS or which might be, or includes statements, interpretations or comments that could be, misleading or false.
8. Court and Other Proceedings. Due to the nature of the Work, NDTS and its employees will, from time to time, be required to present the Work, with results and findings in various proceedings and forums, including without limitation depositions, court proceedings, and government agency investigations. Whenever NDTS is required to provide data, information, documents, testimony, presentations, or opinions as to the Work, whether at the direction of Customer or any other person, Customer will be charged, in addition to the agreed upon price for the Work, NDTS's usual and customary costs and fees in effect at the time for such activities including the preparation therefore. NDTS will at Customer's written request attempt to have the costs and fees reimbursed by the person directing the activities; however, if such person does not reimburse NDTS, such costs and fees will be the responsibility of Customer.
9. Force Majeure. Each Customer and NDTS shall be excused from the duty to render timely performance of any obligation under this Contract if such inability to perform is caused directly or indirectly by act of God, flood, war, riot, accident, explosion, strikes or labor trouble, act of government, delay or default by a subcontractor or supplier of materials or services, the existence of any circumstance making performance commercially impracticable, or any other cause beyond the party's reasonable control; provided, however, that payments due under this Contract are not excused for any reason including without limitation the provisions of this Section 9.
10. Customer Remedies. The sole and exclusive remedy of Customer and its customers, agents and other affiliates for any claim against NDTS based on or relating to any claimed defect in the Work or otherwise relating to the Work, the Contract, or these Terms & Conditions, whether such claim is based upon contract, tort, professional errors or omissions, strict liability, or negligence, and whether such claim is for property damage, personal injury, commercial loss, or other monetary loss, shall be (i) upon the return, restoration, or replacement by Customer of Property/Samples upon which the Work was performed, the re‐performance of any portion of the Work at issue, or (ii) a refund or credit to Customer in the amount of the price paid for the portion of the Work at issue. Customer's remedies in this Section 10. shall only be available if: (i) NDTS has been paid in full for the Work pursuant to this Contract; (y) NDTS is notified in detail, in writing, of the claimed issue within twenty (20) days of Customer's discovery thereof and within ninety (90) days after the completion of the Work; and (ii) NDTS is permitted to inspect any and all property related to the Work at issue.
11. Limitation on Liability. EXCEPT AS SPECIFICALLY SET FORTH IN SECTION 10. OF THESE TERMS & CONDITIONS, NDTS SHALL NOT BE LIABLE TO CUSTOMER OR ANYONE ELSE FOR ANY LOSS OR DAMAGE DIRECTLY OR INDIRECTLY ARISING FROM ITS PERFORMANCE OF THE WORK, INCLUDING WITHOUT LIMITATION ANY DAMAGE TO CUSTOMER'S PROPERTY. NDTS SHALL NOT IN ANY CIRCUMSTANCE WHATSOEVER BE LIABLE FOR ANY LOSS OR DAMAGE ARISING FROM THE USE OF PROPERTY UPON WHICH THE WORK IS PERFORMED OR ANY SIMILAR PROPERTY OR FOR ANY SPECIAL, INCIDENTAL, OR CONSEQUENTIAL DAMAGES WHATSOEVER (OR PUNITIVE OR EXEMPLARY DAMAGES TO THE EXTENT PERMITTED BY LAW). IN NO EVENT, NOR UNDER ANY CIRCUMSTANCE SHALL NDTS BE LIABLE FOR ANY DAMAGES IN AN AMOUNT GREATER THAN THE COST OF THE WORK AT ISSUE, WHETHER SUCH DAMAGES SHALL ARISE FROM BREACH OF THIS CONTRACT, OR IN TORT, BY WAY OF INDEMNITY OR OTHERWISE.
12. Effect of Waiver. The failure of a Party at any time to require performance by the other Party of any provision of this Contract shall in no way affect the right to require such performance at any time thereafter, nor shall the waiver by a Party of a breach of any provision of this Contract constitute a waiver of any succeeding breach of the same or any other provision.
13. Severability. If any Section, provision or term of this Contract is deemed to be invalid or unenforceable under any statute, regulation, ordinance, executive order or other rule of law, such Section, provision or term shall be deemed reformed or deleted, but only to the extent necessary to comply with any statute, regulation, ordinance, executive order, or other rule of law, and all other Sections, provisions and terms of this Contract shall remain in full force and effect.
14. Governing Law. This Contract shall be governed by and construed under the laws of the United States of America and the State where the Work is performed excluding its choice of law rules.
15. Dispute Resolution. In the event of a dispute under the Contract, the Parties shall attempt to resolve the issues through discussions between their representatives for up to thirty (30) days. Prior to the filing of any lawsuit, the Parties shall submit the dispute to mediation, which shall be conducted in the State where the Work is performed. Each Party shall pay its own fees and costs for mediation and all other alternate dispute resolution mechanisms.
16. Export Control Laws. The Parties shall comply with all export control statutes and regulations, including without limitation, the U.S. Export Administration Regulations and the U.S. International Traffic in Arms Regulations ("Export Control Laws") as applicable to their activities and obligations under this Contract. When Export Control Laws apply, each Party shall implement policies and procedures to assure compliance and control access to any technical data disclosed under this Contract.
17. Entire Contract. This Contract with these Terms & Conditions contain the entire understanding of the Parties regarding the Work and all matters addressed herein and supersede any prior understandings, agreements, or discussions between the Parties relating to the Work or any other matter.
|
26 April 2018
PROSPECTUS
Further to the announcement of 25 April 2018, Pacific Energy Limited is pleased to announce that the prospectus in connection with its renounceable rights issue to raise approximately $21 million was lodged with ASIC today. A copy of the prospectus is enclosed.
End
About Pacific Energy
Pacific Energy is an ASX listed (ASX: PEA) power generation project developer and owner. Headquartered in Perth, Western Australia, Pacific Energy is focused on the development, ownership and maintenance of mine site and renewable energy power stations.
Kalgoorlie Power Systems, a wholly owned subsidiary of Pacific Energy Limited, is a leading provider of power generation infrastructure to the mining and resources sector in Australia. The business operates a build, own, maintain execution model with 292MW of contracted capacity at 22 mine site locations across Australia.
Pacific Energy Victorian Hydro, a wholly owned subsidiary of Pacific Energy Limited, owns and operates 6MW of hydro power generation capacity located approximately 70 kilometres east of Melbourne, Victoria. The company's hydro assets commenced operation in 1992 and comprise two separate power stations located at the Cardinia Reservoir and Blue Rock Dam.
NovaPower, a wholly owned subsidiary of Pacific Energy Limited, owns and operates the 10MW Nova gas-fired power generation plant in Traralgon, Victoria. Nova is a high-efficiency/low emissions gas-fired power station which generates in quick response to electricity demand in peak periods.
PACIFIC ENERGY LIMITED ACN 009 191 744
PROSPECTUS
For a renounceable pro rata entitlement issue of One New Share for every Nine Shares held by Eligible Shareholders at the Record Date at an issue price of 50 cents per New Share to raise up to A$21.45 million (before costs) (Entitlement Offer)
The Entitlement Offer is currently expected to close at 5.00pm (WST) on 28 May 2018. Valid applications must be received before that time. Please read the instructions in this Prospectus and on the accompanying Entitlement and Acceptance Form regarding the acceptance of your Entitlement under the Entitlement Offer.
THIS IS AN IMPORTANT DOCUMENT WHICH REQUIRES YOUR IMMEDIATE ATTENTION AND SHOULD BE READ IN ITS ENTIRETY. IF YOU ARE IN DOUBT ABOUT WHAT TO DO, YOU SHOULD CONSULT YOUR STOCKBROKER, ACCOUNTANT, SOLICITOR, OR OTHER PROFESSIONAL ADVISER.
AN INVESTMENT IN THE SECURITIES OFFERED BY THIS PROSPECTUS SHOULD BE CONSIDERED SPECULATIVE IN NATURE.
IMPORTANT INFORMATION
General
This Prospectus is dated, and was lodged with ASIC on 26 April 2018. Neither ASIC, ASX nor their respective officers take any responsibility for the contents of this Prospectus or the merits of the investment to which this Prospectus relates.
No New Shares will be issued on the basis of this Prospectus any later than 13 months after the date of this Prospectus (being the expiry date of this Prospectus).
The Company will apply to ASX within seven days of the date of this Prospectus for Official Quotation by ASX of the New Shares offered under this Prospectus.
A copy of this Prospectus is available for inspection at the Australian registered office of the Company at 338 Gnangara Road, Landsdale, Western Australia during normal business hours. The Company will provide a copy of this Prospectus to any person on request. The Company will also provide copies of other documents on request (refer to Sections 8.1 and 8.12).
No person or entity is authorised to give any information or to make any representation in connection with the Offers which is not contained in this Prospectus. Any information or representation not contained in this Prospectus should not be relied on as having been made or authorised by the Company or the Directors in connection with the Offers.
Application Forms
The Application Forms accompanying this Prospectus are important.
Acceptance of New Shares under the Offers can only be submitted on an Application Form sent with a copy of this Prospectus by the Company. If acceptance is by BPAY ® there is no need to return an Application Form. The Entitlement and Acceptance Form sets out an Eligible Shareholder's Entitlement. Please refer to the instructions in Section 0 regarding the acceptance of your Entitlement and completion of the Entitlement and Acceptance Form.
By returning an Application Form, you acknowledge that you have received and read this Prospectus and you have acted in accordance with the terms of the Offers detailed in this Prospectus.
Eligibility
Eligible Shareholders can only take up their Entitlements by completing and returning the Entitlement Acceptance Form, accompanying this Prospectus. The Entitlement Acceptance Form sets out an Eligible Shareholder's Entitlement to participate in the Entitlement Offer.
Overseas Shareholders
This Prospectus does not, and is not intended to, constitute an offer of New Shares in any place or jurisdiction in which, or to any person to whom, it would be unlawful to make such an offer or to issue this Prospectus.
The Offers are not being extended, and New Shares will not be issued, to Shareholders with a registered address which is outside Australia, New Zealand, Hong Kong, Singapore and United Kingdom where the Offers do not fall within a security offering exception applicable to those Shareholders in that jurisdiction. It is not practicable for the Company to comply with the securities laws of overseas jurisdictions (other than those mentioned above) having regard to the number of overseas Shareholders, the number and value of New Shares these Shareholders would be offered and the cost of complying with regulatory requirements in each relevant jurisdiction.
No action has been taken to permit the offer of New Shares to existing Shareholders in any jurisdiction other than Australia. The distribution of this Prospectus in jurisdictions outside those jurisdictions is restricted by law and persons outside of those jurisdictions should observe such restrictions. Any failure to comply with these restrictions may constitute a violation of applicable securities laws.
Nominees and custodians may not distribute this Prospectus, and may not permit any beneficial shareholder to participate in the Offers, in any country outside Australia and New Zealand except, with the consent of the Company, to beneficial shareholders resident in certain other countries where the Company may determine it is lawful and practical to make the Offers.
New Zealand
The rights and the New Shares are not being offered to the public within New Zealand other than to existing shareholders of the Company with registered addresses in New Zealand to whom the offer of these securities is being made in reliance on the Financial Markets Conduct Act 2013 and the Financial Markets Conduct (Incidental Offers) Exemption Notice 2016. The offer of New Shares is renounceable in favour of members of the public.
This document has been prepared in compliance with Australian law and has not been registered, filed with or approved by any New Zealand regulatory authority. This document is not a product disclosure statement under New Zealand law and is not required to, and may not, contain all the information that a product disclosure statement under New Zealand law is required to contain.
Hong Kong
WARNING: The contents of this document have not been reviewed by any Hong Kong regulatory authority. You are advised to exercise caution in relation to the offer. If you are in doubt about any contents of this document, you should obtain independent professional advice.
Singapore
This document and any other materials relating to the rights and the New Shares have not been, and will not be, lodged or registered as a prospectus in Singapore with the Monetary Authority of Singapore. Accordingly, this document and any other document or materials in connection with the offer or sale, or invitation for subscription or purchase, of rights and New Shares may not be issued, circulated or distributed, nor may these securities be offered or sold, or be made the subject of an invitation for subscription or purchase, whether directly or indirectly, to persons in Singapore except pursuant to and in accordance with exemptions in Subdivision (4) Division 1, Part XIII of the Securities and Futures Act, Chapter 289 of Singapore (the "SFA"), or as otherwise pursuant to, and in accordance with the conditions of any other applicable provisions of the SFA.
This document has been given to you on the basis that you are an existing holder of the Company's shares. In the event that you are not such a shareholder, please return this document immediately. You may not forward or circulate this document to any other person in Singapore.
Any offer is not made to you with a view to the rights or the New Shares being subsequently offered for sale to any other party. There are on-sale restrictions in Singapore that may be applicable to investors who acquire rights or New Shares. As such, investors are advised to acquaint themselves with the SFA provisions relating to resale restrictions in Singapore and comply accordingly.
United Kingdom
Neither the information in this document nor any other document relating to the offer has been delivered for approval to the Financial Services Authority in the United Kingdom and no prospectus (within the meaning of section 85 of the Financial Services and Markets Act 2000, as amended ("FSMA")) has been published or is intended to be published in respect of the rights or the New Shares.
This document is issued on a confidential basis to fewer than 150 persons (other than "qualified investors" (within the meaning of section 86(7) of FSMA)) in the United Kingdom, and these securities may not be offered or sold in the United Kingdom by means of this document, any accompanying letter or any other document, except in circumstances which do not require the publication of a prospectus pursuant to section 86(1) FSMA. This document should not be distributed, published or reproduced, in whole or in part, nor may its contents be disclosed by recipients to any other person in the United Kingdom.
Any invitation or inducement to engage in investment activity (within the meaning of section 21 FSMA) received in connection with the issue or sale of the rights or the New Shares has only been communicated or caused to be communicated and will only be communicated or caused to be communicated in the United Kingdom in circumstances in which section 21(1) FSMA does not apply to the Company.
In the United Kingdom, this document is being distributed only to, and is directed at, persons (i) who fall within Article 43 (members or creditors of certain bodies corporate) of the Financial Services and Markets Act 2000 (Financial Promotions) Order 2005, as amended, or (ii) to whom it may otherwise be lawfully communicated (together "relevant persons"). The investment to which this document relates is available only to, and any invitation, offer or agreement to purchase will be engaged in only with, relevant persons. Any person who is not a relevant person should not act or rely on this document or any of its contents.
Continuously Quoted Securities
In preparing this Prospectus, regard has been had to the fact that the Company is a disclosing entity for the purposes of the Corporations Act and that certain matters may reasonably be expected to be known to investors and their professional advisers. This Prospectus is issued pursuant to section 713 of the Corporations Act. This Prospectus is intended to be read in conjunction with the publicly available information in relation to the Company which has been notified to ASX and does not include all information that would be included in a prospectus for an initial public offering.
Exposure Period
No exposure period applies to the Offers.
Speculative Investment
An investment in the New Shares should be considered speculative. Refer to Section 6 for details of the key risks applicable to an investment in the Company.
Persons wishing to apply for New Shares should read this Prospectus in its entirety in order to make an informed assessment of the assets and liabilities, financial position and performance, profits and losses and prospects of the Company and the rights and liabilities attaching to the New Shares.
This Prospectus does not take into account the investment objectives, financial or taxation or particular needs of any Applicant. Before making any investment in the Company, each Applicant should consider whether such an investment is appropriate to his/her particular needs, their individual risk profile for speculative investments, investment objectives and individual financial circumstances. If persons considering applying for New Shares have any questions, they should consult their stockbroker, solicitor, accountant or other professional adviser.
There is no guarantee that the New Shares will make a return on the capital invested, that dividends will be paid on the New Shares or that there will be an increase in the value of the New Shares in the future.
Forward-looking Statements
This Prospectus contains forward-looking statements which may be identified by words such as 'believes', 'estimates', 'expects', 'intends', 'may', 'will', 'would', 'could', or 'should' and other similar words that involve risks and uncertainties. These statements are based on an assessment of present economic and operating conditions, and on a number of assumptions regarding future events and actions that, as at the date of this Prospectus, are expected to take place.
Such forward-looking statements are not guarantees of future performance and involve known and unknown risks, uncertainties, assumptions and other important factors, many of which are beyond the control of the Company, the Directors and management of the Company. Key risks associated with an investment in the Company are detailed in Section 6. These and other factors could cause actual results to differ materially from those expressed in any forward-looking statements.
The Company has no intention to update or revise forward-looking statements, or to publish prospective financial information in the future, regardless of whether new information, future events or any other factors affect the information contained in this Prospectus, except where required by law.
The Company cannot and does not give assurances that the results, performance or achievements expressed or implied in the forward-looking statements contained in this Prospectus will actually occur and investors are cautioned not to place undue reliance on these forward-looking statements.
Broker Stamping Fees
The Company reserves the right to pay a fee for amounts subscribed under valid Applications procured by brokers holding an Australia Financial Services Licence.
Broker stamping fees will only be paid by the Company where a broker fee claim form and schedule is submitted to the Share Registry by no later than the end of the Business Day following the Closing Date. The broker stamping fee claim form and schedule can be obtained from the Share Registry.
Website
No document or information included on the Company's website is incorporated by reference into this Prospectus.
Diagrams
Any diagrams used in this Prospectus are illustrative only and may not be drawn to scale. Unless otherwise stated, all data contained in charts, graphs and tables is based on information available at the date of this Prospectus.
Currency
All financial amounts contained in this Prospectus are expressed as Australian dollars unless otherwise stated.
Rounding
Any discrepancies between totals and sums and components in tables contained in this Prospectus are due to rounding.
Time
All references to time in this Prospectus are references to WST, unless otherwise stated.
Glossary
Defined terms and abbreviations used in this Prospectus are detailed in the glossary of terms in Section 10.
CORPORATE DIRECTORY
Directors
Lawyers
Mr M Cliff Lawrenson
Non-Executive Chairman
Mr James Cullen
Managing Director and CEO
Mr Kenneth Hall
Executive Director
Mr Stuart Foster
Non-Executive Director
Mr Linton Putland
Non-Executive Director
Company Secretary
Mr Michael Kenyon
Company Secretary
Registered Office
338 Gnangara Road
Landsdale WA 6065
Tel:
+61 8 9303 8888
Fax:
+61 8 9303 8899
Email:
email@example.com
ASX Code:
PEA
Share Registry
Computershare Investor Services Pty Limited
GPO Box 2975
Melbourne VIC 3001
*This party is named for informational purposes only and was not involved in the preparation of this Prospectus or been requested to consent to being named in this Prospectus.
DLA Piper Australia Level 31, Central Park 152 - 158 St Georges Terrace Perth WA 6000
Auditor*
BDO Audit (WA) Pty Ltd 38 Station Street Subiaco WA 6000
INDICATIVE TIMETABLE FOR ENTITLEMENT OFFER
The above timetable is indicative only and subject to change. Subject to the Listing Rules, the Directors reserve the right to vary these dates, including the Closing Date, without prior notice. Any extension of the Closing Date will have a consequential effect on the anticipated date for issue of the New Shares. The Directors also reserve the right not to proceed with the whole or part of the Offers at any time prior to allotment. In that event, the relevant Application Monies will be returned without interest in accordance with the Corporations Act.
LETTER FROM THE CHAIRMAN
Dear Shareholder
On behalf of the board of Pacific Energy Limited (Company), I am pleased to present you with an opportunity to subscribe for additional shares in the Company by participating in the offer detailed in this Prospectus. The Company is undertaking a renounceable pro-rata entitlement offer to Eligible Shareholders of New Shares at an issue price of $0.50 each on the basis of 1 New Share for every 9 Shares held on the Record Date (Entitlement Offer). The number of New Shares to which you are entitled to subscribe for is detailed in the Entitlement and Acceptance Form that accompanies this Prospectus.
The Entitlement Offer will raise approximately $21.45 million (before associated costs). Funds raised through the Entitlement Offer will allow the Company to reduce debt and have available capital for growth opportunities.
The Entitlement Offer follows the Company's announcement on 22 March 2018 of the acquisition of the businesses known as Contract Power Group (Contract Power) for $90 million. The Contract Power acquisition was settled on 24 April 2018. It is a condition of the bank funding used for settlement that the Company undertake at least a $20 million rights issue within 3 months from settlement.
The Contract Power acquisition is an excellent opportunity for the Company. Contract Power is a specialist provider to the remote power generation sector, with over 25 years' experience in the Australian build, own, operate (BOO) market as well as in the EPC market, having completed projects in Australia, Africa and Asia.
Contract Power has an increasing portfolio of long-term power supply contracts and is widely regarded as a leader in the industry, alongside Pacific Energy's KPS business. The two companies have remained healthy competitors for over two decades and the combination of technical knowledge, inhouse capabilities, resources, assets and experience will be of significant value.
Of considerable note is that the acquisition will result in Pacific Energy quickly establishing itself as the leading BOO power supplier in the producing and near-term production hard-rock lithium mines in Western Australia, which is establishing itself as the global leader in hard-rock lithium. It also consolidates our existing position as the leading BOO power supplier in the gold sector
The transaction with Contract Power is an exciting one for the Company and our Shareholders. It gives Pacific Energy significantly more scale and reach, now with over 30 long term power generation contracts for remote mines and townships and a weighted average remaining contract duration rising above 4 years across the entire portfolio. This provides us with stronger and longer earnings visibility.
Further information about the Company and its operations is contained in publicly available documents lodged by the Company with the ASIC and ASX. This Prospectus should be read in conjunction with this material.
There are a number of risks associated with investing in the share market generally and the Company specifically. The New Shares being offered under this Prospectus must be regarded as speculative. Investors should read Prospectus in its entirety before deciding to invest and in particular, consider the risk factors detailed in Section 6.
If you have any queries concerning the Entitlement Offer, or the action you are required to take to subscribe for New Shares, please consult your stockbroker, accountant, solicitor or other professional advisor.
Yours faithfully
Cliff Lawrenson
Chairman
TABLE OF CONTENTS
1. Investment Overview
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2. Company Overview
Pacific Energy is an ASX listed (ASX: PEA) power generation project developer and owner. Headquartered in Perth, Western Australia, Pacific Energy is focused on the development, ownership and maintenance of mine site and renewable energy power stations.
Kalgoorlie Power Systems, a wholly owned subsidiary of Pacific Energy Limited, is a leading provider of power generation infrastructure to the mining and resources sector in Australia. The business operates a build, own, operate execution model with 292MW of contracted capacity at 22 mine site locations across Australia.
Pacific Energy Victorian Hydro, a wholly owned subsidiary of Pacific Energy Limited, owns and operates 6MW of hydro power generation capacity located approximately 70 kilometres east of Melbourne, Victoria. The company's hydro assets commenced operation in 1992 and comprise two separate power stations located at the Cardinia Reservoir and Blue Rock Dam.
NovaPower, a wholly owned subsidiary of Pacific Energy Limited, owns and operates the 10MW Nova gas-fired power generation plant in Traralgon, Victoria. Nova is a highefficiency/low emissions gas-fired power station which generates in quick response to electricity demand in peak periods.
Contract Power Group, consists of three wholly owned subsidiaries of Pacific Energy Limited, and is a leading provider of power generation infrastructure to the mining and resources sector as well as remote townships in Australia. The business operates a build, own, operate execution model with 82MW of installed capacity in Western Australia and has also undertaken select engineering, procurement, construction ("commonly known as "EPC") work in Australia, Africa and Asia.
3. Details of the Offers
3.1 Entitlement Offer
The Entitlement Offer is a renounceable pro rata entitlement issue of One New Share for every Nine] Shares held by Eligible Shareholders on the Record Date at an issue price of 50 cents per New Share to raise approximately $21.45 million (before costs) (Entitlement Offer).
Under this Prospectus, Eligible Shareholders, being Shareholders on the Record Date with a registered address in Australia, New Zealand, Hong Kong, Singapore and United Kingdom are eligible to participate in the Entitlement Offer.
As at the date of this Prospectus, the Company has on issue:
Note:
1. Comprising:
* 1,000,000 Unquoted options exercisable at $0.55 on or before 2 June 2020;
* 2,000,000 Unquoted options exercisable at $0.65 on or before 2 June 2020;
* 2,000,000 Unquoted options exercisable at $0.60 on or before 2 June 2020;
* 1,000,000 Unquoted options exercisable at $0.80 on or before 31 March 2021;
* 1,000,000 Unquoted options exercisable at $0.90 on or before 31 March 2022;
* 2,000,000 Unquoted options exercisable at $0.90 on or before 24 April 2023
* 2,000,000 Unquoted options exercisable at $0.80 on or before 24 April 2023; and
2. Unquoted fully vested performance rights
The holders of existing Options will not be entitled to participate in the Entitlement Offer without first exercising their Options.
Assuming no Options are exercised and no Performance Rights vest before the Record Date, approximately 42,896,144 New Shares may be issued under the Entitlement Offer (subject to rounding).
Where the determination of the Entitlement of any Shareholder results in a fraction of a New Share, such fraction will be rounded up to the nearest whole New Share.
All of the New Shares will rank equally with the Shares on issue at the date of this Prospectus. Refer to Section 7.1 for a summary of the rights attaching to New Shares.
3.2 Reason for the Entitlement Offer and funding allocation
The purpose of the Entitlement Offer is to raise up to approximately $21.45 (before costs) (assuming the Entitlement Offer is fully subscribed).
The Company intends to apply the funds raised from the Entitlement Offer as follows:
| | Description | A$ |
|---|---|---|
| Costs of the Offers | | |
| Total$ | | |
The above table is a statement of the Board's current intentions as at the date of this Prospectus. However, Shareholders should note that, as with any budget, the allocation of funds set out in the above table may change depending on a number of factors, including the outcome of operational and development activities, regulatory developments, market and general economic conditions and environmental factors. In light of this, the Board reserves the right to alter the way the funds are applied.
3.3 Entitlements Trading
Entitlements are renounceable, which means that Eligible Shareholders who do not wish to exercise all or a portion of their Entitlements may choose to sell their Entitlements on ASX.
Information on how Entitlements may be sold on ASX is detailed in Section 0.
Rights trading is scheduled to commence on ASX on 1 May 2018 and cease on 21 May 2018.
3.4 Minimum subscription
There is no minimum subscription for the Entitlement Offer.
As detailed in Section 3.8, if there are remaining Shortfall Shares the Company reserves the right to proceed to allocate New Shares under the Offers and to issue the remaining Shortfall Shares within three months of settlement of the Contract Power acquisition at its absolute discretion.
3.5 Underwriting
The Company entered into an agreement with Mr James Cullen (Underwriter) on 24 April 2018 to partially underwrite the Entitlement Offer for an amount up to $500,000 (Underwriting Agreement).
Pursuant to the Underwriting Agreement, the Underwriter has an obligation to subscribe for, or procure subscription for, up to 1 million Shortfall Shares not otherwise applied for under the Prospectus by completing and lodging with the Company, or procuring other persons complete and lodge with the Company, Shortfall Application Forms and the relevant Application Monies.
The Underwriting Agreement also contains a number of representations and warranties from the Company to the Underwriter that are considered customary for agreements of this type.
The Underwriter may terminate its obligations under its Underwriting Agreement if any one or more of the following events prior to the Issue Date:
(a) (Unable to issue Shares) the Company is prevented from issuing the New Shares within the time required by this document, the Corporations Act, the Listing Rules, any statute, regulation or order of a court of competent jurisdiction by ASIC, ASX or any court of competent jurisdiction or any governmental or semi-governmental agency or authority;
(b) (Suspension of debt payments) the Company suspends payment of its debts generally; or
(c) (Event of Insolvency) an event of insolvency occurs in respect of the Company.
3.6 Opening and closing dates
The Company will accept Acceptance Forms in respect of the Offers from Applicants from the Opening Date until 5.00pm (WST) on the Closing Date or such other date as the Directors in their absolute discretion shall determine, subject to the Listing Rules.
Please note that payment made by BPAY ® must be received no later than 5.00pm (WST) on the Closing Date. It is the responsibility of all Applicants to ensure that their BPAY ® payments are received by the Company on or before the Closing Date.
The Company reserves the right, subject to the Corporations Act and the Listing Rules, to extend the closing dates of the Offers without prior notice. If a closing date is varied, subsequent dates may also be varied accordingly.
3.7 Shortfall Offer
Any New Shares under the Entitlement Offer that are not applied for will form the Shortfall Shares. The offer to issue Shortfall Shares is a separate offer under this Prospectus (Shortfall Offer).
Under this Prospectus, the Company offers to issue the Shortfall Shares to investors at the same price of 50 cents per New Share as that offered under the Entitlement Offer. The Shortfall Shares will have the same rights as the New Shares as detailed in Section 7.1.
Eligible Shareholders may apply for up to $2,000,000 of Shortfall Shares by completing the relevant section of their Entitlement and Acceptance Form (refer to Section 5.3 for further details). Eligible Employees may apply for up to $1,000,000 of Shortfall Shares by completing a Shortfall Application Form.
An Application for Shortfall Shares accompanied by payment of Application Monies does not guarantee the allotment of any Shortfall Shares. The Shortfall Shares will be allocated within three months after the Closing Date.
In relation to the Shortfall Offer, the Company reserves the right to issue to an Applicant a lesser number of Shortfall Shares than the number applied for, reject an Application or not proceed with the issuing of the Shortfall Shares or part thereof. If the number of Shortfall Shares issued is less than the number applied for, surplus Application Monies will be refunded in full. Interest will not be paid on Application Monies refunded.
3.8 Shortfall allocation policy
If there is a Shortfall, the Company will allocate Shortfall Shares according to the following priority:
(a) to each Eligible Shareholder who has applied for Shortfall Shares through the Shortfall Offer up to $2,000,000;
(b) if following the allocation in paragraph (a) there remains Shortfall Shares, to each Eligible Employee of the Group who has applied for Shortfall Shares through the Shortfall Offer up to $1,000,000;
(c) if following the allocation in paragraph (a) and (b) there remains Shortfall Shares, to Mr James Cullen who will underwrite the Shortfall Offer up to $500,000; and
(d) if following the allocation in paragraphs (a), (b) and (c) there remains Shortfall Shares, to those investors who apply for Shortfall Shares following an invitation from the Company in its absolute discretion.
Mr James Cullen, managing director and CEO, has offered to underwrite the Offers for an amount of up to $500,000. Mr Cullen is not a Shareholder and the only way by which Mr Cullen is able to participate in the Offers and support the Company's capital raising is to act
as an underwriter. The Board has accepted Mr Cullen's offer to underwrite the Offers up to a value of $500,000. Mr Cullen will not receive a fee for partially underwriting the Offers.
3.9 Risks of the Offers
As with any securities investment, there are risks associated with investing in the Company. However, having regard to the matters detailed in Section 3.2 and the risks applicable to the Company and its business detailed in Section 6, Eligible Shareholders should be aware that an investment in the New Shares offered under this Prospectus should be considered speculative and there exists a risk that you may, in the future, lose some or all of the value of your investment.
Before deciding to invest in the Company, investors should read this Prospectus in its entirety, in particular the specific risks associated with an investment in the Company (detailed in Section 6), and should consider all factors in light of their personal circumstances and seek appropriate professional advice.
3.10 Application Forms and BPAY ® Payments
Acceptance of a completed Application Form, or alternatively, a BPAY ® payment, by the Company creates a legally binding contract between the Applicant and the Company for the number of New Shares accepted by the Company. The Application Forms do not need to be signed to be a binding acceptance of New Shares.
If an Application Form is not completed correctly it may still be treated as valid. The Directors' decision as to whether to treat the acceptance as valid and how to construe, amend or complete the Application Form is final.
A personalised Entitlement and Acceptance Form will be issued to the Eligible Shareholders together with a copy of this Prospectus.
A Shortfall Application Form will be issued to certain investors together with a copy of this Prospectus.
3.11 Issue and Dispatch
All New Shares under the Offers are expected to be issued on or before the dates specified in the Indicative Timetable.
It is the responsibility of Applicants to determine their allocation prior to trading in the New Shares. Applicants who sell Bew Shares before they receive their holding statements will do so at their own risk.
Shortfall Shares may be issued within three months after the Closing Date.
3.12 Application Monies held on trust
All Application Monies will be held on trust in a bank account maintained solely for the purpose of depositing Application Monies received pursuant to this Prospectus until the New Shares are issued. All Application Monies will be returned (without interest) if the New Shares are not issued.
3.13 ASX quotation
Application will be made to ASX no later than seven days after the date of this Prospectus for Official Quotation of the New Shares offered under this Prospectus. If ASX does not grant Official Quotation of the New Shares within three months after the date of this Prospectus (or such period as the ASX allows), no New Shares will be issued or allotted under the Offers and the Company will repay, as soon as practicable, without interest, all Application Monies received pursuant to this Prospectus.
ASX takes no responsibility for the contents of this Prospectus. The fact that ASX may grant Official Quotation is not to be taken in any way as an indication of the merits of the Company or the New Shares.
3.14 Withdrawal
The Directors may at any time decide to withdraw this Prospectus and the Offers, in which case, the Company will return all Application Monies (without interest) in accordance with the Corporations Act.
3.15 CHESS
The Company participates in the Clearing House Electronic Subregister System, known as CHESS. ASX Settlement, a wholly owned subsidiary of ASX, operates CHESS in accordance with the Listing Rules and Securities Clearing House Business Rules.
Under CHESS, Applicants will not receive a certificate but will receive a statement of their holding of New Shares.
If you are broker sponsored, ASX Settlement will send you a CHESS statement.
The CHESS statement will set out the number of New Shares issued under this Prospectus, provide details of your holder identification number, the participant identification number of the sponsor and the terms and conditions applicable to the New Shares.
If you are registered on the Issuer Sponsored subregister, your statement will be dispatched by the Share Registry and will contain the number of New Shares issued to you under this Prospectus and your security holder reference number.
A CHESS statement or Issuer Sponsored statement will routinely be sent to Shareholders at the end of any calendar month during which the balance of their shareholding changes. Shareholders may request a statement at any other time, however, a charge may be made for additional statements.
3.16 Ineligible Shareholders
The Entitlement Offer is not being extended to Shareholders with a registered address outside Australia, New Zealand, Hong Kong, Singapore and United Kingdom (Ineligible Shareholders). The Company is of the view that it is unreasonable to make the Entitlement Offer to Shareholders outside Australia, New Zealand, Hong Kong, Singapore and United Kingdom, having regard to:
(a) the number of those Shareholders;
(b) the number and value of New Shares to be offered to those persons; and
(c) the cost of complying with overseas legal requirements.
This Prospectus and accompanying Application Forms do not, nor are they intended to, constitute an offer in any place in which, or to any person to whom, it would not be lawful to make such Offers.
Shareholders resident in Australia, New Zealand, Hong Kong, Singapore and United Kingdom holding Shares on behalf of persons who are resident overseas are responsible for ensuring that taking up Entitlements under the Entitlement Offer does not breach regulations in the relevant overseas jurisdiction. Return of a duly completed Entitlement and Acceptance Form will be taken by the Company to constitute a representation that there has been no breach of those regulations.
3.17 Taxation implications
The Directors do not consider it appropriate to give Applicants advice regarding the taxation consequences of subscribing for New Shares.
The Company, its advisers and its officers do not accept any responsibility or liability for any such taxation consequences to Applicants. Applicants should consult their own professional tax adviser to obtain advice in relation to the taxation laws, regulations and implications applicable to their personal circumstances.
3.18 Major activities and financial information
A summary of the major activities and financial information relating to the Company for the financial year ended 30 June 2017 is contained in the Annual Report which is available on the Company's website at http://www.pacificenergy.com.au.
A summary of the major activities and financial information relating to the Company for the half year ended 31 December 2017 is contained in the Half Yearly Report which is available on the Company's website at http://www.pacificenergy.com.au.
The Company's continuous disclosure notices (i.e. ASX announcements) since the lodgement of its Annual Report for the year ended 30 June 2017 with ASX on 20 October 2017 are detailed in Section 8.1.
Copies of these documents are available free of charge from the Company or the Company's website: http://www.pacificenergy.com.au. Directors strongly recommend that Applicants review these and all other announcements prior to deciding whether or not to participate in the Offers.
3.19 Privacy
The Company collects information about each Applicant provided on an Application Form for the purposes of processing the Application and, if the Application is successful, to administer the Applicant's security holding in the Company.
By submitting an Application Form, each Applicant agrees that the Company may use the information provided by an Applicant on the Application Form for the purposes detailed in this privacy disclosure statement and may disclose it for those purposes to the Share Registry, the Company's related bodies corporate, agents, contractors and third party service providers, including mailing houses and professional advisers, and to ASX and regulatory authorities.
If you do not provide the information required on Application Form, the Company may not accept or process your Application.
An Applicant has an entitlement to gain access to the information that the Company holds about that person subject to certain exemptions under law. A fee may be charged for access. Access requests must be made in writing to the Company's registered office.
3.20 Enquiries concerning Prospectus
Any questions in relation to this Prospectus should be directed to the Company Secretary by telephone on +61 (08) 9303 8888.
4. Effect of the Offers
4.1 Capital structure on completion of the Offers
On the basis that the Company completes the Offers, the Company's capital structure will be as follows:
| Number of Shares | Number of Options | Number of Performance |
|---|---|---|
| | | Rights |
4.2 Commitments to take up Entitlements
The Company has received firm commitments from the following Shareholders that they intend to take up their Entitlement in full:
4.3 Dilution and potential effect on control
Shareholders should note that if they do not participate in the Entitlement Offer, their holdings are likely to be diluted by the following percentages:
| | | | | | % following |
|---|---|---|---|---|---|
| | | | | Holding if | |
| Example | Holding as at | % as at record Date | Entitlement | Entitlement not | allotment |
| Shareholder | Record Date | | | | of New |
| | | | | taken up | Shares |
Note: The dilutionary effect in the above table is the maximum percentage on the assumption that those Entitlements not accepted are placed under the Shortfall Offer. If Entitlements not accepted are not subsequently placed under the Shortfall Offer, the dilution to each shareholder not accepting their Entitlement will be less.
Mr Kenneth Hall
At the date of this Prospectus, Mr Kenneth Hall, Director, (and his associated entities) is a substantial Shareholder and has a relevant interest in 188,340,505 Shares (constituting a voting power of 48.78%). Mr Hall has agreed to subscribe for his full Entitlement.
Entitlement Offer is fully subscribed (no Shortfall)
The following table show the number of Shares held by, and approximate voting power of, Mr Kenneth Hall, IOOF Holdings Limited and Commonwealth Bank of Australia after completion of the Entitlement Offer, assuming all Eligible Shareholders fully subscribe for their Entitlement.
| Substantial | Date of Prospectus | | | Entitlement Offer is fully subscribed (no | |
|---|---|---|---|---|---|
| Shareholder | | | | Shortfall) | |
| | Number of Shares | Voting Power | Number of Shares | | Voting Power (%) |
| | | (%) | | | |
Entitlement Offer is not fully subscribed (various levels of Shortfall)
The following table shows the number of Shares held by, and approximate voting power of, Mr Kenneth Hall, IOOF Holdings Limited and Commonwealth Bank of Australia after completion of the Entitlement Offer, assuming different levels of acceptances by other Eligible Shareholders and no Eligible Shareholders or other investors apply for additional Shares under the Shortfall Offer.
| Substantial Shareholder | | 75% acceptance of | | | 50% acceptance of | | | 0% acceptance of |
|---|---|---|---|---|---|---|---|---|
| | | Entitlements by other | | | Entitlements by other | | | Entitlements by other |
| | | Eligible Shareholders | | | Eligible Shareholders | | | Eligible Shareholders |
| | Number of Shares | | Voting | Number of Shares | | Voting | Number of Shares | |
| | | | Power | | | Power | | |
| | | | (%) | | | (%) | | |
The above tables have been prepared on the assumption Mr Kenneth Hall, IOOF Holdings Limited and Commonwealth Bank of Australia subscribe for their full Entitlement.
The information above assumes that none Mr Kenneth Hall, IOOF Holdings Limited and Commonwealth Bank of Australia acquires or disposes of a relevant interest in any Shares after the date of this Prospectus but before the Record Date.
4.4 Pro-forma statement of financial position
Set out on the following pages are the Company's Consolidated Statement of Financial Position as at 30 June 2017 (audited) and the Company's Pro-Forma Consolidated Statement of Financial Position as at 31 December 2017 (unaudited) (Statements).
The Statements are presented in abbreviated form insofar as they do not include all the disclosures that are present in annual financial reports as required by Australian Accounting Standards. The significant accounting policies that underpin the Statements are the same policies as those outlined in the Company's Annual Report for the year ended 30 June 2017.
The Statements have been prepared on the basis that there are no material movements in the assets and liabilities of the Company between 30 June 2017 and the completion of the Offers except for:
(a) Contract Power Acquisition;
(b) NovaPower Acquisition (completed 20 December 2017);
(c) at full subscription of the Entitlement Offer, the issue of 42,896,144 New Shares at 50 cents each (subject to rounding and assuming that no Options are exercised and no Performance Rights vest before the Record Date) to raise up to $21.45 million (before associated costs); and
(d) estimated costs and fees of the Offers of $67,488.
The accounting policies adopted in the preparation of the pro forma balance are consistent with the accounting policies adopted and described in the Company's Financial Report for the year ended 30 June 2017 and should be read in conjunction with that Financial Report.
No allowance has been made for expenditure incurred in the normal course of business from the date of this Prospectus to the Closing Date.
5. Action required by Applicants
5.1 What Eligible Shareholders may do
Your entitlement to participate in the Entitlement Offer will be determined on the Record Date. The number of New Shares to which Eligible Shareholders are entitled to is shown on the accompanying personalised Entitlement and Acceptance Form. Eligible Shareholders may:
(a) accept all of their Entitlement (refer to Section 5.2);
(b) accept all of their Entitlement and apply for Shortfall Shares (refer to Section 5.3);
(c) sell all of their Entitlement on ASX (refer to Section 5.4);
(d) accept a proportion of their Entitlement and sell the balance on ASX (refer to Section 5.5);
(e) accept a proportion of their Entitlement and allow the balance to lapse (refer to Section 5.6);
(f) sell all or a proportion of their Entitlement other than on ASX (refer to Section 5.7); or
(g) not take up their Entitlement (refer to Section 5.8).
If you are an Eligible Shareholder and wish to accept all or part of your Entitlement:
(a) carefully read this Prospectus in its entirety;
(b) consider the risks associated with an investment in the Company (refer to Section 6) in light of your personal circumstances;
(c) complete the relevant personalised Entitlement and Acceptance Form in accordance with the instructions contained in this Prospectus and detailed in the accompanying Entitlement and Acceptance Form; and
(d) return the completed Entitlement and Acceptance Form together with the Application Monies (in full) in accordance with Section 5.10, so that it is received at the following address by no later than 5.00pm (WST) on the Closing Date:
5.2 Acceptance of ALL of your Entitlement under the Entitlement Offer
If you wish to accept all of your Entitlement, then applications for New Shares must be made on the accompanying Entitlement and Acceptance Form in accordance with the instructions in this Prospectus and on the Entitlement and Acceptance Form. Please read the instructions carefully.
Please return the completed Entitlement and Acceptance Form, together with the Application Monies (in full), in accordance with Section 5.10, to the Share Registry so that it is received at the address listed in Section 5.1 by no later than 5.00pm (WST) on the Closing Date.
5.3 Acceptance of ALL of your Entitlement and applying for Shortfall Shares
If you wish to accept all of your Entitlement and apply for New Shares in excess of your Entitlement by applying for Shortfall Shares, then applications for Shortfall Shares must be made by completing the relevant sections in the Entitlement and Acceptance Form, in accordance with the instructions in the Prospectus and on the accompanying Entitlement and Acceptance Form. There is no limit to the amount of New Shares you may subscribe for under the Shortfall Offer. Please read the instructions on the Entitlement and Acceptance Form carefully.
Please return the completed Entitlement and Acceptance Form, together with the Application Monies (in full), in accordance with Section 5.10, to the Share Registry so that it is received at the address listed in Section 5.1 by no later than 5.00pm (WST) on the Closing Date.
5.4 Selling ALL of your Entitlement on ASX
The Entitlements under the Offer are renounceable, which means that all or part of an Eligible Shareholder's Entitlement may be traded on ASX. If you wish to sell all of your Entitlement on ASX, provide instructions to your stockbroker regarding the Entitlement which you wish to sell on ASX. You may incur brokerage costs if you sell your Entitlements on ASX. Trading of Entitlements will commence on ASX on 1 May 2018 and cease on 21 May 2018.
There is no guarantee that an Eligible Shareholder will be able to sell all or any part of their Entitlement on ASX or that any particular price will be paid for the Entitlements sold on ASX.
This Prospectus, along with your Entitlement and Acceptance Form, will be dispatched on 7 May 2018. The Company will have no responsibility and disclaims all liability (to the maximum extent permitted by law) to you if you trade your Entitlements before the Entitlements are allotted, or before you receive your Entitlement and Acceptance Form, whether on the basis of confirmation of the allocation provided by the Company or otherwise.
5.5 Acceptance of PART of your Entitlement and selling the balance on ASX
Should you wish to only take up part of your Entitlement, then applications for New Shares under this Prospectus must be made on the Entitlement and Acceptance Form which accompanies this Prospectus, in accordance with the instructions referred to in this Prospectus and on the Entitlement and Acceptance Form. Please read the instructions carefully.
Please return the completed Entitlement and Acceptance Form, together with the Application Monies (in full), in accordance with Section 5.10, to the Share Registry so that it is received at the address listed in Section 5.1 by no later than 5.00pm (WST) on the Closing Date.
Subsequently, provide instructions to your stockbroker regarding the proportion of your Entitlement you wish to sell on ASX.
5.6 Acceptance of PART of your Entitlement and allowing the balance to lapse
If you wish to take up part of your Entitlement and allow the balance to lapse, complete the personalised Entitlement and Application Form in accordance with the instructions referred to in this Prospectus and the instructions detailed on the form, including the number of New shares you wish to accept and the Application Monies (calculated at 50 cents per New Share accepted). Please read the instructions carefully.
Please return the completed Entitlement and Acceptance Form, together with the Application Monies (calculated at 50 cents per New Share accepted), in accordance with Section 5.10, to the Share Registry so that it is received at the address listed in Section 5.1 by no later than 5.00pm (WST) on the Closing Date.
5.8
If you take no further action, the balance of your Entitlement will lapse and you will have forfeited any potential benefit to be gained from taking up or selling that part of your Entitlement.
5.7 Selling all or a proportion of your Entitlement other than on ASX
You may elect to transfer all or a proportion of your Entitlement to another person other than on ASX. If the purchaser of your Entitlement is an Ineligible Shareholder or a person that would be an Ineligible Shareholder were they a registered holder of Shares, that purchaser will not be able to take up the Entitlement they have purchased.
If you are a Shareholder on the Issuer Sponsored subregister and you wish to transfer all or a proportion of your Entitlement to another person, other than on ASX, forward a completed standard renunciation and transfer form (obtainable from the Share Registry) accompanied by the applicable transferee's cheque for the New Shares they wish to subscribe for in Australian dollars, crossed "Not Negotiable" and made payable to "Pacific Energy Limited" and lodged at any time after the Opening Date and no later than 5.00pm (WST) on the Closing Date at the Share Registry (by post) at the address listed in Section 5.1.
If you wish to transfer all or a proportion of your Entitlement to or from another person on the CHESS subregister, you must engage your CHESS controlling participant (usually your stockbroker). If the transferee wants to exercise some or all of the Entitlement, you should follow your stockbroker's instructions as to the most appropriate way to take up the Entitlement on their behalf.
If the Company receives both a completed renunciation form and a completed Entitlement and Acceptance Form in respect of the same Entitlement, the renunciation will be given effect in priority.
The Application Monies for New Shares the transferee of the Entitlement wants to acquire must be received by the Share Registry by a cheque in Australian dollars, crossed "Not Negotiable" and made payable to "Pacific Energy Limited" and lodged at any time after the Opening Date and no later than 5.00pm (WST) on the Closing Date at the Share Registry (by post) at the address listed in Section 5.1.
Entitlement not taken up
If you do not wish to accept any of your Entitlement under the Entitlement Offer, you are not obliged to do anything. You will receive no benefit or New Shares and your Entitlement under the Entitlement Offer will become Shortfall Shares.
The number of Shares you hold and the rights attached to those Shares will not be affected should you choose not to accept any of your Entitlement.
5.9 Entitlement acquired on ASX
A transferee who acquires an Entitlement on ASX will not receive a Prospectus or an Entitlement and Acceptance Form. The process in place for the transferee to exercise an Entitlement acquired on ASX is governed by the arrangements in place between the transferee and their stockbroker, and may vary between stockbrokers. The transferee should contact their stockbroker for instructions as to the most appropriate way participate in the Offers and to take up their Entitlement.
The Company will have no responsibility and disclaims all liability (to the maximum extent permitted by law) to transferees who acquire Entitlements and fail to take up all or a proportion of that Entitlement.
5.10 Payment
The offer price of New Shares under the Entitlement Offer or Shortfall Offer is 50 cents per New Share.
For Eligible Shareholders participating in the Entitlement Offer, Application Monies must be received by the Company by 5.00pm (WST) on the Closing Date.
Completed Application Forms must be accompanied by a cheque, bank draft or money order drawn in Australian dollars, made payable to 'Pacific Energy Limited' and crossed 'Not Negotiable'.
Eligible Shareholders participating in the Entitlement Offer, and who wish to pay via BPAY ® must following the instructions on the Entitlement and Acceptance Form. You will be deemed to have accepted all or part of your Entitlement (as applicable) upon receipt of the BPAY ® payment by the Company.
If paying via BPAY ® , Eligible Shareholders should be aware that their own financial institution may implement earlier cut off times with regard to electronic payment and it is the responsibility of Eligible Shareholders to ensure that funds are submitted through BPAY ® by the date and time mentioned above. If you elect to pay via BPAY ® , you must follow the instructions for BPAY ® detailed in the Entitlement and Acceptance Form and you will not need to return the Entitlement and Acceptance Form.
The Company shall not be responsible for any postal or delivery delays, or delay in the receipt of the BPAY ® payment.
5.11 Representations by Applicants
By completing and returning an Application Form or paying any Application Monies by BPAY ® , in addition to the representations set out elsewhere in this Prospectus and the Application Form, you:
(a) if participating in the Entitlement Offer, represent to the Company that you are an Eligible Shareholder;
(b) acknowledge that you have received a copy of this Prospectus and an accompanying Application Form, and read them both in their entirety;
(c) agree to be bound by the terms of the Offers, the provisions of this Prospectus and the Constitution;
(d) authorise the Company to register you as the holder(s) of the New Shares allotted to you;
(e) declare that all details and statements in the Application Form are complete and accurate;
(f) declare that you are over 18 years of age and have full legal capacity and power to perform all your rights and obligations under the Application Form;
(g) acknowledge that once the Application Form is returned, or a BPAY ® payment instruction is given in relation to any Application Monies, the Application may not be varied or withdrawn except as required by law;
(h) agree to accept and be issued up to the number of New Shares specified in the Application Form at the issue price of 50 cents per New Share;
(i) authorise the Company and its respective officers or agents to do anything on your behalf necessary for the New Shares to be issued to you, including to act on instructions of the Share Registry upon using the contact details set out in the Application Form;
(j) if participating in the Entitlement Offer, declare that you were the registered holder at 5.00pm (WST) on the Record Date of the Shares indicated on your personalised Entitlement and Acceptance Form as being held by you at 5.00pm (WST) on the Record Date;
(k) acknowledge the statement of risks in Section 6 and that an investment in the Company is subject to risk;
(l) represent and warrant that the law of any place does not prohibit you from being given this Prospectus and the Application Form, nor does it prohibit you from accepting New Shares and that if you participate in the Entitlement Offer, that you are eligible to do so; and
(m) if you are in the United States, you certify that you:
(i) are an "accredited investor" (as defined in Rule 501(a) under the U.S. Securities Act of 1933) and are acquiring the New Shares for your own account with the present intention of holding the New Shares for the purpose of investment and not with the intention of selling the New Shares in a public distribution in violation of the U.S. federal securities laws or any applicable state securities laws;
(ii)
understand that:
(A) no U.S. federal or state securities commission has recommended nor considered the merits of any investment in the New Shares;
(B) the New Shares have not been registered under the Securities Act or the securities laws of any state; and
(C) the New Shares cannot be transferred or resold unless they are (i) registered under the Securities Act; (ii) sold or transferred in a transaction exempt from registration under the Securities Act and applicable state securities laws; or (iii) sold outside the United States in compliance with Regulation S under the Securities Act, including in regular way transactions on the ASX if neither it nor any person acting on its behalf knows, or has reason to know, that the sale has been prearranged with a person in the United States;
(iii) confirm that you:
(A) are knowledgeable in relation to the business of the Company and capable of evaluating the merits and risks of its investment in the New Shares, including income tax consequences of acquiring, owning and disposing of the New Shares;
(B) have been afforded access to information about the New Shares, the Company's financial condition, results of operations, business, property, management and prospects sufficient to enable it to invest in the New Shares (including reviewing any offer document prepared by the Company and documents it has filed with ASX);
(C) understands that the purchase of the New Shares involves substantial risks; and
(D) are able to bear the economic risk of its investment in the New Shares;
(iv) agree not to forward any offer document prepared by the Company to any person; and
(v) understands that the New Shares will constitute "restricted securities" (within the meaning of Rule 144 under the Securities Act) and, for so long as they remain restricted securities, such New Shares may not be
deposited in any unrestricted American Depositary Receipt facility of the Company.
5.12 Brokerage
No brokerage or stamp duty is payable by Eligible Shareholders who accept their Entitlement.
5.13 Enquiries concerning your Entitlement
If you have any questions in relation to your Entitlement under the Entitlement Offer, please contact the Company Secretary by telephone on +61 (08) 9303 8888.
6. Risks
The New Shares are considered speculative and carry no guarantee with respect to the payment of dividends or returns of capital. An investment in the Company is not risk free and the Directors strongly recommend that potential investors consult their professional advisers and consider the risks described below, together with information contained elsewhere in this Prospectus, before deciding whether to apply for New Shares.
The following list of risks ought not to be taken as exhaustive of all the risks faced by the Company, the Group or by Shareholders. The proposed future activities of the Group are subject to a number of risks and other factors which may impact its future performance. Some of these risks can be managed and mitigated by planning and the use of safeguards and appropriate controls. However, many of the risks are outside the control of the Group or the Directors and cannot be mitigated.
6.1 Specific Risks
(a) Operating and Reputational Risk
The Group is, and will continue to be, exposed to a range of operational risks relating to current and future operations. These include equipment failures and other accidents, industrial action or disputes, lease renewals, damage by third parties, floods, fire, major cyclone, earthquake, lightning strike, terrorist attack or other disaster. In the event existing insurance arrangements do not cover an operational issue, this could have a material adverse effect on the operating and financial performance of the Group. Specifically, equipment breakdown at one of the Group facilities may impact the Group's ability to meet forecasts. Any prolonged supply downtime may have an impact on the Group's ability to fulfil customer demands and have an adverse effect on the Group's reputation, operating and financial performance.
(b) Contractual Risk
The Group's ability to conduct its business and generate income is derived from power purchase agreements, build own operate and transfer agreements and power supply agreements (Client Contracts) with its customers. Any termination of one or more Client Contracts may affect the Group's financial performance. There is no certainty regarding the ability of the Group to enter into new Client Contracts, nor any certainty regarding the term that may apply to any new Client Contracts that are executed. Additionally, when an existing Client Contracts expires, there is no guarantee that the Client Contracts will be renewed, nor any certainty regarding the terms that may apply to any such renewals.
While the Group is actively seeking to negotiate extensions or renewals of such contracts, there is no guarantee that these contracts will be renewed, nor any certainty regarding the terms that may apply to any such renewal.
(c) Additional Capital
The Group has significant borrowings, of approximately $102 million assuming successful completion of this Entitlement Offer. The Group's debt facilities include common financial and non-financial covenants which could limit the Group's future financial flexibility.
The Group's ability to make new acquisitions, investments and its ability to develop new generation projects may depend on it obtaining new capital on competitive terms in a timely manner. There is no assurance that additional equity or debt capital will be available to the Group in the future on favourable terms or at all. Failure to do so may limit The Group's ability to grow and may adversely affect the Group's future prospects and financial performance.
(d) Risks relating to Debt Facilities
The Group's debt facilities identify various events standard for facilities of this type which if come into fruition in the future may constitute an event of default or review event under the facilities. The occurrence of an event of default may entitle the Group's lenders to exercise certain rights, including the acceleration of repayment of outstanding moneys on the debt facilities and the enforcement of the lenders' security interests. The occurrence of a review event, subject to 30 day negotiation period between the Group and the lenders, may entitle the lenders to exercise certain rights including requiring repayment of outstanding moneys.
In particular, the Group is required to obtain shareholder approval pursuant to section 260B of the Corporations Act in respect of the debt facilities security interest associated with the Contract Power acquisition, being security granted by Contract Power Australia Pty Ltd, within 60 days of 24 April 2018. A failure to obtain shareholder approval is an event of default under the debt facilities. It is also a condition of the Group's debt facilities that the Group is required to raise at least $20,000,000 within 3 months of 24 April 2018. A failure to satisfy this condition results in a review event under the debt facilities.
The exercise of any such rights by the lenders under the Group's debt facilities could have a material adverse effect on the Group's activities and financial condition.
(e) Reliance on Key Personnel
The responsibility of overseeing the day-to-day operations and the strategic management of the Group depends substantially on its senior management and directors. There can be no assurance that there will be no detrimental impact on the performance of the Group or its growth potential if one or more of these employees cease their employment and suitable replacements are not identified and engaged in a timely manner.
(f) Changes in government policies and legislation
Any material adverse changes in government policies or legislation of Australia, or any other country where the Group may acquire economic interests, may affect the viability and profitability of the Group.
Changes in relevant tax, legal and administrative regimes and government policies in Australia may adversely affect the financial performance of the Group.
(g) Failing to Convert Pipeline Opportunities into Binding Contracts
The success of the Group's growth strategy, is highly dependent upon securing customers and converting trial or pipeline customers into ongoing, revenue producing customer relationships. For new green field and existing brown field projects, prospective clients often engage expert teams to research the latest technology for incorporation into their power delivery plans. The importance of educating customers as to the benefits of the Group's products therefore becomes paramount. Any inability of the Group to educate and attract new clients, convert trial and pipeline clients and/or obtain repeat client orders is likely to materially adversely the Group's business and performance. There is no guarantee that the Group will be able to attract new client or convert pipeline or trial relationships into ongoing client relationships.
(h) Integration Risk
There are risks that any integration between the businesses of the Company and Contract Power may take longer than expected and that anticipated efficiencies and benefits of that integration may be less than estimated. These risks include
possible differences in the management culture of the two groups and the potential loss of key personnel.
(i) Competition Risk
The Group's earnings and market share could come under threat from aggressive domestic and overseas market competitors. Competition may be based on factors including price, service, product differentiation and quality, production capability, innovation, growth, capital accessibility and turnaround times. The Group's success is built on the key features of its offering, being innovation, strong long term client relationships, quality, reliability and durability. However, there remains a risk that established businesses in adjacent markets may look to produce comparable products and offer similar services to the Group, with a different cost structure and business model and/or spare capacity. Furthermore, the Group relies on its key management and its ability to attract and retain experienced and high performing personnel. Subject to contractual restraints, key management could establish a business in competition with the Group's business. These factors, individually or in combination, may impact materially on the Group's operations and profitability.
(j) Construction Risk
New power generation plants under construction are exposed to risks associated with the project not being completed on time, on budget, or in accordance with specifications. Increased costs and/or timing delays may delay or reduce the expected cash flows on a project and consequently impact the Group's operating and financial performance.
(k) Supply Chain
Any disruption or external market condition limiting the supply or increasing the cost of components, consumables or raw materials to the Group could have a material adverse impact on the Group's profitability. The Group relies on the procurement of components, consumables and raw materials used in operation from its existing extensive network of local and international suppliers.
(l) Intellectual Property
The Group's ability to fully leverage its expertise and innovation depends upon its ability to use and protect its intellectual property and any improvements to it. Such intellectual property may not be capable of being legally protected, it may be the subject of unauthorised disclosure or unlawfully infringed, or the Group may incur substantial cost in asserting or defending its intellectual property rights.
(m) Failing to Match Production to Demand
The Group's objectives are dependent on its ability to meet commercial demand for its products and services. This is particularly true in relation to the Group's hybrid & micro-grid offers, where the Group is seeking to establish footholds in a relatively immature market. There is a risk that the Group will not be able to increase its power production capacity quickly enough, while maintaining appropriate quality standards, to meet incoming demand. Any inability to meet demand (including as to compliance with quality standards) could result in lost revenue, breach of contract and may also cause reputational damage with particular customers and in the market more broadly, affecting the Group's financial performance and position.
(n) Concentration of Shareholding
Following completion of the Offers and assuming all New Shares are issued, Kenneth Hall (via his controlled entities) will have an interest in 48.78% of the Shares on issue. Consequently, Kenneth Hall will continue to be in a position to exert significant influence over the outcome of matters relating to the Group, including the election of Directors. Whilst the interests of the Group, Kenneth Hall
and other Shareholders are likely to be consistent in most cases, there may be instances where their respective interests diverge. The concentration of ownership of Kenneth Hall may also affect the liquidity of the market for Shares on ASX which may, in turn, limit the prospects of the Group being freely traded.
(o) Insurance Risk
The Group currently insures its operations in accordance with industry practice. However, in certain circumstances, the Group's insurance may not be of a nature or level to provide adequate liability cover. The occurrence of an event that is not covered or fully covered by insurance such as electricity supply defect or failure could have a material adverse effect on the business, financial condition and results of the Group.
(p) Litigation
All industries, including the industrial power supply industry, are subject to legal claims, with and without merit. The Group may be involved from time to time in various routine legal proceedings, which include labour matters such as unfair termination claims, supplier matters and property issues incidental to its business. All industries, including the mining industry, are subject to legal claims, with and without merit. Defence and settlement costs associated with litigation can be substantial, even with respect to claims that have no merit. Due to the inherent uncertainty of the litigation process and dealings with the regulatory bodies, there can be no assurance that the resolution of any particular legal or regulatory proceeding will not have a material adverse effect on the Group's future cash flow, results of operations or financial condition.
(q) Occupational Health and Safety Risk
The industrial power supply industry is an inherently hazardous industry, and is subject to increasing occupational health and safety responsibility and liability. The potential for significant loss and liability is a constant risk. If the Group fails to comply with necessary occupational health and safety legislative requirements, it could result in fines, penalties and compensation for damages as well as reputational damage.
(r) Ability to Attract Key Personnel
The Group's success depends, in part, on its ability to identify, attract, motivate and retain suitably qualified management personnel. Competition for qualified and experienced staff is strong. The inability to access and train the services of a sufficient number of qualified and experienced staff could be disruptive to the Group's development efforts or business development and could materially adversely affect its operating results.
6.2 General risks
(a) Price of Shares
The Shares are subject to general market risks applicable to all securities listed on a stock exchange. This may result in fluctuations in the Share price that are not explained by the performance of the Company.
The price at which Shares are quoted on the ASX may increase or decrease due to a number of factors, some of which may not relate directly or indirectly to the Company's performance or prospects.
There is no assurance that the price of the Shares will increase in the future, even if the Company's earnings increase.
Some of the factors which may affect the price of the Shares include:
(i) fluctuations in the domestic and international markets for listed stocks;
(ii) general economic conditions, including interest rates, inflation rates, exchange rates, commodity and oil prices or changes to government;
(iii) fiscal, monetary or regulatory policies, legislation or regulation;
(iv) inclusion in or removal from market indices;
(v) the nature of the markets in which the Company operates;
(vi) general operational and business risks;
(vii) variations in sector performance, which can lead to investors exiting one sector to prefer another; and
(viii) initiatives by other sector participants which may lead to investors switching from one stock to another.
Deterioration of general economic conditions may also affect the Company's business operations, and the consequent returns from an investment in Shares.
In the future, the sale of large parcels of Shares may cause a decline in the price at which the Shares trade on ASX.
(b) Tax law and application
The application of and change in relevant tax laws (including income tax, goods and services tax (or equivalent), rules relating to deductible liabilities and stamp duty), or changes in the way those tax laws are interpreted, will or may impact the tax liabilities of the Group or the tax treatment of a Shareholder's investment. An interpretation or application of tax laws or regulations by a relevant tax authority that is contrary to the Group's view of those laws may increase the amount of tax paid or payable by the Group.
Both the level and basis of tax may change. Any changes to the current rate of company income tax (in Australia or other countries in which the Group operates) and / or any changes in tax rules and tax arrangements (again in Australia or other countries in which the Group operates) may increase the amount of tax paid or payable by the Group, may also impact Shareholder returns and could also have an adverse impact on the level of dividend franking / conduit foreign income and Shareholder returns. In addition, an investment in Shares involves tax considerations which may differ for each Shareholder. Each Shareholder is encouraged to seek professional tax advice in connection with any investment in the Group.
(c) Force majeure events
Events may occur within or outside Australia that could impact upon global, Australian or other local economies relevant to the Group's financial performance, the operations of the Group and the price of the Shares. These events include but are not limited to acts of terrorism, an outbreak of international hostilities, fires, floods, earthquakes, labour strikes, civil wars, natural disasters, outbreaks of disease or other man-made or natural events or occurrences that can have an adverse effect on the demand for the Group's services and its ability to conduct business. The Group has only a limited ability to insure against some of these risks.
(d) Accounting standards
Australian Accounting Standards (AAS) are adopted by the AASB and are not within the control of the Group and its Directors. The AASB may, from time to time, introduce new or refined AAS, which may affect the future measurement and
recognition of key statement of profit or loss and statement of financial position items. There is also a risk that interpretation of existing AAS, including those relating to the measurement and recognition of key statement of profit or loss or statement of financial position items may differ. Any changes to the AAS or to the interpretation of those standards may have an adverse effect on the reported financial performance and position of the Group.
(e) Shareholder dilution
In the future, the Group may elect to issue further Shares in connection with fundraisings, including to raise proceeds for acquisitions. While the Group will be subject to the constraints of the Listing Rules regarding the percentage of its capital it is able to issue within a 12 month period (other than where exceptions apply), Shareholders may be diluted as a result of such fundraisings.
(f) Expected future events may not occur
Certain statements in this Prospectus constitute forward looking statements. Such forward looking statements involve known and unknown risks, uncertainties and other factors which may cause the actual results, performance and achievements of the Group to be materially different from any future results, performance or achievements expressed or implied by such forward looking statements. Given these uncertainties, prospective investors should not place undue reliance on such forward looking statements. In addition, under no circumstances should forward looking statements be regarded as a representation or warranty by the Group, or any other person referred to in this Prospectus, that a particular outcome or future event is guaranteed.
(g) General economic and financial market conditions
The operating and financial performance of the Group is influenced by a variety of general domestic and global economic and business conditions that are outside the control of the Group. There is a risk that prolonged deterioration in general economic conditions may impact the demand for the Group's products and negatively impact the Group's financial performance, financial position, cash flows, dividends, growth prospects and Share price.
6.3 Investment Speculative
The above list of risk factors ought not to be taken as exhaustive of the risks faced by the Company, or the Group, or by investors in the Company. The above factors, and others not specifically referred to above, may in the future materially affect the financial performance of the Group and the value of the New Shares offered under this Prospectus. Therefore, the New Shares to be issued pursuant to this Prospectus carry no guarantee with respect to the payment of dividends, returns of capital or the market value of those New Shares. Potential investors should consider that the investment in the Company is speculative and should consult their professional advisers before deciding whether to apply for New Shares pursuant to this Prospectus.
7. Rights attaching to New Shares
7.1 Rights attaching to New Shares
A summary of the rights attaching to Shares is set out below. The New Shares issued under this Prospectus will rank pari passu in all respects with existing Shares. This summary is qualified by the full terms of the Company's Constitution and does not purport to be exhaustive or to constitute a definitive statement of the rights and liabilities of Shareholders. These rights and liabilities can involve complex questions of law arising from an interaction of the Company's Constitution with statutory and common law requirements. For a Shareholder to obtain a definitive assessment of the rights and liabilities which attach to shares in any specific circumstances, the Shareholder should seek legal advice.
The following is a summary of the more significant rights and liabilities attaching to Shares to be issued pursuant to this Prospectus. This summary is not exhaustive and does not constitute a definitive statement of the rights and liabilities of Shareholders. To obtain such a statement, persons should seek independent legal advice.
Full details of the rights and liabilities attaching to Shares are set out in the Constitution, a copy of which is available for inspection at the Company's registered office during normal business hours.
(a) General meetings
Directors may call a meeting of Shareholders whenever they think fit. Members may call a meeting as provided by the Corporations Act. All Shareholders are entitled to a notice of meeting. A meeting may be held in two or more places linked together by audio-visual communication devices. A quorum for a meeting of Shareholders is 3 eligible voters.
The Company will hold annual general meetings in accordance with the Corporations Act and the Listing Rules.
Shareholders are entitled to be present in person, or by proxy, attorney or representative (in the case of a company) to speak and to vote at general meetings of the Company.
(b) Voting
Subject to any rights or restrictions at the time being attached to any class or classes of shares, at a general meeting of the Company on a show of hands, every Shareholder present in person, or by proxy, attorney or representative (in the case of a company) has one vote and upon a poll, every Shareholder present in person, or by proxy, attorney or representative (in the case of a company) has one vote for any Share held by the Shareholder.
A poll may be demanded by the chairperson of the meeting, any 5 Shareholders entitled to vote in person or by proxy, attorney or representative or by any one or more Shareholders holding not less than 5% of the total voting rights of all Shareholders having the right to vote.
(c) Dividends
The Directors may declare and authorise the distribution from the profits of the Company, dividends to be distributed to Shareholders according to their rights and interests. The Directors may before declaring any dividend set aside reserves out of the profits of the Company which at the Directors' discretion may be used in the business of the Company or be invested in such investments as the Directors think fit. Except to the extent that the terms of issue of shares provide otherwise, each dividend must be distributed according to the amount paid up on the Share in a manner calculated in accordance with the Constitution.
(d) Winding up
If the Company is wound up, the liquidator may, with the sanction of a special resolution of the Company, divide among the Shareholders in kind the whole or any part of the property of the Company and may for that purpose set such value as the liquidator considers fair on any property to be so divided and may determine how the division is to be carried out as between the Shareholders or different classes of Shareholders.
(e) Transfer of shares
Generally, Shares in the Company are freely transferable, subject to formal requirements, and to the registration of the transfer not resulting in a contravention of or failure to observe the provisions of a law of Australia.
(f) Issue of further Shares
The Directors may, subject to any restrictions imposed by the Constitution and the Corporations Act, allot, issue, grant options over, or otherwise dispose of, further Shares with or without preferential rights on such terms and conditions as they see fit.
(g) Directors
The business of the Company is to be managed by or under the direction of the Directors.
Directors are not required under the Constitution to hold any Shares.
Unless changed by the Company in general meeting, the minimum number of Directors is 3 and the maximum is 10. The existing Directors may appoint a new Director to fill a casual vacancy or as an addition to the Board. Any such Director must retire at the next following annual general meeting of the Company (at which meeting he or she may be eligible for election as a Director).
The Constitution contains provisions relating to the rotation and election of directors. No Director other than the Managing Director may hold office later than the third annual general meeting after his or her appointment or election, without submitting himself or herself for re-election.
For a person to be eligible for election as a Director, a nomination for the office of Director and the written consent of the proposed director must be received at the Company's registered office not later than 30 Business Days before the meeting.
(h) Offer of shares
Subject to the requirements of the Corporations Act and if applicable, the Listing Rules, the issue of Shares by the Company is under the control of the Directors. Under the Constitution the Company is empowered, without prejudice to any special rights previously conferred on the holders of any existing shares or class of shares, to issue shares with preferred, deferred or other rights.
(i) Variation of shares and rights attaching to shares
Shares may be converted or cancelled with member approval and the Company's share capital may be reduced in accordance with the requirements of the Corporations Act.
Class rights attaching to a particular class of shares may be varied or cancelled with the consent in writing of holders of 75% of the shares in that class or by a special resolution of the holders of shares in that class.
(j) Share buy-backs
The Company may buy-back Shares in itself in accordance with the provisions of the Corporations Act.
(k) Indemnity and insurance of officers
Under the Constitution, the Company is obliged, to the extent permitted by law, to indemnify a Director or secretary (and may indemnify an officer) of the Company against liabilities incurred by that person in their capacity, against costs and expenses incurred by the person in successfully defending civil or criminal proceedings, and against any liability which arises out of conduct not involving a lack of good faith.
To the extent permitted by law, the Company may also pay the premium on any insurance policy for any person who is or has been, an officer against a liability incurred by that person in his or her capacity as an officer of the Company, provided that the liability does not arise out of conduct involving a wilful breach of duty.
(l) Changes to the constitution
The Constitution can only be amended by a special resolution passed by at least three quarters of the members present and voting at a general meeting of the Company. At least 28 days' written notice specifying the intention to propose the resolution as a special resolution must be given.
(m) Listing Rules
Provided the Company remains admitted to the Official List of the ASX, then despite anything in the Constitution, no act may be done that is prohibited by the Listing Rules, and authority is given for acts required to be done by the Listing Rules. The Constitution will be deemed to comply with the Listing Rules, as amended from time to time.
7.2 Dividend policy
As announced on 23 March 2018, the Company has suspended its dividends for a period of one year. The Company may review its funding and capital management strategy and may if circumstances change review its suspension of dividend payments.
Any future determination as to the payment of dividends by the Company will be at the sole discretion of the Directors and will depend on the availability of distributable earnings and operating results and financial condition of the Company, future capital requirements and general business and other factors considered relevant by the Directors. No assurance in relation to the payment of dividends or franking credits attaching to dividends can be given by the Company.
8. Additional information
8.1 Continuous disclosure obligations
The Company is a 'disclosing entity' (as defined in section 111AC of the Corporations Act) for the purposes of section 713 of the Corporations Act, and, as such, is subject to regular reporting and disclosure obligations. Specifically, like all listed companies, the Company is required to continuously disclose any information it has to the market which a reasonable person would expect to have a material effect on the price or the value of the Company's securities. The New Shares are in the same class as Shares that have been quoted on the official list of the ASX during the three months prior to the issue of this Prospectus.
This Prospectus is a 'transaction specific prospectus' to which the special content rules under section 713 of the Corporations Act apply. That provision allows the issue of a more concise prospectus in relation to an offer of securities, or operation to acquire securities, in a class which has been continuously quoted by ASX in the three months prior to the date of the prospectus. In general terms 'transaction specific prospectuses' are only required to contain information in relation to the effect of the issue of New Shares on the Company and the rights attaching to the New Shares. It is not necessary to include general information in relation to all of the assets and liabilities, the financial position, profits and losses or prospects of the issuing company.
This Prospectus is intended to be read in conjunction with the publicly available information in relation to the Company which has been notified to ASX and does not include all of the information that would be included in a prospectus for an initial public offering of securities in an entity that is not already listed on a stock exchange. Investors should therefore have regard to the other publicly available information in relation to the Company before making a decision whether or not to invest.
Having taken such precautions and having made such enquires as are reasonable, the Company believes that it has complied with the general and specific requirements of ASX as applicable from time to time throughout the three months before the issue of this Prospectus which required the Company to notify ASX of information about specified events or matters as they arise for the purpose of ASX making that information available to the stock market conducted by ASX.
Information that is already in the public domain has not been reported in this Prospectus other than that which is considered necessary to make this Prospectus complete.
The Company, as a disclosing entity under the Corporations Act states that:
(a) it is subject to regular reporting and disclosure obligations;
(b) copies of documents lodged with ASIC in relation to the Company (not being documents referred to in section 1274(2)(a) of the Corporations Act) may be obtained from, or inspected at, the offices of ASIC; and
(c) it will provide a copy of each of the following documents, free of charge, to any person on request between the date of issue of this Prospectus and the closing date of the Entitlement Offer:
(i) the annual financial report of the Company for the financial year ended 30 June 2017 being the most recent annual financial report of the Company lodged with ASIC before the issue of this Prospectus; and
(ii) the half year financial report of the Company for the six months ended 31 December 2017 lodged with ASIC after the lodgement of the annual financial report mentioned in paragraph (i) and before the issue of this Prospectus; and
(iii) any documents used to notify ASX of information relating to the Company in the period from lodgement of the annual financial report referred to in
paragraph (i) above until the issue of this Prospectus in accordance with the Listing Rules as referred to in section 674(1) of the Corporations Act.
Copies of all documents lodged with ASIC in relation to the Company can be inspected at the registered office of the Company during normal office hours.
The Company has lodged the following announcements with ASX since the lodgement of its annual report on 20 October 2017:
8.2 Interests of Directors
Except as disclosed in this Prospectus, no Director (or entity in which they are a partner or director) has, or has had in the two years before the date of this Prospectus, any interests in:
(a) the formation or promotion of the Company;
(b) property acquired or proposed to be acquired by the Company in connection with its formation or promotion of the Offers; or
(c) the Offers;
and no amounts have been paid or agreed to be paid and no value or other benefit has been given or agreed to be given to:
(a) any Director to induce him or her to become, or to qualify as, a Director; or
(b) any Director for services which he or she (or entity in which they are a partner or director) has provided in connection with the formation or promotion of the Company or the Offers.
8.3 Directors' Interests
As at the date of this Prospectus, the relevant interests of the Directors and their related entities in securities in the Company, are detailed in the table below.
| | | | | Entitlement to |
|---|---|---|---|---|
| Director | Shares held | Options held | Performance Rights | subscribe for New |
| | | | | Shares under the |
| | | | | Entitlement Offer(1) |
| | | | | Entitlement to |
|---|---|---|---|---|
| Director | Shares held | Options held | Performance Rights | subscribe for New |
| | | | | Shares under the |
| | | | | Entitlement Offer(1) |
Notes:
1.
The Entitlement shown assumes that none of the Options held by a Director are exercised prior to the Record Date.
At the date of this Prospectus, Mr Hall, Mr Lawrenson and Mr Foster have indicated that they intend to take up their Entitlements in full.
8.4 Directors' Remuneration
The remuneration (including superannuation and share based payments) of existing Directors for the past two financial years (30 June year-end) are as follows:
| Director | Title | Financial Year to | Financial Year to |
|---|---|---|---|
| | | 30 June 2017 | 30 June 2016 |
8.5 Interests of Other Persons
No promoter or other person named in this Prospectus as having performed a function in a professional, advisory or other capacity in connection with the preparation or distribution of this Prospectus (or entity in which they are a partner or director) holds, has, and has not had in the two years before the date of this Prospectus, any interest in:
(a) the formation or promotion of the Company;
(b) property acquired or proposed to be acquired by the Company in connection with its formation or promotion or the Offers; or
(c) the Offers,
and no amounts have been paid or agreed to be paid and no value or other benefit has been given or agreed to be given to a promoter or any person named in this Prospectus as having performed a function in a professional, advisory or other capacity in connection with the preparation or distribution of this Prospectus (or entity in which they are a partner or director), provided in connection with the formation or promotion of the Company or the Offers, except as disclosed in this Prospectus and as follows:
(d) DLA Piper Australia has acted as the Australian lawyers to the Company for the Offers. In respect of this work the Company will pay DLA Piper Australia approximately $25,000. During the two years before the date of this Prospectus, DLA Piper Australia has provided the Company with legal services and was paid approximately $325,000 for these services; and
(e) Computershare Investor Services Pty Limited conducts the Company's share registry functions and will provide administrative services in respect to the proposed Share applications pursuant to this Prospectus. Computershare Investor Services Pty Limited will be paid for these services on standard industry terms and conditions.
The amounts disclosed above are exclusive of GST.
8.6 Related party transactions
At the date of this Prospectus, no material transactions with related parties and Directors interests exist that the Directors are aware of, other than those disclosed in this Prospectus.
8.7 Market price of Shares
The highest and lowest market sale prices of the Shares on ASX during the three months immediately preceding the date of lodgement of this Prospectus with ASIC and the respective dates of those sales were:
Highest:
$0.563 (19 March 2018)
Lowest:
$0.510 (11 April 2018)
The latest available market sale price of the Shares on ASX prior to the date of lodgement of this Prospectus with ASIC was $0.54 per Share on 23 April 2018.
8.8 Costs of the Offers
The indicative costs of the Offers payable by the Company (exclusive of GST) are as follows:
8.9 Taxation Implications
The acquisition and disposal of Shares will have taxation consequences, which will differ depending on the individual financial affairs of each investor. All potential investors in the Company are urged to take independent financial advice about the taxation and any other consequences of acquiring and selling the Shares.
To the maximum extent permitted by law, the Company, its officers and each of their respective advisers accept no liability or responsibility with respect to the taxation consequences of subscribing for New Shares.
8.10 Litigation and Claims
So far as the Directors are aware, other than as disclosed by the Company to ASX, there is no current or threatened civil litigation, arbitration proceedings or administrative appeals, or criminal or governmental prosecutions of a material nature in which the Company (or any other member of the Group) is directly or indirectly concerned which is likely to have a material adverse effect on the business or financial position of the Company or the Group.
8.11 Consents
Chapter 6D of the Corporations Act imposes a liability regime on the Company (as the offeror of the Securities), the Directors, persons named in this Prospectus with their consent as proposed Directors of the Company, persons named in this Prospectus with their consent as having made a statement in this Prospectus and persons involved in a contravention in relation to this Prospectus, with regard to misleading or deceptive statements made in this Prospectus. Although the Company bears primary responsibility for this Prospectus, other parties involved in the preparation of this Prospectus can also be responsible for certain statements made in it.
Each of the following parties:
(a) has given its consent to be named in this Prospectus in the form and context in which it appears and has not withdrawn its consent at the date of lodgement of this Prospectus with ASIC;
(b) makes no express or implied representation or warranty in relation to the Company, this Prospectus or the Offers;
(c) has not made or purported to have made any statement in this Prospectus or statement on which a statement in this Prospectus is based, except as described in this Section; and
(d) to the maximum extent permitted by law, expressly disclaims and takes no responsibility for this Prospectus other than a reference to its name and any statement or report included in this Prospectus with the consent of that party as described in this Section.
None of the parties referred to in this Section 8.11 has authorised or caused the issue of this Prospectus or the making of the Offers.
Each of the Directors has given their written consent to being named in this Prospectus in the context in which they are named and have not withdrawn their consent prior to lodgement of this Prospectus with ASIC.
8.12 Documents available for inspection
The following documents are available for inspection during normal business hours at the registered office of the Company:
(a) this Prospectus; and
(b) the Constitution.
8.13 Information excluded from continuous disclosure notices
There is no information which has been excluded from a continuous disclosure notice in accordance with the Listing Rules, and which is required to be set out in this Prospectus.
8.14 Determination by ASIC
ASIC has not made a determination which would prevent the Company from relying on section 713 of the Corporations Act in issuing the New Shares.
8.15 Electronic Prospectus
Pursuant to Regulatory Guide 107, ASIC has exempted compliance with certain provisions of the Corporations Act to allow distribution of an electronic copy of this Prospectus on the basis of a paper Prospectus lodged with ASIC and the issue of New Shares and New Options in response to an electronic Application Form, subject to compliance with certain provisions. If you have received an electronic copy of this Prospectus, please ensure that you have received the entire Prospectus accompanied by the Application Forms. If you have not, please contact the Company and the Company will send to you, free of charge, either a hard copy or a further electronic copy of this Prospectus or both.
The Company reserves the right not to accept an Application Form from an Applicant if it has reason to believe that when that Applicant was given access to the electronic Application Form, it was not provided together with an electronic copy of this Prospectus and any relevant supplementary or replacement prospectus or any of those documents were incomplete or altered. In such a case, the Application Monies shall be held by the Company on trust and returned (without interest) to the Applicant as soon as practicable.
10. Glossary
In this Prospectus, unless the context otherwise requires:
$ means Australian dollar.
Annual Report means the financial report lodged by the Company with ASIC in respect to the year ended 30 June 2017 and includes the corporate directory, review of activities, Shareholder information, financial report of the Company and its controlled entities for the year ended 30 June 2017, together with a Directors' report in relation to that financial year and the auditor's report for the period to 30 June 2017.
Applicant means a person who submits an Entitlement and Acceptance Form or Shortfall Application Form (as applicable).
Application means a valid application for New Shares under the Entitlement Offer made pursuant to an Entitlement and Acceptance Form or Shortfall Shares under the Shortfall Offer made pursuant to a Shortfall Application Form (as applicable).
Application Form means an Entitlement and Acceptance Form or Shortfall Application Form (as applicable).
Application Monies means application monies for New Shares received by the Company from an Applicant.
ASIC means the Australian Securities & Investments Commission.
ASX means ASX Limited ABN 98 008 624 691 and where the context permits, the market operated by it.
ASX Settlement Rules means ASX Settlement Operating Rules of the ASX.
Board means the board of Directors.
Business Day means Monday to Friday inclusive, excluding public holidays in Western Australia and any other day that ASX declares is not a trading day.
CHESS means ASX Clearing House Electronic Subregistry System.
Closing Date means the date referred to as such in the Indicative Timetable.
Company or Pacific Energy means Pacific Energy Limited ACN 009 191 744.
Constitution means the constitution of the Company as at the date of this Prospectus.
Corporations Act means the Corporations Act 2001 (Cth).
Director means a director of the Company.
Eligible Employee means a full time or part time employee of the Group.
Eligible Shareholder means a person who:
(a) is a Shareholder at 5.00pm (WST) on the Record Date; and
(b) has a registered address recorded by the Share Registry as at the Record Date in Australia, New Zealand, Hong Kong, Singapore and United Kingdom.
Entitlement means a Shareholder's entitlement to subscribe for New Shares under the Entitlement Offer.
Entitlement and Acceptance Form means the entitlement and acceptance form attached to, or accompanying this Prospectus, that sets out the entitlement of an Eligible Shareholder to subscribe for New Shares pursuant to the Entitlement Offer.
Entitlement Offer has the meaning given to that term in Section 3.1.
Group means the Company and each of its subsidiaries.
Indicative Timetable means the indicative timetable on page 6 of this Prospectus.
Ineligible Shareholder means a Shareholder who is not an Eligible Shareholder.
Issuer Sponsored means securities issued by an issuer that are held in uncertificated form without the holder entering into a sponsorship agreement with a broker or without the holder being admitted as an institutional participant in CHESS.
Listing Rules means the official listing rules of ASX.
New Share means a Share offered pursuant to this Prospectus.
Offers means the Entitlement Offer and the Shortfall Offer.
Official Quotation means quotation of Shares on the official list of ASX.
Opening Date means the date referred to as such in the Indicative Timetable.
Option means an option to acquire a Share.
Performance Right means a right to be issued a Share upon satisfaction of certain vesting milestones.
Prospectus means this prospectus dated 26 April 2018.
Record Date means the date referred to as such in the Indicative Timetable.
Section means a section of this Prospectus.
Share means a fully paid ordinary share in the capital of the Company.
Share Registry means Computershare Investor Services Pty Limited.
Shareholder means a registered holder of Shares.
Shortfall means the New Shares not applied for under the Entitlement Offer before the Closing Date.
Shortfall Application Form means the application form attached to, or accompanying this Prospectus, to be used for the purposes of applying for Shortfall Shares.
Shortfall Notification Date means the date referred to as such in the Indicative Timetable.
Shortfall Offer has the meaning given to that term in Section 3.7.
Shortfall Shares means the New Shares constituting the Shortfall.
Statements has the meaning given to that term in Section 4.2.
Underwriter has the meaning given to that term in Section 3.5.
Voting Power has the meaning given in section 610 of the Corporations Act.
WST means Australian Western Standard Time.
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Electric Scotland's Weekly Newsletter for April 6th 2012
CONTENTS
Electric Scotland News Electric Canadian The Flag in the Wind Scottish Poets in America Calendar Of Documents Relating to Scotland Northern Notes and Queries Songs of Robert Burns The Bards of Bon Accord 1375 - 1860 Biggar and the House of Fleming History of the Barrhead Co-operative Society Ltd. The History of Blairgowrie Beth's Newfangled Family Tree Clan Munro of Australia Alastair's Canadian Journal
Electric Scotland News
This Newsletter
I am trying out a new option for this newsletter by producing a copy of it in pdf format. Many thanks to the many responses I got from you as I sent out a trial mailing. And I might add that it was great to hear from so many of you, it was quite like old times! <grin>
When you click on "Newsletter" in our menu we send you to a new landing page at: http://www.electricscotland.com/newsletter/index.htm
From that page there is a link to the newsletter forum within our community. But there are also copies of our old old newsletters. What I am now doing is adding pdf copies of the newsletter to that page so you can either simply click on the link or right click on it to download it to your computer.
What I now intend to do is to attach the pdf newsletter to the newsletter for that week in our community so you'll always be able to download it if you wish. And by getting your responses to my test emailing it was clear that you had to login to be able to download the pdf version. And so because of this I decided to add them also to this landing page as well. All of this just takes an extra five minutes to do so figured it would be worthwhile to try this out.
To create the newsletter I've always just used a text editor but now I am using my web publishing program to produce it. I'm hoping I can just copy and paste it into the forum without having to do anything else. But now I can create a pdf document from a web page and hence it should be easy to do. Time will tell <grin>
My intention is to simply add a link to the weeks newsletter and so it should be easy to get as it will be on our main site.
So there you have it and we'll see how it works out.
Our Food & Drink Section
I got an email in this week asking me to do a wee correction on a recipe we have on the site. They kindly provided the url of the page so I could locate it quickly and to my astonishment is was at ScotFood.org. This is a domain we gave up some years ago so looks like whoever purchased it has lifted some of our content. So this is just to say we no longer own this domain and if you are looking for recipes then all of ours can be located at http://www.electricscotland.com/food
I might add that it is some time since I looked at this section of the site so while doing so I discovered that our recipe database program wasn't working. So I checked with Steve and now it works like it should. I purchased this program some time ago and it was only $35.00 so thought it would be a useful resource to make available. You can thus use this program to add your own recipes and also look to see what recipes we have on there. Part of the reason for adding this program is that Scottish Television (STV) wanted to work with us to promote their offerings and thought it would be good to start of with videos of recipes.
Electric Scotland's Family Tree Service
As I mentioned some time ago we were looking to bring you the latest and greatest release of our Family Tree program that runs under ScotsGenealogy,com. We have now completed this process and the new site can be found at:
http://www.electricscotland.com/webclans/family_tree.htm
The old service is still there but when the domain expires we won't be renewing it. And so if you have data in it you should export it and import it into the new program.
The link I provide above is to a landing page where we give a wee bit of advice and from there you can click a link to go to the site.
To be frank this is a very powerful program but I know most folk doing genealogy will already have their own programs either on their own computer or online. However almost all these other programs have an export function so you can export to the common gedcom format. So my advice would be to do an export and then when you have your account setup on ours to simply import the file. By doing that you'll be better able to compare the functionality of our program to the one you use.
This time around we are doing approvals manually so that we can be sure only appropriate people get access. When you apply your application will be reviewed and if all is ok we'll enable your account and send you an email telling you. And as the approval process is manual that will mean there will be a delay before you get approved but I would hope never more than 24 hours and depending on the time it could be within the hour.
And just so you know there is a link to the service on our Genealogy page and also on our index page.
Electric Scotland's Calendar
We have today launched our own calendar where you can add and view Scottish events from around the world. Please pass the word around and hopefully anyone running a Scottish event will add it to our calendar. When you click on the link we send you to a landing page giving a wee bit of advice on how best to add an event and on that page is the link to go to the calendar.
I've added a link to the calendar on the index page near the top and also on our Lifestyle page. I will promote the link into our header next time I do a redesign.
You can get to this at http://www.electricscotland.com/lifestyle/calendar.htm
Comment System
Steve has told me that he can't hack this program to make it work so we're back in communication with the authors to get an estimate on how long it's going to take for them to get it working. They did say they were working on a fix but didn't give any time scales. We have been unable so far to find an alternative system that will work with out system.
Scottish Independence
I found a couple of articles from a Diaspora point of view, one which is a copy of a talk given by Alan Bain, President of the Scottish American Foundation given on Tartan Day. The other is a more general article in which I am quoted a few times. You can read both these long articles at http://www.electricscotland.org/showthread.php/2848-Economic-implications-of-an-independent-Scotland
Tartan Day
Knights Templar
As some of you will know I produce the bi-monthly newsletter for the St. James Priory in Toronto. In this particular issue there is a link to a disturbing video produced by a young woman going back home to find that Muslims have taken the area over and showing their attitude to Britain. You can get the pdf copy of the newsletter at:
http://www.electricscotland.org/showthread.php/2831-St-Jsmes-Priory-Newsletter-for-April-2012
Scottish Tourism
This is just an observation that viewing a BBC news item they are showing the US with 8.3% unemployment whereas in Asia the unemployment is half that or less. In a discussion in the program it was saying one of the main reasons for this is due to tourism. Apparently the growth is huge and employing hundreds of thousands of new jobs. I think this just goes to show the problem our tourism sector is facing. Partly because of increased competition but also because they are not embracing the online world to promote the country. Most of the promotion is still based on the Visit Scotland web site that at best probably receives some 150,000 visitors a month. So that's the tiny market they reach with their online promotions. I've always been highly critical of the Scottish tourism sector for their lack of innovation and enterprise but I can't do much about that and just hope someone wakes up to their very poor performance and does something about it.
ABOUT THE STORIES
Some of the stories in here are just parts of a larger story so do check out the site for the full versions. You can always find the link in our "What's New" section in our site menu and at:
----------------- http://www.electricscotland.com/whatsnew.htm and also http://www.electriccanadian.com/whatsnew.htm
Electric Canadian
The Stories of the Counties of Ontario
----------------- http://www.electriccanadian.com/history/ontario/stories/index.htm
By Emily P Weaver (1913) Have now added the Eastern counties.
I've been trying to find some decent information on the history of hockey in Canada but haven't yet found anything BUT I have discovered a couple of more general book which look to be very interesting and they do include sports. And so after I complete the above book I'll move to getting these up.
The Flag in the Wind
This weeks issue has been Compiled by Jamie Hepburn and one of his articles demonstrates that partisan politics is also live and well in the UK as well.
You can read this issue at http://www.scotsindependent.org
The Working Life of Christina McKelvie MSP
Got in her diary for 29th March 2012 which you can read at http://www.electricscotland.com/history/mckelvie/120329.htm
Scottish Poets in America
With Biographical and Critical Notices by John D, Ross (1889)
Now added...
Wanless, Andrew
This is a new entry for this week and can be found at http://www.electricscotland.com/poetry/america/chapter21.htm
I might add I found pdf's of three of his publications so added these as links to the foot of this page.
The other entries can be found at http://www.electricscotland.com/poetry/america/index.htm
Calendar Of Documents Relating to Scotland
By Joseph Bain
Our thanks to John Henderson for compiling this for us. This week we've added...
Volume 4 1482 to 1501
You can get to this at http://www.electricscotland.com/history/records/bain/index.htm
Northern Notes and Queries
Edited by Rev. R. W. Cornelious Hallen (1886)
We now have up the next two entries of this publication. "Index of Places" and "June Edition 1889", which you can read at http://www.electricscotland.com/history/northern/index.htm
In this issue there are around 14 pages on the Ross family as well as the names Lyle and Stewart.
Songs of Robert Burns
We added
"Historical Notes: Love Songs Humorous
Historical Notes: Love Songs Connubial
Historical Notes: Love Songs Bacchanalian"
You can get to this book at http://www.electricscotland.com/burns/songs/index.htm
The Bards of Bon Accord 1375 - 1860
By William Walker
Added the chapters on "Jacobite and other Poetry of the '45"
You can read this at http://www.electricscotland.com/poetry/bonaccord/index.htm
Biggar and the House of Fleming
An Account of the Biggar District, Archaeological, Historical and Biographical by William Hunter (1862)
We have now added...
Chapter XXI.
The Battle of Biggar Chapter XXII Military Movements and Royal Progresses at Biggar Chapter XXIII Historical Sketches of the Fleming Family Chapter XXIV Historical Sketches of the Fleming Family—Continued
Chapter XXIII starts...
IN the twelfth century, the Flemings were perhaps the most active and enterprising people in Europe. Finding their own territories in Flanders too limited for their ambitious aspirations they emigrated in considerable numbers to England, during the reigns of William Rufus and Henry I.; and, some years afterwards, took an active part in the civil war waged by Stephen to obtain the English throne. Henry II. having, in the end, vanquished his opponent Stephen, the Flemings were consequently banished the kingdom; and numbers of them taking refuge in Scotland, entered into the service of David L, then on the Scottish throne. Many other Flemings are understood to have come, about the same time, directly from their native regions to Scotland. These strangers, settling in towns and rural situations, contributed greatly, by their skill in agriculture and other industrial art#, to the improvement of the country.
One of these Flemish leaders, it is said, obtained a grant of the lands of Biggar from David I., and settled there with his followers; and thus became the founder of a family that for several centuries reigned as lords superior in that parish. We propose to give a brief account of the most notable incidents in the history of this family, and particularly of the battles and warlike expeditions in which the successive members of it took part. These are entitled to special notice in a work on Biggar. The Flemings of Biggar, in addition to their anxiety to support and advance any cause to which they might be attached, were bound by the feudal law, not merely to appear in the field themselves, at the call of their sovereign, but to bring with them a certain number of their retainers.
These retainers, or vassals, were in their turn bound, in consideration of occupying their farms and feus, to give their superior suit and service, both in his court and in the field, as often as these should be required. It is, then, a matter almost of certainty, that in all the battles in which the Flemings fought, they were attended by a portion of the inhabitants of Biggar. In fact, some of the charters by which the Scottish kings conferred honours or rewards on the Flemings, make express reference to the services of their retainers on the battle-field. For instance, in the commission of Chancellorship to James, Lord Fleming, granted under the Great Seal on the 12th of November 155S, during the minority of Queen Mary, it is stated that this honourable office was conferred on Lord Fleming, specially in consideration of 'the good, faithful, and gratuitous service to our late most noble father, of happy memory, whose soul may God benefit, and to us, by our late well-beloved cousin, Malcolm, Lord Fleming, our Great Chancellor, who, under our banner, with diverse of his relatives, servants, and friends, was slain in the camp of Pinkey Cleugh.' In the warlike proceedings in which the Flemings took part, the men of Biggar, no doubt, then, fought by their side, and sometimes lost their liberties or their lives in contending with them to revenge a wrong, to repel invasion, or maintain the independence of their country.
You can read the rest of this chapter at http://www.electricscotland.com/history/biggar/chapter23.htm
The other chapters can be read at http://www.electricscotland.com/history/biggar/index.htm
History of the Barrhead Co-operative Society Ltd.
A Record of its Struggles, Progress, and Success from its Inception in 1861 until the Year of its Jubilee, 1911 by Robert Murray, J.P.
Added this week...
Chapter X. The Educational Department and the Appendices,
Here is how chapter VII starts...
IN these days we have grown so familiar with the work of the educational committee—its lectures, entertainments, distribution of literature, penny savings bank, women's guild, junior choir, gala-day, excursions, and other activities—that it is difficult to believe that the Society had been in existence for' a quarter of a century before a separate educational committee was appointed. It would be wrong, of course, to assume that until the committee was elected no educational work was done. In point of fact there had been no period of the Society's life at which educational matters were altogether neglected, although a number of years had to elapse before funds were expressly put aside for that purpose. The decision to devote a certain proportion of the profits to education was arrived at in the end of 1868; but, in spite of the fact that they had no distinct fund to draw upon, the directors yet found ways and means of doing various things of an educative character. Thus members of committee were regularly supplied with copies of the Scottish Cooperator (cost halfpenny per month), and at intervals a free distribution of the little paper was made to the members. There were also a few lectures, with long intervals between, the speakers being principally Messrs Paton, M'innes, Borrowman, and Allan.
You can read the rest of this chapter at http://www.electricscotland.com/business/coop/chapter10.htm
You can read the other chapters at http://www.electricscotland.com/business/coop/index.htm
The History of Blairgowrie
Town, Parish and District being an account of the Origin and Progress of the Burgh from the Earliest Period with a description of the Antiquities, Topography, Civil History, Ecclesiastical and Parochial Records, Institutions, Public Works, Manufactures, Legends, Sports, Statistics, and Biographical Sketches of Eminent Persons, etc. by John A. R. MacDonald (1899)
We now have up...
Chapter IV.
Founding of Public Hall—Earl Russell at Meikleour—Address from Inhabitants—Public Banquet—Address by Meikleour Tenantry—Earl Russell's Speech—Opinions of the Press—A French View—Introduction of Water Supply—Report and Analysis of Water—Drainage of Town—Erection of New Schools—Opening Up of Commercial Street—Planting Trees in Wellmeadow—Franchise Demonstration— County Council —Boundary Commission—Public Park : a Generous Gift— Burgh Seal—Macpherson Memorial Fountain—New Sewage Works—Visit of Lord Wolseley—The Bailies of Blair— Magistrates—Provosts,
Chapter V
Original Inhabitants of Scotland—Druids and ^Druidical Remains— Standing Stones—Haer Cairns—Tumuli— Store Mount Blairs— Buzzard Dykes—Bloody Inches—Steed Stalls— Roman Relics—Lo^al Antiquarian Collections-Relics in Scottish Antiquarian Museum— French Bell— IFrchen Hill -Agreements and Charters—Interesting Map-Seals of Families- -Pedigree of Drummonds of Blair—Copy of Two Letters by King James the Seventh—Notes from Rental Book of Coupai Abbey—Cally—Murtoun—Blair -Old Parish Tokens,
Chapter VI.
Ecclesiastical State—Parish Church and Ministers—Associate Antiburgher Secession Church—Brown Street Chapel -St. Mary's Church —First Free Church- -Free South Church—St Catherine's Church—St Stephen's Church—Congregational Church-Extracts from Parochial Registers—Shearing on Sabbath— Sel'ing Aile in time of Sermon—English Army in Scotland—Collection in Aid of Glasgow — No Session Applicant for Schoolmaster—An Indigent Baronet—Act Anent lirydals—In the Jouggs—The Boatman of Blair Administering the Lord's Supper -Irregularities—Sabbath Breach— Communion Cups —New Schoolhouse—Poor's Rates Established —Sunday Shooting Match for a Sow—Population— Schools and Schoolmasters—Parish School—James Street School—Will'am Street School—New Public Schools— Episcopal School—Dames' Schools—Adventure Schools—St Stephen's R. C. School—Sextons of Parish of Blair,
Chapter VII.
Statistical Account of the Parish, 1796 -Population and Statistical Table—Conditions and Professions—Births, & c.— Religious Persuasions — Stock, Rent, &c. — Population-Character-Origin—Extent, Surface. Situation, Soil, See. -Cattle- -Prices of Provisions and Labour—Bleaclifield, Cloth, Stamp Office—Climate and Diseases--Rivers, Cascades, Fish, Birds. Scenery, .Vc.—Lakes, Islands, &c. -Minerals and Mineral Springs -Woods—Manufactures, Mills. &c.— Ecclesiastical State. Schools. &c. — Poor — Village and Markets—State of Propni-ty, Inclosures, &c.—Agriculture, Produce, &c. -Improvements, Farm Rents. &c. -Roads and Bridges— Gentlemen's Seats—Eminent Men—Antiquities— Disadvantages.
Chapter V starts...
IT has since the beginning of this century up to the present time been a vexed question among archaeologists—who were the first discoverers and occupiers of the kingdom ? Evidences have been found from time to time which antiquarians believe to- be the remains of several distinct races who inhabited those regions many thousand years ago. According to some, the Druids, a very learned and enlightened people from the borders of the Caspian Sea, traversed Europe nearly along the 45th parallel of north latitude, crossed the Channel, and were the first discoverers and occupiers of the country.
How long that nation peopled the land, or where their descendants migrated to, is mystery alike, but the monuments they have left behind attest their genius and power.
The unhewn stones found in Hindosta, and the East are attributed by the natives there to a fabulous being named Pandoo and his sons; and, with a similarity of character attesting their common origin, they are also to be found in many parts of Europe, on the shores of, and in the interior of, Britain. About a mile south-west of the town, near the Darraeh Wood, on the Essendy Road, are the remains of one of these Druidical monuments. It is in the form of a hexagon, and is supposed to be one of the earliest erected in this part of the country. Further examples are to be found at Glenballoch and Easter Rattray.
You can read the rest of this chapter at http://www.electricscotland.com/history/blairgowrie/chapter05.htm
The other chapters can be read at http://www.electricscotland.com/history/blairgowrie/index.htm
Beth's Newfangled Family Tree
We now have the April 2012 edition up which you can read at http://www.electricscotland.com/bnft
Clan Munro of Australia
Added the April 2012 newsletter which can be viewed at http://www.electricscotland.com/familytree/newsletters/munro/index.htm
Alastair's Canadian Journal
This is for the first quarter of 2012 and can be viewed at http://www.electriccanadian.com/canada_94.htm
This issue covers in some details food and drink in Canada. It's only because I haven't discussed this aspect before and noted a past comment about historical details on eating habits not being too plentiful so thought I'd cover this area of my life in Canada.
And finally...
At local taverns, pubs, and bars, people drank from pint and quart-sized containers. A bar maid's job was to keep an eye on the customers and keep the drinks coming. She had to pay close attention and remember who was drinking in 'pints' and who was drinking in 'quarts,' hence the phrase 'minding your 'P's and Q's'.
And that's all for now and hope you all have a great Easter weekend.
Alastair
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Lesson 10 8 th July, 2018
Divine Provision in the Wilderness
Lesson Scope: Numbers 21
References in brackets refer to the lesson scope unless otherwise noted
Lesson Focus
Chapter 20 tells how Israel had requested permission to travel through Edom—a shortcut of possibly one hundred fifty miles. Edom responded by refusing them passage and gathering an army to stop them (20:20). Chapter 21 tells how Israel, at God's direction, began their journey around Edom.
The trials of the journey soon caused the people to complain about the lack of water and variety of food. Because of their complaining, God sent poisonous serpents among the people, causing many to die. The people responded in repentance, and God mercifully healed those who looked in faith at the brass serpent, which Moses lifted on a pole.
In contrast to Israel's previous responses of complaining and chiding their leaders, we have an inspiring example of the congregation singing as, in faith, their leaders dug a well at God's direction. As the people faithfully followed God's leading, He provided the needed resources for them to journey steadily toward the Promised Land.
The Lord provides all that His people need to progress victoriously. In times of failure and conflict, He calls them to faith and commitment that appropriate His provisions.
We find it easy to see how ungrateful the children of Israel were at times, but let us remind ourselves that few, if any, people on earth are more blessed and accountable than we are. With all the spiritual and material blessings we have, we should never complain, never murmur, never speak against our leaders or brethren. How am I doing? Does my fountain ever give out both sweet water and bitter? Purpose in your heart to draw with joy from the wells of salvation and let God's provisions flow through you to others.
Lesson Aim: To see how the Lord provides for man's spiritual wellbeing.
Theme Verses: John 3:14-15. And as Moses lifted up the serpent in the wilderness, even so must the Son of man be lifted up: that whosoever believeth in him should not perish, but have eternal life.
Lesson Text
The Dying Healed
Numbers 21:4-9 And they journeyed from mount Hor by the way of the Red sea, to compass the land of Edom: and the soul of the people was much discouraged because of the way. 5 And the people spake against God, and against Moses, Wherefore have ye brought us up out of Egypt to die in the wilderness? for there is no bread, neither is there any water; and our soul loatheth this light bread. 6 And the LORD sent fiery serpents among the people, and they bit the people; and much people of Israel died. 7 Therefore the people came to Moses, and said, We have sinned, for we have spoken against the LORD, and against thee; pray unto the LORD, that he take away the serpents from us. And Moses prayed for the people. 8 And the LORD said unto Moses, Make thee a fiery serpent, and set it upon a pole: and it shall come to pass, that every one that is bitten, when he looketh upon it, shall live. 9 And Moses made a serpent of brass, and put it upon a pole, and it came to pass, that if a serpent had bitten any man, when he beheld the serpent of brass, he lived.
The Thirsty Satisfied
Numbers 21:16-18 And from thence they went to Beer: that is the well whereof the LORD spake unto Moses, Gather the people together, and I will give them water. 17 Then Israel sang this song, Spring up, O well; sing ye unto it: 18 The princes digged the well, the nobles of the people digged it, by the direction of the lawgiver, with their staves. And from the wilderness they went to Mattanah.
The Enemies Conquered
Numbers 21:21-25 And Israel sent messengers unto Sihon king of the Amorites, saying, 22 Let me pass through thy land: we will not turn into the fields, or into the vineyards; we will not drink of the waters of the well: but we will go along by the king's high way, until we be past thy borders. 23 And Sihon would not suffer Israel to pass through his border:
but Sihon gathered all his people together, and went out against Israel into the wilderness: and he came to Jahaz, and fought against Israel. 24 And Israel smote him with the edge of the sword, and possessed his land from Arnon unto Jabbok, even unto the children of Ammon: for the border of the children of Ammon was strong. 25 And Israel took all these cities: and Israel dwelt in all the cities of the Amorites, in Heshbon, and in all the villages thereof.
Numbers 21:31-35 Thus Israel dwelt in the land of the Amorites. 32 And Moses sent to spy out Jaazer, and they took the villages thereof, and drove out the Amorites that were there. 33 And they turned and went up by the way of Bashan: and Og the king of Bashan went out against them, he, and all his people, to the battle at Edrei. 34 And the LORD said unto Moses, Fear him not: for I have delivered him into thy hand, and all his people, and his land; and thou shalt do to him as thou didst unto Sihon king of the Amorites, which dwelt at Heshbon. 35 So they smote him, and his sons, and all his people, until there was none left him alive: and they possessed his land.
Questions for Study The Dying Healed
1. Why so soon after a glorious victory (21:3) did Israel turn against God and Moses?
2. How could men loathe angels' food (Psalm 78:25)?
3. What did the plague of fiery serpents do for Israel?
4. How might we despise the "bread from heaven"?
The Thirsty Satisfied
5. What was the value of the people singing while the nobles dug the well?
6. What are practical ways in which we work together to receive special blessings from God?
The Enemies Conquered
7. How was Israel's request to the Amorites like their request to Edom (20:17)? Why was Israel's response different?
Analyzing the Passage
The extra hardship of the journey around Edom seemed more than Israel could bear. Much discouraged (21:4) has the thought of " to cut down as grass or grain, to grieve or to mourn." No doubt Edom's rough answer to Israel's gentle request added vexation to their minds.
In Deuteronomy 2, God gave Israel specific commandment to not fight with Edom. Edom, Moab, and Ammon were relatives of Israel, so Israel could not force their way through Edom.
By saying their soul loatheth (is disgusted, weary of) this light (insubstantial) bread, the congregation was despising God's provision. The serpents were a reminder of man's desperate need for God's provision.
The serpent on the pole had the form of a serpent without the poison; similarly, Christ on the cross was in the flesh, without sin, lifted up to save mankind from eternal death (John 3:14-16).
The Hebrew word for looketh (21:8) gives the thought of "consider, discern, gaze, take heed." See Hebrews 3:1 and 12:3.
It is noteworthy that the serpent on a pole is still seen as a symbol of healing today.
At Beer (well), Israel experienced the joy that comes when God's people work together in harmony to draw from the well of His blessings.
Israel's conflicts with Sihon and Og were the first battles for the possession of the Promised Land.
Principles and Applications
The Dying Healed
1. In every circumstance, God has a way for His people (21:4). God opens some doors and shuts others. In His infinite wisdom, He knows what is best for us. God's way calls for self-denial and cross bearing, yet that is where we find the greatest rest and fulfillment. We need to respond properly to the hardships of life and the practical expressions of self-denial God's Word and the church ask of us.
2. The Lord delights in blessing His people and is not the cause of hardship (21:5). By faith we need to believe that God is good. The hardships of life are not to discourage us, but are often blessings in disguise. We may not understand the purpose of our trials, but we accept that God's plan is the best. David said, "Before I was afflicted I went astray: but now have I kept thy word" (Psalm 119:67).
3. God chastens His children so that they can see their need and return to Him (21:6-7). God mercifully allows us to face hardships and the painful consequences of our wrong choices so that we consider our
ways. Also, as we observe the difficulties of others who have taken their own way, it should be a warning to us. God's purposes are always to bring men to Himself.
4. God provides the only remedy for sin (21:7-9). The world has many self-help programs, but all of them fail to meet man's deepest need. God does not want to reform us; He wants to give us a new heart and a new spirit (Ezekiel 36:26). Only through conversion and the Holy Spirit's presence in our hearts can we live above sin.
5. Man's steadfast gaze of faith on God's provision brings salvation (21:9). It was by faith that the dying Israelite looked to the serpent on the pole to be healed. By faith the sinner turns his back on the wisdom of the world and comes to Christ for healing.
The Thirsty Satisfied
6. God is the source of living water (21:16). Jesus said, "He that believeth on me shall never thirst" (John 6:35). All other fountains the world may offer can never satisfy. Only God's children can be truly blessed.
7. By cooperating with God, we experience the rich blessings and joy of redemption (21:18). If we want to access the provisions available for victory and growth, we must follow God's direction. We must expose ourselves to the Word of God and sound teaching. We need fellowship with those who are enjoying a vibrant Christian life.
The Enemies Conquered
8. Obedience accesses the power to overcome (21:34). God told Israel not to fear. When they obeyed that command, they could reach out for the provisions God had promised them. We cannot disobey God in one area and expect His help in another. If we fail to be faithful in the small things of life, how can we hope to overcome the larger problems we face? Remember those who do God's will shall know the doctrine (John 7:17).
9. God provides for complete victory (21:35). Israel did not seek for a compromise to gain peace. Because they believed the promise of God, they could have complete victory. God has made it possible to be "more than conquerors" (Romans 8:37). If we claim the divine provisions available to us, we too can experience lasting victory over Satan and self.
Important Teachings
1. In every circumstance, God has a way for His people (21:4).
2. The Lord delights in blessing His people and is not the cause of hardship (21:5).
3. God chastens His children so that they can see their need and return to Him (21:6-7).
4. God provides the only remedy for sin (21:7-9).
5. Man's steadfast gaze of faith on God's provision brings salvation (21:9).
6. God is the source of living water (21:16).
7. By cooperating with God, we experience the rich blessings and joy of redemption (21:18).
8. Obedience accesses the power to overcome (21:34).
9. God provides for complete victory (21:35).
Answers to Questions
1. Why so soon after a glorious victory (21.3) did Israel turn against God and Moses?
The problem they faced in 21:1 they could fight. The difficulty they were now facing required patient suffering. Perhaps they were so overwhelmed with their present difficulties that they forgot to look back to the many examples of God's provisions. They were as human as we are.
2. How could men loathe angels' food (Psalm 78:25)?
A lack of thankfulness opens men's hearts to joy-destroying bitterness that sees the miracles of God as common. Psalm 78:22 speaks of a lack of faith. Remember Isaiah 53:3: "We hid as it were our faces from him; he was despised, and we esteemed him not."
3. What did the plague of fiery serpents do for Israel?
It moved them to true repentance. The serpents helped Israel reestablish proper values.
4. How might we despise the "bread from heaven"?
When we fail to maintain repentant spirits, we despise God's provisions. If we allow ourselves to despise God's children, we are despising God. If we make light of holy things in jokes or foolish talk, we are despising God's gifts. When we fail to cultivate thankfulness, we begin to despise God. If we fail to read His Word or obey it, we are despising it.
5. What was the value of the people singing while nobles dug the well?
When they sang, they were focusing on the solution rather than on the problem. It is harder to complain when we are singing! Their singing was a blessing to their leaders.
6. What are practical ways in which we work together to receive special blessings from God?
We come together for worship (Matthew 18:20). We sing together. We pray together. We mourn together. We rejoice together. We sincerely ask God to bless each other. We work together in material projects. We share in brotherhood assistance. We operate Christian day schools together.
7. How was Israel's request to the Amorites like their request to Edom (20:17)? Why was Israel's response different?
They kindly and respectfully asked to pass through the lands. The Amorites were not kinsmen of Israel. Also, God had declared the Amorites' iniquity full (Genesis 15:16).
8. List principles for experiencing complete victory.
Fear must be replaced with faith (21:34). Our ears must be keen to hear God's direction. We must be men of the Book. We cling to the provisions God gives and do not depend on our own strength. We give all our strength to the work that God gives us to do. We must not be satisfied to let any Amorite tendency live in our hearts.
Summarizing the Lesson
0 for a faith that will not shrink tho' pressed by many a foe,
That will not tremble on the brink of any earthly woe;
That will not murmur nor complain beneath the chast'ning rod,
But in the hour of grief or pain can lean upon its God;
A faith that keeps the narrow way till life's last spark is fled,
And with a pure and heav'nly ray lights up a dying bed.
Lord, give me such a faith as this, and then, whate'er may come,
I'll taste e'en here the hallowed bliss of an eternal home.
—William H. Bathurst
Research Guide: Read Psalm 78 for a beautiful picture of God's provision for His children.
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Report card
The March quarter trade figures, released last week, provide an opportunity to step back and examine how New Zealand's wider basket of commodity exports has fared over the early part of this year. Overall, the experience has been more varied than the popular (dairy-dominated) commentary might suggest. Clearly the dairy and forestry sectors are being buffeted by global forces relating to both demand and supply. But beef exports have had a very strong run, thanks to the growing US economy and a shortage of supply, and there have been pockets of resilience in areas such as wool, wine and fruit. It's worth bearing in mind that the value of the non-dairy exports listed below actually exceeds the value of dairy exports.
The trade figures also provide some insight as to how the agricultural sector will contribute to the March quarter national accounts, to be released in June. We expect to see a lift in export volumes, meaning a positive contribution to GDP growth. However, higher volumes were more than offset by lower prices, implying a fall in export revenue and a likely widening of the current account deficit.
Dairy: Dairy export volumes were broadly steady in seasonally adjusted terms in the March quarter. Shipments to China remained soft, and a greater share of dairy exports have been heading to other major markets such as the Middle East as a result. Average prices fell by 6.5%, a less severe drop than the 15% fall seen in the December quarter. The decline was partly arrested by a tilt towards higher-value products such as milkfat.
Beef: The volume of beef exports rose to their highest in a decade. The 1% rise in the March quarter came on top of a 9% surge in the December quarter, as New Zealand and Australia rushed to fill a shortfall in the US's beef supply. Recent slaughter numbers suggest that these volumes won't be maintained: the accelerated cull earlier in the season meant that by March slaughter numbers were running below year-ago levels. Average beef prices edged down by 2.5%, but that barely put a dent in the 23% price surge seen in the December quarter.
Lamb: Lamb and mutton export volumes were about flat, leaving them down 8% on a year ago. Average prices, which had reached a three-year high in the December quarter, fell back by 6% in the March quarter. Chinese demand for mutton, which emerged as a major source of support during the 2013 drought in particular, appears to have dried up.
Wool: Export volumes were steady, while average prices rose to a three-year high. Lambs' wool has been the standout, with growing demand from China in the last year.
Forestry: Wood export volumes fell 5% in the March quarter, to be down almost 12% on a year ago. The tentative recovery that began in the December quarter appears to have stalled again. Prices were steady, though that likely reflects a drop in world log prices offset by a weaker New Zealand dollar.
Fruit: The export season for apples and kiwifruit has only just kicked off, so no reliable data on prices is available at this point. However, the volume data indicate a slower start for apple exports compared to last year, while kiwifruit exports are on track for a surge this season as the industry recovers from the Psa virus. Overall, the value of fruit exports was up 8%.
Seafood: The value of seafood exports was down 3%, reflecting small declines in both volumes and prices.
Wine: The value of wine exports surged by 14% in seasonally adjusted terms in the March quarter, reaching a new record high. Wine is less 'commodified' than the other sectors covered here, so calculating a price/volume split needs to be done with caution. However, the trade figures suggest that the growth for the quarter was likely to have been driven entirely by volumes.
GlobalDairyTrade Auction Results, 6 May
| | Change since last auction |
|---|---|
| Anhydrous Milk Fat (AMF) | -6.3% |
| Butter Milk Power (BMP) | -14.0% |
| Butter | -0.8% |
| Skim Milk Powder (SMP) | -7.5% |
| Whole Milk Powder (WMP) | -1.8% |
| Cheddar | 9.1% |
| GDT Price Index | -3.5% |
Payout Forecast Table
| Fonterra | Fonterra | Westpac | Westpac |
|---|---|---|---|
| $8.40 | $4.50 | $4.50 | $5.70 |
Michael Gordon
Senior Economist
Beyond the farm gate
Beef
Forestry
US beef prices remain high, although off last year's peaks as demand is now being well serviced by supply from Australia and New Zealand. The early cull as a result of the dry summer is now having an inverse effect on slaughter numbers, which were down on year-ago levels in March.
Lamb
Good growing conditions in the UK, Europe and China mean that the global supply of lamb is likely to remain plentiful this year. The dry summer in New Zealand has probably had less of a depressing effect on prices than initially feared: lamb slaughter numbers peaked in January, but were significantly below year-ago levels in February and March.
NB: Trend arrows indicate direction of change in world prices.
Export log prices have fallen in recent months, as excess stocks have built up at Chinese ports again and the weaker ruble has made Russian logs more competitive. In contrast, domestic log prices have held up. The upward trend in housing construction continues, although quake-related activity in Christchurch is expected to peak this year.
Dairy
| | Current price level compared to 10 year average | Next 6 months |
|---|---|---|
| Trend | Low | |
World dairy prices fell 3.5% at the latest GlobalDairyTrade auction, and futures markets suggest that no uplift in prices is expected until late this year. Fonterra recently revised down its expected milk price for the current season by 20c to $4.50/kg, in line with stronger than expected milk production. The first estimate of next season's milk price is due in late May; our forecast currently stands at $5.70/kg.
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
Satish Ranchhod, Senior Economist +64 9 336 5669
Any questions email: email@example.com
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AGE RELATED PROBLEMS OF THE ELDERLY AND THEIR COPING MECHANISMS
Laveena D'Mello* & Dr. Meena Monteiro**
** Associate Professor, MSW Department, School of Social Work, Roshni Nilaya, Mangalore, Karnataka
* Senior Lecturer, Social Work Department, Srinivas Institute of Management Studies, Mangalore, Karnataka
Abstract:
Index Terms: Elderly, Psychological problems, Wellbeing, Violation & Coping mechanism
If we live longer period, then the existing commonly identified aspect is aging. For the last two decades the phenomenon of population ageing is becoming a major concern over the globe for the policy makers, for both developed and developing countries. Ageing of population is affected due to downward trends in fertility and mortality i.e. due to low birth rates coupled with long life expectancies. In India the size of the elderly population, i.e. persons above the age of 60 years is fast growing although it constituted only 7.4% of total population at the turn of the new millennium. The boundary of old age cannot be defined exactly because it does not have the same meaning in all societies. Government of India adopted 'National Policy on older persons' in January, 1999. The policy defines 'senior citizen' or 'elderly' as a person who is of age 60 years or above. There is a need of various concerns for the old age persons since they face multiple medical and psychological problems. There is an emerging need to pay greater attention to ageingrelated issues because they are dependent. This research paper's main aim is to discuss the challenges of the elderly persons. The two objectives are firstly, to study the problems of elderly and the second objective is to identify adjustment patterns, their wellbeing and the coping mechanism they use to adapt to the present changing society. The researcher used the secondary data and five detailed case studies.
1. Introduction:
In India society, elderly people are regarded as symbol of the divine and given utmost respect. They are considered as the repositories of wisdom, carriers of traditions and transmitters of experience and ideas of groups living. The age-old joint family system has been playing the major role in safeguarding the social and economic security of the elderly people. The rapid changes in the social scenario and preference for nuclear family set-ups, recently the elderly people are likely to be exposed to emotional, physical and financial insecurity. India culture of respect for older members of the
Every human being passes through various stages in his life time; birth infancy childhood, adolescent adulthood and old age this biological transition through different stages has cultural and human overtones. Old age consists of ages nearing or surpassing the average life span of human beings. It cannot be defined exactly because it does not have the same meaning in all societies. People can be considered old because of certain changes in their activities or social roles. Also old people have limited regenerative abilities and are more prone to disease, syndromes, and sickness as compared to other adults. They are called elderly people, old age and in medical term geriatrics. Generally, persons aged 15 to 59 years are supposed to form the population of working ages and at age 60, people generally retire or withdraw themselves from work. A person is considered economically independent if he/she does not require taking financial help from others in order to live a normal life. But during the final stage, they need to grow emotionally and mentally. (4)
family was slowly diminishing due to urbanization coupled with the change in societal values; many elderly are left alone by themselves. The situation is worse in rural areas where there is large migration of young population to urban areas and the old are usually left behind. This has drawn the attention of the policy makers and administrators at central and state governments, voluntary organizations and civil society. Many senior citizens home have come in to existence like mushrooms to cater the present day's needs. They have shown interest in ensuring the well-being of senior citizens and improve quality of their lives through providing specific facilities, concessions, relief, services etc. and helping them cope with problems associated with old age. Many NGOs are reaching out to neglected and underprivileged elderly and providing them with necessary financial, medical and emotional support.
2. Data:
In India the persons above the age of 60 years is fast growing although it constituted only 7.4% of total population. It is estimated that the number of older person has increased 20.19 million in 1951 to 54.68 in 1991. Nearly 75 million populations are in the age group of 60+ in 2001. It is reached 100 million in 2013. And it is expected to reach 198 million in 2030 (3). The changing factors in society are gradually undermining the capacity of the family to provide support to the elderly and also led to the weakening of the traditional norms underlying such support. The family has been facing pressures this is the result of industrialization and urbanization as well as the availability and quality of support service. (Arun Bali 1994, Ramamurthy, 1997). The policy defines 'senior citizen' or 'elderly' as a person who is of age 60 years or above (3). There is a need of various concerns for the old age persons since they face multiple medical and psychological problems.
3. POLICIES AND PROGRAMMES:
The United Nations principles for older persons adopted by the United Nation General Assembly in 1991, the proclamation of Aging and the Global targets on Aging for the year 2001 adopted by the General assembly in 1992 and various other resolutions adopted from time to time, are intended to encourage government to design their own policies and programmes in this regard.
Well being of older persons has been mandated in the constitution of India. Article 41, a directive principle of state policy, has directed that state shall within the limits of its economic capacity and development, make effective provision for security the right to public assistance in cases of old age. Right to equality has been guaranteed by the constitutions as a fundamental right. Social security has been made the concurrent responsibility of the central and state Governments.
The government has introduced old age pension schemes, which only supports a portion of their requirements. On the other hand, for most of the elderly monetary support is not alone enough; what they need is decent living conditions and quality care. Wellbeing has become a high profile issue in contemporary policy and practice. Rather than talking just about 'improving health' we are more likely to read about 'improving health and wellbeing', and similarly, the notion of 'welfare' is now accompanied by 'wellbeing': as well as 'doing well', the aim should be to 'be well.' Wellbeing has been associated with 'happiness', with 'quality of life' or 'life satisfaction'. And sometimes it is talked about as 'subjective wellbeing' or 'mental wellbeing.' So the idea of wellbeing involves how we feel about ourselves and our lives, rather than how our lives might be assessed by others. Government policies and provisions for helping the senior citizens should be strictly implemented and monitored so that the benefits will reach them without much delay. Moreover, they rightfully deserve these benefits. Aberrations
should be immediately brought to the notice of the Government and other agencies for quick redressed
4. Problems of the Elderly:
The increase in longevity of human life has created a burden on the families. The resultant stress, in most cases, lead to elder abuse and neglect. Society lacks of access of health care, poor social security and institutional abuse. Thus elderly are abused physical, psychological, emotional or material exploitation, mal treatment, harm or neglect of the older person inside or outside their homes by a member of their family. Psychological problems include memory impairment; death of spouse; psychomotor slowing; despair etc. Physical – Failing hearing/vision; High blood pressure, infections; Accidents; Diabetes, Drugs etc. Social - Financial decline; Loss of job/Retirement; Family dependency; Isolation; Housing problems Social Decline; Loss of friends. Cultural- Wisdom not valued by common people; Lack of humane climate for the elderly in society; Decline of old-supportive cultural values etc.
Psychological Problems:
Depression is a heterogeneous set of phenomenon ranging from simple mood swings to severe affective state. Geriatric depression is a major health hazard with devastating outcomes. Depression in old age is quite complex and it is much difficulty in diagnosis due to medical illnesses, dementia syndromes and heterogeneity of patients in the population. Depression in old age creates many problems in carrying out activities of daily living. In other words, there is on increased dependency on others and health care systems. Depression in later life has serious consequences including increased health cost, distress on care givers, amplified disabilities and increased morbidity and suicide. Loss of a spouse takes a heavy toll on health and is one of the primary causes of depression. Being left alone often prevents many older persons from enjoying life. Use of multiple medicines, retirements, financial crisis, fear of death, bereavement etc. are adding to the psychological problems. (6, 21)
Due to frail health condition, lack of adequate care and acorn by the family members, negligence by care givers, busy life schedule due to urbanization, elderly people are getting neglected. As a result they, become more vulnerable to physical and mental ailments.
Case 1: I am 89 years old widow, with 10 children. My children are married and settled. I stay with my elder son. My son and daughter-in- law take care of me very well. I am healthy and can do my basic things myself except loss of memory and hard of hearing. All my needs are fulfilled by my family members. Sometimes when whole family goes out for any programme or function, I have to stay back alone in the house. Also they go for work, and due to this most of the time, I am all alone in the house. This affects me a lot. I have to watch TV and by myself. My family members stopped talking to me because they have to speak loudly straining their voice. Sometimes I use hearing aid which is not so effective. So I stopped using it. If they sit in front of me I can guess what they say with their lip movement. To overcome this problem of loneliness, I have developed the habit of talking to myself, by recalling my children's name and talking as if they are near to me. People thing I have gone mad to talk myself, but I gain self satisfaction talking to myself.
Physical Problems:
There are various biological changes that occur in mature genetically representative organism living under reprehensive environmental conditions as they advance in chronological age." old age has been viewed, as problematic period of one's life and this is correct to same extent. The aged become increasingly dependent on
others. As man grows, his reduced activities, income and consequent decline in the position of the family and society makes his life more vulnerable. An old person begins to feel that even his children do not look upon him with that degree of respect, which he used to get some years earlier. The old persons feel neglected and humiliated.
Case 2: I am 79 year old widow staying with my daughter and son-in-law. I have 8 children all are married and settled. I am financially sound and also get handicap pension of my husband. 10 years ago, I met with an accident and lost both my legs. Now I am totally dependent on my family members. I have hypertension and I 'am Diabetic, I have been on regular medication. Family members take care of me well. I have been also taken for regular outings in a wheel chair in the car. Sometimes I feel that I should have died during the accident. I think that I' am a burden to my family being totally dependent on them for everything.
Social Problem:
The study focused mainly on psychological, spiritual, social, economic, health and environment conditions of the aged made were institutionalized. The result shows that the problems of ageing are multi factorial in nature and intervention of social workers in geriatric care is highly recommended in today's world.
Case 3: I am an 81 year old widow, healthy can do my work by myself. I sold my property and divided among my four sons. I do not have my own house now. I stay in each of my son's house for a month time. There is understanding between my sons that they have to take care of me mother in turn. Likewise they have been doing so. In a year I stay thrice in each of my son's houses. All my sons stay in Mangalore within five kilometers. So they take me in Auto and drop me in auto. I always have a feeling that now I am independent can manage on my own. But what would be my plight if at all I fall sick? Who would shoulder that responsibility of mine in times when I need assistance?
Health Problems:
Case 4: I am 74 years and my Husband is 79 years. Both of us are staying in an apartment in city. We were working in abroad for more than 30 years together. We do not have children. We have many health complaints but we support each other. Both of our family members are in good terms with us. They have maintained a cordial relationship with us. Five months back I fell down and got severe back injury, slip disk
There is various health problems affected to the old age people. Alzheimer's disease is the most common form of dementia, memory loss and this will impair cognitive function. Neurological disorder is affecting the nerve cells in the part of the brain that controls muscle movement. Incontinence, or loss of bladder control, can happen for a number of reasons. Whether it's temporary or chronic, it's unpleasant. It also can lead to emotional distress. Heart related disease like heart attack, stroke, cardiac arrest, high blood pressure etc. Arthritis is a painful condition that can strike the spine, neck, back, shoulder, hands and wrists, hip, knee, ankle, and feet. It can be immobilizing, and it comes in many forms. Macular degeneration, cataracts, glaucoma and retinal disorders are just some eye diseases that can reduce a senior's ability to see well. Having high blood glucose levels is the hallmark of diabetes, a group of diseases that affects the body's ability to produce or use insulin correctly. Sleep disorders and disruption in sleep patterns can lead to more problems than just making the elderly feel more fatigued. Depression is a serious medical illness. It can be mild or so major that it's disabling and it can also be hard to recognize. Even minor falls can land seniors in the hospital. Lung diseases can diminish a senior's ability to breathe well. While many types of lung problems can be treated or prevented (6).
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and totally dependent on my husband. I had to take bed rest for three months. We ordered food from outside. Cleaning and washing was done by a part time helper, Auto was used often to commute to various places. People living in the apartment had great concern towards us. Physiotherapist used to come home and give me required treatment. If this kind of social support continues we can live happily for many more years.
Senior Citizen's Home:
The major adjustment to be made includes adjustment to physical changes, retirement, loss of spouse and post-child rearing period (Empty nest syndrome), and grand parenthood. If favorable factors such as satisfaction of needs, retention of old friendships, positive social attitudes, etc. are present, they Foster ego integrity of the person. However without adequate support to sustain and bear the losses the older adult (Aged) is unalterable to a profound sense of insecurity.
Case 5: I am 74 years old widow; I have two children, married and settled abroad. Two years back, I lost my husband and I was left all alone at home. Children visit once in a year with my grand children for few days of vacation but otherwise most of the time I am alone at home. So I decided to live in care and support centre and from the past six months I am staying at this senior citizen's home. I have deposited Rs. five lakh and every month I have to pay Rs.9,000/- . These expenses are borne by my Children. I am happy because centre does not accept bed ridden patients. They have given me chance to stay because I had been trying for a place in for nearly a year. The centre takes care of me well; I have a lot of friends to interact with, everything goes as per their schedule like food, prayer, visitor's time, sleep, medical check-ups, Hot water supply, laundry etc. I prefer to live there till the end of my life.
On these basis the research interest of psychologists for an individual's adjustment includes the process of need satisfaction by a person's own effort and the research interest of cultural anthropologist, sociologists, economists, and political scientists in societal adjustment as the process of providing opportunities for need satisfaction through institutional arrangement and rearrangement can be met in a manner permitting mutual supplementation and integration.
Nutrition is a major problem among the elderly. Many live alone and there are tendency for such persons not to consume well-balanced meal because they believe that preparing meals for one person is too much trouble. Low income is another reason that malnutrition among older individuals.
Problem Associated with Nutrition:
Old age is usually discussed in connection with the different types of problems encountered by the aged and the welfare measures associated with providing them a better quality of life. It has been observed that physical diseases, psychological illness and adjustment problems are quite common during this phase of life. People in general are speaking about the difficulties that they face during the end of their lives
5. Tips for Healthy and Better Mental Hygiene:
Prepare for a safer old-hood while in their middle age
Cultivate ability to adjust; be flexible
Retain old friendships; new are difficult
Slip into grandparent role in a natural way; play advisory role only
Maintain leisure; Also keep involved in recreation activities
Pay adequate attention to maintain physical fitness and proper medication
Maintain sense of humor and creativity in your life
Avoid despairing and accepting mortality as a natural end of the life cycle of every creature.
6. Suggestions:
The importance of the reciprocal care and support with the families to the parents by children and grand children
There is a need to formulate policies and programmes at the setting up of social aid systems
The running of voluntary and commercial old folks homes
There should be increased participation of aging in realizing their potential as a social and community services
There will be an increased need for health care systems
Psychological well-being studied extensively as there is a need to improve the state of mental conditions of people. Researchers find a large number of people are getting affected by mental health problems. Research studies reveal that there is a prevalence of depression, lower life satisfaction and more adjustment problems among elderly, well-being individuals and societies.
7. Conclusion:
Home using is recommended as it will be more beneficial and effective in keeping the aged people happy and content. They will enjoy better mental health and psychological well-being. Talking to the elderly people, keeping them engaged through activities, providing them with nutritious food with a touch of love and concern will definitely be a human approach to make them feel good, optimistic help them developing a zest for life. Successful coping to stress in old age leads to good mental health, satisfaction, happiness and better quality of life.
Wellness is generally used to mean a healthy balance of mind, body and spirit and it results in an overall feeling of well-being. In other words; wellness is a view of health that emphasizes the state of the entire being and its ongoing development. There are several determinants of wellness and some of them include better understanding of concepts like health practices. Thus in conclusion, the family alone does not have the capacity to provide care and support of the increasing number of elderly persons. It is the collective responsibility of the state, community and family particularly the role of government is important.
Except for statistical analyses of older population groups by demographers and special research by economists on the problem of social security, the exploration and analysis of the social aspects of aging have been largely neglected until recently. Social science research has paid little attention to such questions as how older people of different ages participate in our society, what their major problems are, and what solutions they require. The greater advance of the medical sciences than of the social sciences in research on problems of aging is understandable, however. The fight against death has always been the legitimate concern of the former and logically has led their representatives to investigate the medical and biological aspects of aging. (4, 11)
8. References:
2. Ferreira Monica, A Model for the health care management of older people, unpublished paper read at an International Conference: Dynamic Ageing - The Challenge, Cape Town, 4-6 October 1995.
1. Gail Wilson, Understanding Old Age – Critical and Global Perspectives, London School of Economics and Political Science, London, 2010.
3. Jeyalakshmi S. Additional Director General, Chakrabarti S., Deputy Director General Gupta Nivedita Gupta Director, Situation Analysis of the Elderly in India
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(www.rdmodernresearch.com) Volume I, Issue I, 2016
Central Statistics, Office Ministry of Statistics & Programme Implementation Government of India, June 2011.
4. Luke Helen, Old Age: Journey into Simplicity Paperback. Import, 28 Jul 2010.
5. Hazan Haim, Old Age Constructions and Deconstructions, ISBN: 9780511621925, Cambridge University Press, 2012.
6. Murthy Sudha, The Old Man and his God: Discovering the spirit of India, Murthy Sudha, (2006).
7. Gene D Cohen , The Creative Age: Awakening Human Potential in the Second Half of Life, Harper Collins Publishers, ISBN/ISSN: 380800713, 384 p New York, 2012
8. Betty Friedan, The Fountain Age, By the mother of modern feminism, 1993.
9. Richard Gerberding, How to be Old: The thinking person's guide to retirement – Adapted by with Illustrations, 2001.
11. Luke Helen M, Old Age, Journey into Simplicity, ISBN -10: 1584200790, ISBN13: 978-1584200796, 112 pages, March 2010.
10. Pat Thane, The Long History of Old Age – Edited, 2001.
12. Diana Athill, Somewhgere, Toward the End, A Memoir, 2003.
14. Paul Higgs and Chris Gilleard, Rethinking Old Age: Theorizing the Fourth Age, Palgrave Macmillan, 2015.
13. Richard A. Posner, Aging and Old Age, University of Chicago, 1997.
15. John Wattis, Stephen Curran, Practical Psychiatry of Old Age, Radcliffe Publishing, (2006).
16. Todd D. Nelson ed, Ageism: Stereotyping and Prejudice Against Older Persons, Bradford, 2006.
17. Susan M. Hillier and Georgia M. Barrow, Aging, The Individual & Society, Cengage, 10 th edition, 2014.
19. Phillips, Judith, Kristine Ajrouch, and Sarah Hillcoat-Nallétamby, Key Concepts in Social Gerontology, SAGE Publications.
18. Laura E. Berk, Development through the Lifespan, Allyn & Bacon, 2010.
20. Victor G. Cicirelli, Older Adults' Views on Death, Springer, 2002.
21. Todd D. Nelsoned, Ageism: Stereotyping and Prejudice Against Older Persons, Bradford, 2004.
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Roger Williams University DOCS@RWU
School of Architecture, Art, and Historic Preservation Faculty Publications
School of Architecture, Art, and Historic Preservation
2010
Lincoln Cathedral: A Work of Art
John S. Hendrix Roger Williams University, firstname.lastname@example.org
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Hendrix, John S., "Lincoln Cathedral: A Work of Art" (2010). School of Architecture, Art, and Historic Preservation Faculty Publications. Paper 9.
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Lincoln Cathedral: A Work of Art
John Hendrix
(Façade) The first line of the Introduction to Nikolaus Pevsner's An Outline of European Architecture reads: "A bicycle shed is a building; Lincoln Cathedral is a piece of architecture." Though this is one of the most provocative lines in architectural historiography, Pevsner's reasoning is unsatisfying. According to Pevsner, Lincoln Cathedral is architecture because it incorporates other arts. Then why can't a bicycle shed? What makes a building architecture? What makes architecture a work of art? Lincoln Cathedral in fact serves as a perfect example to answer these questions because it displays as well as any building what I would propose makes a building architecture, and architecture a work of art: the structural articulation of the building expresses an idea which is not connected to the functional or structural requirements of the building. The structural articulation of Lincoln Cathedral can be seen as a physical model of basic tenets of medieval scholasticism and the natural or scientific philosophy of the Oxford School, as best represented in the writings of Robert Grosseteste, Bishop of Lincoln from 1235 to 1253, when much of the cathedral was constructed.
The architecture is intended as a catechism, or an edificium, of the cosmological understanding of the material universe at the time, and of the philosophies of intellect and vision which defined the relationship between the material and spiritual worlds, between human intellect and divine intellect. Friedrich Schelling and George Hegel, among many, go further to say that in order for architecture to be art, the form of the building must contradict its structural or functional requirements, so that architecture can be freed from its material and functional restrictions in order to be art. Lincoln Cathedral does this as well: the visual forms of the structure of the building contradict the actual structure of the building. Lincoln Cathedral stands as one of the most complete works of art in the history of architecture, one of the purest forms of poetic expression in architecture.
Pevsner's criterion for a building as architecture was that the forms of the building were combined with the forms of the other arts: sculpture, painting, and stained glass, so that the building would be a representation of the aspirations of its culture. A building is architecture if it expresses an idea external to the forms of the building itself, the idea being a philosophical or epistemological structure. The forms of the Gothic cathedral are a visual catechism of the structures of scholastic thinking in the twelfth and thirteenth centuries, as described by Erwin Panofsky in Gothic Architecture and Scholasticism. The forms of the cathedral are a visual and structural model of the way that people thought in that period, in terms of philosophy and theology, and the organization of all forms of cultural production. The forms of the cathedral tell us how the people of the culture understood the structure of the cosmos, the relation between the human being and the world, and the relation between faith and reason. The cathedral has a metaphysical structure as well as a physical structure, and the cathedral can be called architecture if architecture is taken to be an art, expressing an idea, as separate from the material itself; in this sense, a bicycle shed would not be called architecture.
(Nave) According to Panofsky, it is the manifestatio, in the process of elucidation or clarification, which is the controlling principle of medieval scholasticism. The dominant agenda of the twelfth and thirteenth centuries is the reconciliation of faith and reason, which can be found in the writings of Grosseteste and can be used to explain the excessive articulation of the architecture, in its complex intellectual structuring. Grosseteste is sometimes credited with introducing Aristotle to the West, and interweaving the natural and scientific philosophies of Aristotle with the mystical theologies of the Franciscan, Neoplatonic, and Arabic traditions. As a result Grosseteste is seen as a progenitor of the Franciscan School at Oxford, which included scholars like Roger Bacon, and the beginnings of modern scientific experimental thought, and at the same time he is seen as a progenitor of the Great Synthesis of Albertus Magnus and Thomas Aquinas, the synthesis of Aristotelian philosophy and Catholic theology.
For Thomas Aquinas, for example, the goal was not to prove articles of faith, but to elucidate and clarify them. This would be done through a series of similitudines in a self-sufficient system of thinking, through the manifestatio in literary or visual representations, for example, the architecture, which would make reason clear to imagination and faith clear to reason in the mind and vision of the viewer. Panofsky compared the excessive articulations and subdivisions of the architecture to the articulations and subdivisions of the medieval text, the summa in particular, which would be divided into partes, then membra, quaestiones or distinctiones, then into articuli, as the architecture might be divided into arches and sub-arches, pillars into shafts, and vaults into tierceron and lierne ribs.
(Choir) The emphasis on the structure of the manifestatio, according to Panofsky, on exposition and clarification, sometimes led the scholars to introduce elements unnecessary to the argument, as geometrical forms were introduced in the architecture which were unnecessary to the structure; and it might lead to the neglect of a natural order of presentation in favor of an artificial symmetry, as described by Panofsky, which can be seen in Lincoln Cathedral, in the vaulting of Saint Hugh's Choir, for example. This mental habit of clarification, excess, and artificiality pervaded every aspect of cultural production, including the architecture.
In architecture, according to Panofsky, the determinate and impenetrable space of the Romanesque cathedral corresponded to an impervious barrier between faith and reason, where reason was drowned in faith by mysticism. The principle of transparency of Gothic architecture dissolved the barrier between faith and reason, creating an indeterminate and penetrable spatial experience. The Gothic cathedral is organized so that the overall organization can be understood from any vantage point. The uniform division and subdivision of the Gothic cathedral corresponds to the structure of scholastic writing, which entails an arrangement according to a system of homologous parts, as described by Panofsky. Rather than the variety of architectural types which make up the Romanesque cathedral, the Gothic cathedral is composed of parts which all constitute variations on one theme or type; for example, at Lincoln, the vaulting of the nave, transepts, choir and retrochoir are all variations of the same system, as are the triforia of each part. As in the scholastic treatise, the different parts of the cathedral are designed to stage a series of relationships with each other based on the visual connections created by the variations in theme. Panofsky calls this the principle of progressive divisibility, and it can be seen in the vaults, triforia, piers, shafts, window tracery, arcades and mouldings. Every detail of the cathedral participates in the same logical system, to express the idea that the natural world can be understood by reason, by philosophy and science, as in the treatises by Grosseteste, and that scientific reasoning can be synthesized with religious faith.
(Bishop's Eye) The beginning of the Gothic in France corresponded with the desire of the Abbot Suger to manifest the light mysticism of Pseudo-Dionysius in the Abbey Church of St. Denis, so the light of the stained glass windows plays a fundamental role in the transparency of the logic of the Gothic cathedral, as it does at Lincoln, for example in the Bishop's Eye in the main transept. Grosseteste translated the entire corpus of Pseudo-Dionysius as Bishop of Lincoln. In the writings of Grosseteste, in particular his treatise on light, De Luce, light is the mediating element between body and spirit, and between reason and faith. The articulated details of the architecture, as the manifestatio of the principle of progressive divisibility, are the product of the diffusion and rarefaction of light into the physical world, as it transforms from lux, the spiritual light, to lumen, the corporeal light. The rose windows at Lincoln, and the multiplicity of the forms bound together in a single comprehensive system, stage the scholastic understanding of the operations of the cosmos based on the synthesis of theology and natural philosophy, the basis of Grosseteste's writings.
(Nave vault) The all-encompassing interrelationships of all the membrification of the Gothic cathedral constitute what Panofsky calls a postulate of mutual inferability, creating a variety of visual transitions and interpenetrations, spatial juxtapositions and overlappings, which Nikolaus Pevsner describes at length at Lincoln Cathedral. The scholastic system also delights, according to Panofsky, in defying the rule of correlation, in contradicting the very logic of the similitudines which constitute the manifestatio. In this way reason and faith coexist; reason does not prove the articles of faith, it only manifests them, in a self-contradictory and self-subsistent system. In the architecture, this can be seen in the over-membrification of the ceiling and under-membrification of the supports.
According to Friedrich Wilhelm Joseph von Schelling, in The Philosophy of Art in 1802, architecture can only be an allegory of the organic. It can never achieve an absolute identity between idea and matter, universal and particular, or inorganic and organic. The only way that any identity can be achieved is when architecture imitates itself in its functional requirements as structure and metaphysical shelter, as does Lincoln Cathedral, and contradicts them in its form, as does Lincoln Cathedral, so that the identity of the inorganic and organic, or universal and particular, is unimpeded. Architecture is only art when as form it is released from its functional requirements, and allowed to represent spirit in the synthesis of human reason and the organic, or in scholastic terms, reason and faith. Pevsner's bicycle shed is not architecture because its form does not contradict its function in structure or shelter, as does Lincoln Cathedral.
According to Schelling, "Architecture can appear as free and beautiful art only insofar as it becomes the expression of ideas, an image of the universe and of the absolute," 1 as in the cathedral. Architecture cannot be organic form, so it must represent organic form in the Idea. The symbolic is necessarily divorced from the organic as the human mind is divorced from nature, requiring faith. The symbolic is the selfrealization of the artificial construction of meaning, the signification of the impossibility of meaning in language. The Great Synthesis of scholasticism, in its philosophical basis and visual forms, contains such a self-realization.
In The Philosophy of Art of Schelling, the allegory of the organic is expressed through the inorganic. As the imitation of the organic in the inorganic, in mathematics and geometry, architecture as art is a parody of the mechanical building arts, an imitation of the act of building in allegorical representation, as in the elevations and vaulting of the nave at Lincoln, which do not play the structural role that they appear to play. The organic form which best serves architecture, which architecture is best suited to imitate in the inorganic, according to Schelling, is the plant form, as in the ribs of the vaulting which appear as palm fronds, because the plant form is already seen only as an allegory of the organism of the animal or human body, which is the ultimate function of the architecture. The plant form is easily reducible to arithmetical and geometrical structures, symbolic structures which are translated into the inorganic forms of architecture. The plant form is the closest form in nature to the crystalline, mineral form; it is the most inorganic of organic forms. As the closest form to the inorganic, it is the closest form to the structures of reason, which is why plant forms are easily described in mathematical and geometric terms, such as the Fibonacci Series and the Golden Ratio.
According to Schelling, proportions in architecture are primarily analogous to the proportions of the human body, and it is through the analogy of proportions to the human body that the inorganic forms of architecture can imitate the organic. Such an analogy depends, as always, on the symbolic mediation of language. The harmony of proportions exists only in the mind, as they are abstracted from the sensible world, as Grosseteste would describe, under the influence of the Arabic commentaries on the De anima of Aristotle, and the Neoplatonic paraphrases of Plotinus in the Theology of Aristotle and Proclus in the Liber de Causis. Harmonic proportions in architecture are only allegorical, a poetic function of language, a mannerist trope. Through the allegorical, the temporal symbolic, or the narrativization of the symbolic, the universal is intuited through the particular, or the organic is intuited through the inorganic. Through the symbolic itself, the universal and particular are undifferentiated, and the symbolic is able to represent the synthesis of the inorganic and organic.
The highest form which architecture can take as an art is in the expression of an abstract idea in reason as an image or representation of absolute identity. As Schelling says, "Architecture can appear as free and beautiful art only insofar as it becomes the expression of ideas, an image of the universe and of the absolute." A true image of the absolute and an immediate expression of the Idea is only possible in organic form, which can only be achieved in the plastic arts. Unlike music, the conceptual counterpart of architecture, architecture cannot free itself from the representation of form in the real; it cannot free itself from matter, and the insertion of thought as reason into matter, the ideal into the real, as geometric regularity. Architecture cannot represent the absolute in form alone; it can only represent the absolute in both form and essence simultaneously, that is, it must express an idea. The organic form in the plastic arts is an immediate representation of reason, because the organic form itself is reason perceived in the real, or matter, reason's perception of itself in the real.
The inorganic form is not an immediate representation of reason, because reason cannot perceive itself in the real in the inorganic form; the inorganic form is a product of reason, a product of the ideal, disconnected from matter. The relation between reason and architecture is thus an indirect one, and must be mediated by the organic, seen in relation to the organic, and as such mediated by the concept or the idea. Reason perceives itself directly in the real, in nature, in absolute identity, in the organic form of the plastic arts; reason can only perceive itself indirectly in nature in the inorganic forms of architecture. Architecture thus stages the problematic relation between reason and nature, the inability of mind to perceive itself in the real, and the forms of architecture are the product of the struggle between mind and its selfperception in the real.
Architecture can only represent through the mediation of the concept, the idea, in reason. In order to exist within the realm of absolute identity, in the realm of Spirit, architecture must achieve an absolute identity with reason itself, it must in itself and without mediation be in identity with reason, as Schelling describes. An identity with reason cannot be achieved in materiality alone, in the realm of matter or the real, and in the concept of purpose associated with matter, the laws of cause and effect and necessity, as in the Principle of Sufficient Reason, as given by logic in the real. The concept cannot be found within the matter or emerge from it; it must be external and a priori to it. In order to represent absolute identity, architecture must communicate an idea which is external to its material presence. It must enact the presence of an idea, or the possibility of an idea, in the Platonic sense of an archetype, an idea which precedes its material manifestation, an idea of which its materiality is a manifestation, but which is external to its manifestation in the materiality, external to both nature and the identity of mind as perceived in nature or the real. In organic form in the plastic arts, the idea is not external to the material; the concept is infused into the material, creating a synthesis of the subjective and objective in mind, Hegelian being-in-itself and being-for-self in consciousness, and thus a synthesis of the infinite and finite.
(Parthenon) Architecture can only be beautiful, that is, it can only achieve a synthesis of the ideal and real, mind and matter, within the ideal, when it becomes independent of its purpose or function in its representational forms. In order to be beautiful, to be art, architecture must appear to be functional, but in fact must not be functional. Architectural forms must appear to obey the laws of cause and effect in the real, but at the same time be independent of those laws within the ideal. This is the Hegelian definition of freedom, the independence in mind from the laws of necessity in the real, as given by selfconsciousness. The Parthenon is beautiful because the colonnade, entablature and pediment appear to support the structure, but in fact do not. The lines of the Parthenon appear to be straight but are in fact curved in entasis, contradicting reason in perception.
(Nave elevation) Lincoln cathedral is beautiful because the arcades and responds appear to support the vaulting, but in fact do not; the vault is supported by hidden buttresses. The tiercerons and liernes appear to support the vaulting surface, but in fact do not. The vault sits below the timber roof of the building, and only serves to shore the elevations. Those elements of the building assume only the visual form of structure, and not purpose. The building communicates the discrepancy of the real and ideal, function and idea, within the ideal, within the concept which is communicated in connection to the material. In that way the building assumes an identity with reason in relationship to nature; reason perceives itself in the forms of the building, in the inorganic, and ideal, and judges the building to be beautiful, while reason perceives itself in nature, in the organic and real, and judges nature to be beautiful.
(Santa Maria Novella) The façades of the Palazzo Rucellai, Santa Maria Novella, and Sant'Andrea in Mantua by Leon Battista Alberti are the epitome of architectural beauty in the Renaissance because the forms which are based in structural necessity do not function in any structural way. The elevations of Sant'Andrea appear to support the coffered barrel vault but they do not; the vault is supported by hidden buttresses. Forms which appear to be structural but are not can be found in the Villa Rotunda of Andrea Palladio and the Palazzo del Tè of Giulio Romano in the Renaissance, (Villa Savoye) the Villa Savoye of Le Corbusier, the Seagrams Building of Ludwig Mies van der Rohe, and the Wexner Center of Peter Eisenman in the twentieth century. Each of these works of architecture can be considered to be a work of art.
(Nave) For Schelling, architecture is beautiful, that is, represents the self-identity of the ideal within the real, only when it becomes independent of need, as opposed to the other plastic arts, in which the organic form displays the identity of the real and ideal within the realm of necessity, the realm of the real. Organic form is taken as a symbol of the real, which contains within itself, the symbol, the possibility of the identity of the real and ideal. Architecture can never be completely independent of the real, of necessity and cause and effect, thus in order to be beautiful it must be simultaneously becoming independent of itself. Architecture achieves its communicative potential when it becomes a free imitation of itself. Architecture achieves freedom in mind in the same way that mind attains freedom as Absolute Spirit, in Hegelian terms: architecture becomes conscious of itself in its being-in-itself, its essential being in the real, and it becomes alienated from itself in its doubling of itself, its self-recognition as other to itself, and through its being-for-self becomes self-conscious in its return to itself, achieving a being-in-and-for-itself, which is freedom in mind as the absolute. In such a way architecture mirrors the activity of mind in self-consciousness; it enacts the process of reason in imagination and understanding, higher forms of reason, the nous poietikos or virtus intellectiva as described by Grosseteste in the thirteenth century, in which divine intellect, intelligentia, participates.
According to Schelling, as soon as architecture attains through appearance both actuality and utility without intending these as utility and as actuality, that is, as soon as it imitates itself in its forms, it becomes free and independent art. Architecture imitating itself is as the real imitating itself in the ideal, or the laws of necessity and cause and effect imitating themselves in reason. In that way reason in imagination is able to perceive the presence of the real, that which is external to it, as in the material substrate of Aristotle, within itself, and then to transcend the self-presence of the real in self-consciousness, to attain freedom from it. It is the purpose of the architecture of Lincoln Cathedral to facilitate the process, the intellectual ascension from material intellect, virtus cogitativa, reason connected to matter in Grosseteste's terms, to virtus intellectiva, creative intellect.
(R. Mutt) The object associated with the concept of purpose is transformed into an object of art devoid of purpose, or independent of the concept of purpose with which it was previously associated, as in the conceptual art of Marcel Duchamp. The concept of purpose itself becomes disassociated with purpose, and the presence of the ideal within the real is revealed, the perception of the real based in the a priori presupposition of the ideal. The concept of purpose itself becomes an artistic object, an idea which displays the synthesis of ideal and real within the ideal within the framework of the discrepancy of the ideal and the real, between thought and that which is external to it as given by thought in perception, in the doubling of mind in consciousness in being-for-self and the consequent self-alienation of mind.
(Nave) Architecture achieves the representation of the universal by representing that which is other to itself within its form, in the discontinuity between the objective and the subjective, while the other forms of the plastic arts are able to represent the continuity of the objective and subjective as far as it is possible in the real, in the organism, as given by reason in perception. The objective is the material intellect, virtus cogitativa of Grosseteste, reason and logic connected to the real, or material world; the subjective is the creative intellect, virtus intellectiva, in part freed from the material world and connected to divine intellect, or the active intellect of Aristotle. In medieval scholasticism and the architecture of Lincoln Cathedral, the distinction between the real and ideal, and objective and subjective, was the distinction between reason and faith, the distinction between human intellect and the unknowable divine intellect. The architecture enacts the distinction, and the self-contradictory state of consciousness and being human, and Lincoln Cathedral is thus a work of art.
1 Friedrich Wilhelm Joseph von Schelling, The Philosophy of Art (Die Philosophie der Kunst, 1859), trans. Douglas W. Stott (Minneapolis: University of Minnesota Press, 1989), § 107.
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Tourist Information for Your Stay at The Willow House
History:
The Doomsday Book records that Watton (or Originally Wadetuna) featured a church, manor house and Anglo-Saxon settlement.
The hare (wat) and the barrel (tun) Although speculative it is believed that because of the areas commercial ties to the rabbit/hare (wat) production, and the importance of the its principal industry was the manufacture of woollen cloth in Elizabethan times, the raw material being brought in barrels (tun) the nineteenth century derivative of wat being the local dialect word for hare, and ton for barrel, reflects the town name. The motif can now be seen both on the Clock Tower and as the weather vane.
The Location and The Willow House:
The clock tower of Watton was built in 1679 by Christopher Hey, a wealthy mercer. The tower was built to hold a fire warning bell following the 'Great Fire of Watton' that destroyed more than sixty properties in 1674. This early warning bell, known as 'Ting-Tang' sits in an ornate cupola on top of the tower.
The Willow House, dates back from around 1556 and is the only thatched and one of the oldest buildings in Watton. Built on the western edge of the town. When the great fire took hold, blowing to the east, The Willow House survived. This was in 1674. The town was later re-developed: around and to the west of The Willow House.
Watton is situated fairly equal distant from the surrounding coastal area, so on a good run you can get from Watton to all points from Kings Lynn round to Great Yarmouth in about an hour, so you can imagine how many attractions there are, for all tastes to visit and see.
Some Information:
We have compiled some things to do, for just an hour or two, or if you have time, a good few days of exploration:
By foot, either car or bus, we believe some or all the following will be of some interest.
Walking:
If walking is one of your interests, many people use us as a stop over point when walking the Peddars Way trail:
http://www.nationaltrail.co.uk/peddarsway
But you could just as well walk the parts immediately north and south of Watton and arrange either a pick up or a drop off so as to get as far as possible, in a stint.
A good days walk south of the The Willow House will take you past St Peters church, Merton, on to Thompson and Thompson Water, this is owned and managed by Norfolk Wildlife Trust and is a shallow lake of 40 acres; which was artificially created in 1845 by the draining of a tributary of the River Wissey?
Here the Peddars way briefly joins The Great Eastern Pingo Trail:
http://www.countrysideaccess.norfolk.gov.uk/walk.aspx?section=1&id=25 this is an eight mile circuit that explores the eastern edge of the Brecks.
The Battle Area, known as Stanford Training Area, which is the country's main battleground and amounts to 17,500 acres of unofficial nature reserve. This trail passes Cranberry Rough:
http://www.forestry.gov.uk/forestry/INFD-6EYEV4
This provides a wide range of wetland habitats, which support an exceptionally rich diversity of wetland plants, insects and birds. This wetland site was formerly a lake known as Hockham Mere. It is now a 'Site of Special Scientific Interest'.
With Great Hockham to the east, this would be another fine chance to break from the trail for a picnic in a pretty Brecks village.
Now, back on the Peddars Way still heading south you will cross the A1075 at East Wretham, On southwards across the A 11 to Thorpe Woodlands across the river Thet, again a few miles to the east is East Harling, the home of The St. Georges Distillery, England's only Whiskey Distillery, well worth a detour. They run tours most days followed by a tasting: http://www.englishwhisky.co.uk/
If this did not dissuade you from your path, it's on to Rushford and Knettishall Heath Country Park. Here you will find a circular 'Warren' this might not be the first you warren you have come across on your trek, as rabbit 'farming' or Warrening was a massive industry from the mid 13 th century though to the early 1900's throughout the Brecks.
You have now come to the start (or in this case) the end of the official Peddars way route. (Total Walk 14.5 miles)
Thetford lies about 5 miles north west of here. There you will also find Thetford Priory, Castle hill earth works and one of the best preserved warren lodges and banks in the area, also the Little Ouse river trail.
If you were to head North on the Peddars Way Trail out of Watton, this would pick up at Little Cressingham, past Great Cressingham, on to All Saints church at South Pickenham, through North Pickenham village. North across the A47 and the last leg of this journey along the Nar Valley way to South Acre where you will find St. Georges church. And finally, make sure you visit the Priory and Castle ruins at Castle Acre. (Total Walk: 11.7 miles).
Places of Interest:
A little further afield is Thetford Forest. A patchwork of pines, heathland and broadleaves providing the ideal setting for a day out and picnic, and a welcome refuge for a rich variety of animal and plant life. Many visitors are attracted by the peace and tranquillity of Thetford Forest as well as the wide range of recreation facilities.
Go Ape:
There is also 'Go Ape'http://www.goape.co.uk
A tree top adventure park in the hart of the forest at High Lodge Forest Centre, Santon Downham, for those of a less sensitive disposition. This is also the venue where children can explore trails, use the play furniture and have fun on the large grass area.
Grimes Graves:
A little further north into the forest and you will be taken back in time to when 'The Brecks' was the flint capitol of Briton, which does not now sound too impressive, but back when EVERY useful tool was made of flint, most building used flint in one way or another, and then the prolific use of the flintlock pistols and rifles this made the area very significantly important, from the stone age though to the last century The Brecks also has the largest Neolithic flint mining site in Britain, at Grimes Graves:
http://www.english-heritage.org.uk/server/show/nav.12454
Thetford Forest:
Lynford Arboretum, and its Lakes in Thetford Forest Park, also has their own trails and attractions. Lynford Hall was the site of some of the filming of the popular 70's sitcom 'Dads Army'. Mundford is the nearest village, which is home to the Iceni Brewery:
http://www.icenibrewery.co.uk .
If you were to head north from here along the A1065 Munford To Swaffham Rd, across to your left, (west) there is the Village of Cockley Cley and its The Iceni Village which is a reconstruction of the type of village occupied by the British tribe, whom Boudicca was their queen some 2000 years ago:
http://www.icenivillage.com/
There is also to be found the church of St. Mary. It is thought that this is one of the oldest churches in the country and that it may originally have been built during the time of the Augustine mission in 628AD.
If you have small children a visit to Melsop Farm Park is a must, just 10 minutes by car is an indoor / outdoor interactive farm:
http://www.melsopfarmpark.co.uk/
Swaffham:
Heading north again this will bring you to the market town of Swaffham, or you may know it as 'Market Shipborough,' or the town that Kingdom, the TV series staring Stephen Fry was based. Have a look around and see if you can spot the central shooting scenes.
You can also visit the Swaffham Ecotech Centre, where you can see the benefits of wind power and is an environmental education centre. Swaffham 1 includes a 65m high viewing platform, which has already been visited by over 50,000 people. The unique public viewing platform is situated just below the hub and can be reached by climbing a 300-step spiral staircase inside the tower:
http://ecotech.org.uk/contacts.html
Bodney Camp:
On your return trip to Watton from Swaffham, along the B1108 will take you past Bodney camp, home to many of our country's armed forces whilst on training manoeuvres, throughout the year, but in August it opens its doors for three weeks to the Household Cavalry, for training and fresh air for the horses. Near the end of their stay at Bodney, a free open day of horsy entertainment is provided for all who wish to attend, which is always very well subscribed to.
Wayland Wood Country Park: Closer to Us
If its just a gentle stroll is what you would prefer, walk or take the car to Wayland wood car park, (Less than a mile from the Willow House) and follow the trails set out for you, and whilst wondering through this ancient woodland you might be lucky enough to spot a Golden Pheasant. This is also the woods that inspired the Legendry tales of the 'Babes in the Wood'
The Watton heritage trail is an organised snippet of local history that guides you around the town, more info can be found at the Wayland visitors centre, found at the western end of the High St.
Golf:
If you wish to go 'off piste', stroll through Watton high St and head off north past Richmond Park Golf Club:
http://www.richmondpark.co.uk/index.htm
Facilities include a full 18-hole golf course plus driving range. You might even like to take advantage of a few lessons with the Club professional!
Continue on to Saham Toney, the Saxon word Saham means a hamlet on the lake. The local's call it Saham Mere. Heading east will bring you to Ovington and further on to Carbrooke, here if you head back to Watton, this will bring you past St. Mary's church which is generally accepted to have been built between 1100 and 1135. It is the only church in Norfolk that is wider than it is long, due to the extensions put on it as the population grew in Watton. The walk back from here to the Willow House is down a ¼ mile tree lined foot path.
Wayland Prison:
Just to the south of Watton lie the villages of Caston and Griston, which is the home of HM Wayland Prison; a major employer in the area.
Shipdham:
To the north is the village of Shipdham where the air field was constructed in 1941-1942 and was the first US heavy bomber base in Norfolk. Shipdham was also the continuous host to B-24 Liberators longer than any other Eighth Air Force combat airfield in Britain. It is now home to the 44th bomb group museum.
http://www.shipdhamflyingclub.co.uk/index.php?option=com_content&view=article&id=2&Itemid=4
Onward will bring you to Dereham, here you will find The Mid-Norfolk Railway Preservation Trust:
http://www.mnr.org.uk/
Gressenhall Farm and Workhouse museum:
http://www.museums.norfolk.gov.uk/default.asp?Document=200.50
Norwich City:
This is a must for those spending a few days with us.
You will need to take the car or catch a bus.
Heading east will take you though the village of Hingham.
Samuel Lincoln, Abraham Lincoln's great, great, great grandfather was baptised here and left to help colonise the Americas in 1637.
Hingham's grand architecture surrounds the market place and village green. In the 18th century, when the socialites of high society built and took residence in Hingham, it became fashionably known as "little London".
More recently, the Lotus F1 Team has made this its base.
The trip will take you past the village of Barford and on across the A47 past the new Norfolk & Norwich University Hospital, then the University of East Anglia which is home to The Sainsbury Centre for Visual Arts:
http://www.scva.org.uk/
We recommend a visit to the cathedral's (Yes there are two) you will probably past the Catholic cathedral of St. John the Baptist, on you way into Norwich, its building took place at the turn of the 19 th C but was not designated a cathedral until 1976.
Without bias, the much grander and substantially more interesting of the two for the religious and nonreligious alike, is the 900-year-old Anglican Cathedral of Norwich: http://www.cathedral.org.uk/
Do not miss a visit to Norwich Castle, this also has exhibitions of the Egyptian Pharos, the Iceni tribes, Boudicca, local history, art exhibitions, and guided battlement and dungeon tours: http://www.aboutbritain.com/NorwichCastleMuseum.htm
It then might be time to relax in one of the many restaurants and bars of Tombland.
Take a stroll though the city center, with a mix of small individual boutiques and large high street stores. You will find two modern shopping malls, one of the largest covered outdoor markets in England and many picturesque lanes, alleys and streets: http://www.tournorfolk.co.uk/norwich.html#shopping
There are guided tours, depicting some of the deep history of the city:
http://www.visitnorwich.co.uk/blue-badge.aspx
Why not download a pocket tour to your MP3 player here:
http://www.pocketnorwich.co.uk/mobileindex.html
For further information visit the Forum which is the tourist information hub of the city and much more:
http://www.theforumnorwich.co.uk/
You might wish to catch a show at the Theatre Royal: http://www.theatreroyalnorwich.co.uk/
Play House:
http://www.norwichplayhouse.org.uk
A top-flight band at the U.E.A: http://www.ueaticketbookings.co.uk/
Other recommended local attractions are:
Explore the whole of the Norfolk Coastline from Hunstanton to Caister on Sea.
A few others to mention:
A day trip (or half day) on the Norfolk Broads:
Take a picnic, and be your own Skipper! http://www.finewayleisure.co.uk/html/day_boat_hire.html
Relax on a paddle steamer: http://www.pocketnorfolkbroads.co.uk/pnbfiles/southerncomfort.html
Take a boat trip to see the seals:
http://www.beansboattrips.co.uk/
Great couple of hours, what ever your age. Right on the north Norfolk coast Check the tides times on the web site for sailing times.
Thursford collection:
https://www.thursford.com
This attraction houses the World's largest collection of steam engines and organs. It is home to the famous Thursford Christmas Spectacular.
Bressingham:
http://www.bressingham.co.uk/
Steam, Gardens & Dads Arm Collection
Holkham Hall:
http://www.holkham.co.uk/
The Hall, The Beach, Concerts, Plays, Exhibitions.
Sandringham:
http://www.sandringhamestate.co.uk/
The Queens favorites
Dinosaur Adventure Park:
http://www.dinosauradventure.co.uk
A kiddies Adventure
Bewilderwood:
http://www.bewilderwood.co.uk/
A kiddies Adventure
Pleasurewood Hills:
http://www.pleasurewoodhills.com/index.php
A kiddies Adventure
Castle Rising:
http://www.castlerising.co.uk/main.html
A 12th Century castle with yet more history
Snetterton Race Circuit:
http://www.motorsportvision.co.uk/snetterton/
There is always something going on, either practice, bring and run, or racing.
Snetterton Sunday Market:
http://www.snettertonmarket.co.uk/
Some retail therapy with a barter.
THE WILLOW HOUSE INN, RESTAURANT & HOTEL 2 HIGH STREET WATTON NORFOLK. IP25 6AE
Telephone: 01953 881181
www.thewillowhouse.co.uk
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The Celtic Nations Holiday/Short Break Guide
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Table of Contents
Three Celtic Nations to Visit on Your Next Vacation;
A Celtic vacation can be a dream come true. The Celtic nations are areas where Celtic tribes lived and where a Celtic language is still spoken. These nations bring with them not only a rich history and mythology but also beautiful landscapes and unique cultures of their own. The Celtic nations include Ireland, Scotland, Brittany, Wales, Cornwall, and the Isle of Man. Let's take a short trip through three of these fantastic locales.
Scotland;
Scotland is one of the larger Celtic nations and it is part of the United Kingdom. While it shares a border with England, the majority of the country is bordered by water. Scotland has a varying geography with high mountainous regions, the Highlands, as well as lowlands. The variety of geography makes Scotland a visually stunning place to visit and it's ideal for nature lovers.
It's a modern country with fine dining, culture, and shopping. You can also enjoy the well-preserved history of the country, including a tour of the famous Edinburgh Castle. This ancient castle dates back as far as the 9th century BC. The citizens speak English so travelling is made easier. However, brace yourself for that thick Scottish accent as it can be difficult to get used to.
Cornwall;
Cornwall is one of the smaller of the Celtic nations. Cornwall has a population of 536,000 and covers an area of about 1,376 square miles. It is part of the United Kingdom and a ceremonial county of England. It borders England though the majority of the county is surrounded by water.
It has a deep and rich Celtic history including several ancient standing stone landmarks. One of the most famous of these ancient landmarks is the Mênan-Tol, which features a standing stone with a hole in it. Because of its moderate climate and the miles and miles of scenic beaches, it's a popular vacation destination for England's residents. The strong seaside culture makes it a favorite destination. Combine that culture with unique foods, ancient landmarks, and beautiful castles and churches and Cornwall is an ideal Celtic destination.
Isle of Man;
The Isle of Man or Mann as locals call it is an island located in the Irish Sea between Ireland and Great Britain. The island is sparsely populated and one of the most beautiful areas in the world. It's home to around 80,000 people. The Manx, or people of Mann, have a strong tradition of myth and folklore. It's easy to see why. Many ancient landmarks are still scattered about the island. The Braaid is just one of these ancient remnants of Celtic-Norse tribes. It's located in the central Isle of Man and dates to around 650–950 AD.
Any of the half dozen Celtic nations will undoubtedly provide a spectacular and memorable vacation. If you want to take a step back in time, the three destinations highlighted here are ideal choices. A Celtic vacation creates memories of a lifetime.
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How to Choose the Best Celtic Nation for Your Vacation:
Planning a vacation can be both fun and frustrating. There are many destinations to choose from and many factors to consider. Not only do you need to choose a time and length for your vacation, you also have to identify an itinerary and a destination.
If you're planning a Celtic vacation then the challenges are abundant. There are six Celtic nations to consider. A Celtic nation is an area where a Celtic language is still spoken. The Celtic nations include Ireland, Scotland, Brittany, Wales, Cornwall, and the Isle of Man. If you have limited time and need to choose just one area to focus on, the following questions and tips will help you decide.
What Type of Traveller Are You?
When you travel do you prefer to stay in one location and explore the area to its fullest? Or do you prefer to hop in the car and explore as much as the area has to offer? If you prefer to stick to one main area then there you might want to consider visiting Ireland. Both Dublin and Cork County offer enough attractions and interests to keep a visitor busy for weeks. You won't have to get in the car and drive around the country of Ireland to have a great vacation.
If you prefer to hop in the car and explore, driving from point to point and never staying in one location for more than a day or so, then both Scotland and Ireland have the space and the destinations to keep an excited traveler busy.
Beach Bum or City Dweller?
Many of the Celtic nations are also common seaside destinations. Cornwall and Brittany are hot vacation spots for many Europeans. They have long expanses of scenic coastline and are havens for sunbathers and surfers alike. If you prefer an urban atmosphere then consider Dublin, Ireland or Edinburgh, Scotland. Both areas provide abundant opportunities for shopping, culture, and luxuries. Visitors can also rent a car and travel to more rural or scenic destinations.
Part of Your Trip or the Entire Stay?
If you're planning on making a visit to a Celtic nation a portion of a longer vacation then consider visiting the Isle of Man, Brittany, or Cornwall. The Isle of Man can be visited by boat as it's off the coast of England. Cornwall is on the south-western tip of England and Brittany is part of France. All three destinations can easily be included in a larger European trip or tour.
Also consider the time of year that you'll be travelling. Many of the areas have a moderate climate. However, some like Scotland can be quite cold and wet during the winter season. Many areas of Ireland completely close down during the winter as well. Choose wisely, plan your trip well and enjoy your Celtic vacation.
Three Places to Consider When Taking a Celtic Vacation:
There are many different types of vacations to take. You can take a beach vacation, a wilderness camping vacation or even a skiing vacation. You can also take a Celtic vacation. It's an opportunity to explore nations with an ancient past, strong traditions, vibrant folklore and landscapes that are often beautiful beyond imagination.
There are more than a handful of potential areas to visit when considering a Celtic vacation. Let's take a quick look at the strong points of each three popular Celtic nations.
Ireland
Ireland is one of the most popular Celtic nations. It is a culture that is rich with folklore. When visiting Ireland, travellers are exposed to a wide variety of options. Fine dining and culture in Dublin makes way for ancient ruins like the Uragh Stone Circle, a Neolithic stone circle in Gleninchaquin Park, County Kerry. Cork County hosts fine festivals and the lighthouses around the country's rugged shore are a delight. From castles to leprechauns, there's something for everyone in Ireland.
Wales
Wales is part of the United Kingdom and the isle of Great Britain. It's a mountainous country that's embraced by a rugged shoreline with the Celtic Sea and the Irish Sea bordering it. There are three national parks in this small country, making it a nature lover's delight. Visitors can enjoy the urban delights of Cardiff and Swansea and then partake in the beauty of this Celtic country.
Brittany
This area is found on the north-west peninsula of continental Europe in northwest France. It's bordered by the English Channel, The Celtic Sea and the Bay of Biscay. Visitors can enjoy ancient French architecture and prehistoric remnants like the Carnac Stones. These stones were erected around 3300 BC and contain more than 3000 standing stones – it's the largest collection in the world. This small nation is also home to lighthouses, a strong maritime culture and an area with unusual pink granite around the city of Trégastel.
There are common attractions in many Celtic nations including lighthouses, rugged coastlines, a strong maritime culture and ancient castles and artifacts. Some have their own currency and government, which means it pays to do your research before you go.
With so much to do and see in any Celtic nation, a well-planned itinerary is a must. If you enjoy nature and adventure, Wales may be the ideal location for your next trip. If you have a strong appreciation for culture, architecture, and ancient runs then consider Ireland or Brittany. The good news is that there's no wrong choice. All three places promise a wonderful visit.
Three Castles to Visit in Ireland:
There are an abundance of activities and sights to enjoy in Ireland. From lighthouses to pubs, there's something for everyone. Castles are often at the top of the sightseeing list and there are many to choose from in this magical country. If you enjoy castles or want to include them on your Ireland visit, add the following three castles to your list.
Dublin Castle
This castle is on the list for a number of reasons. The first is that it may be the most accessible. You'll probably fly into Dublin on your stay and Dublin Castle can be on your first day's itinerary. However, convenience isn't the only reason this castle is mentioned. Built in the early 13th century, it also houses some of the area's oldest architecture. In addition, it's quite accessible to tourists and offers guided tours throughout the day. There is also a craft store, heritage center, and a restaurant.
Kilkenny Castle
Kilkenny castle is one of Ireland's largest castles. It's also one of the oldest. The beginnings of the castle began in 1172 and the castle was finished in 1260. It's been owned and lived in by many prestigious families and has a distinct look, making it one of the most recognizable castles.
Many of the rooms are open to visitors. In addition to the architecture and portrait collection, you can often find an art exhibition in the Butler Gallery. There's a fine dining restaurant and a conference centre as well. Don't forget to walk around the grounds where you'll find a rose garden, parks, and a fountain.
Blarney Castle
Blarney Castle is in Cork County. Yes, it is where the phrase "Kiss the Blarney Stone," originated. This castle is perhaps the most beautiful and certainly one of the most picturesque castles in Ireland. It was originally built in the 11th century and the wooden structure was replaced with stone in the 1200s.
The castle has been rebuilt many times and today most of it stands in ruins. You can still visit some of the rooms and you can most certainly kiss the Blarney Stone. The stone is said to give "the gift of the gab", or the gift of eloquent speech, to everyone who kisses it.
These three castles are just a few of the more than a dozen castles on the island of Ireland. They're widespread throughout the country and can make the foundation for a wonderful and adventurous vacation.
When Is the Best Time to Visit Ireland?
Thinking about visiting Ireland but not sure when to go? It's true that there are drastic differences between the seasons. Summer in Ireland is distinctly different than the wintertime. However, when you go also depends on your travel personality and your reasons for visiting this beautiful country.
Visit in the Summer
Most travel guides recommend visiting Ireland in the summertime. In the summer the days are not only warmer, they're also longer. If you are a traveller who enjoys packing your visit from sun-up to sun-down, then these long days are invaluable. The country is in full swing and everything from bed and breakfasts to wacky attractions are open.
The downside is that because summer is such a pleasant time to visit Ireland, it's peak travel season. You'll be amongst the many other tourists. You won't have much luck finding cheap airfare or hotel stay.
Spring and Fall
During the spring and fall you're likely to find wet weather. You'll also find some deals on travel and thinner crowds. It's also the prime festival season. Let's not forget that St Patrick's Day is in March and there are wonderful fall festivals to consider including the Folk Festival in Cork and the Fringe Festival in Dublin. Many travel experts strongly recommend visiting Ireland during the spring or fall. Bring a raincoat and a smile for a lovely stay.
Winter
Winter is generally considered the least desirable time to visit Ireland. It's cold and wet, and the sun may not shine as often as you'd like. Additionally, many attractions including hotels and restaurants are closed during the winter – this is particularly true in the more rural areas. However, it's also the cheapest time of the year to visit Ireland. You'll be able to find good airfare prices as well as reasonable hotel rates. And you won't have to fight the crowds.
The Bottom Line
If you plan to visit Ireland to explore nature and take in the coastline then winter is a time to avoid. However, if you plan on heading to a large city and checking out every pub within walking distance then winter may be a perfect acceptable and certainly more affordable option. The cities are abundant with opportunities for culture, dining, shopping and theatre all year around.
If you're not on a tight budget, then any other time of the year provides more benefits. You'll have more options in terms of hotels, dining, and attractions. Identify your reason for visiting Ireland and establish a budget. Those two factors will lead you to the best time for you to visit Ireland.
Sights to See in Wales:
There aren't too many countries where you can ride a Ferris wheel right next to an ancient castle. Yet, Wales offers this unique experience and many more. Wales is one of the six Celtic nations meaning that some residents still speak the ancient language of the Celtic tribes.
Like many Celtic nations Wales has a rugged coastline, as well as ancient architecture and artifacts that just can't be missed. Couple the traditions of the old with the new modern conveniences and you have the making of a dream vacation. If you're heading to Wales, the following are some sights not to be missed.
Conwy Castle
There are dozens of ancient castles to visit in Wales. However, Conwy is often at the top of the list. It's a massive castle. It has two fortified gateways, eight towers and a long, central complex. You can see it rise above the landscape for miles. Constructed in 1283, this amazing castle is quite picturesque as well, as you can see the mountains of Snowdonia and the River Conwy beyond the castle gates. Visit Conwy Castle and you'll immediately be transported back in time.
Snowdonia National Park
Nature lovers rejoice in Wales. The Welsh countryside is vast and diverse. While the country has more than 100 lakes and 37 miles of coastline, it's also home to 90 mountain peaks - including the tallest mountain in Wales, Mt Snowdon. Snowdonia National park is the largest national park in Wales and offers hiking, horseback riding, and white water rafting. If you're looking for a break from the traditional sightseeing and castle wandering, consider a day or two in Snowdonia National Park.
St Fagans National History Museum
Celtic history is fascinating and there's no better place to explore the history of these ancient tribes and the history of Wales than St Fagans. But this isn't your typical history museum where visitors walk by display after display of artifacts behind glass. No, St Fagans highlights historic buildings from all over the country. More than 40 buildings have been dismantled and re-erected.
The buildings include farmhouses, watermills, chapels and a school. Visitors can also view circular Celtic houses based on the archaeological remains of actual buildings. The grounds are beautiful and not to be missed. You'll find livestock grazing adjacent to formal gardens.
Finally, don't leave Wales without experiencing a Rugby tournament at the Millennium Stadium in Cardiff. You can take a tour of the stadium before the game and then enjoy this popular sport in the third largest stadium in Britain.
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What to Do in Cornwall:
Cornwall is a small ceremonial county of England. It's recognized as a Celtic nation which means that Celtic language is still spoken there. It sits at the south-west tip of England and is bordered by the Celtic Sea and the English Channel. If you're taking a Celtic vacation, it's one of the popular stops. Additionally, it tends to be a popular vacation spot for folks from the United Kingdom.
When visiting Cornwall there are a number of attractions and activities to consider. Let's take a look at some of the more popular things to see and places to visit in Cornwall.
Prehistoric Sites of Bodmin Moor
In Cornwall and any Celtic nation you'll undoubtedly find a number of ancient and prehistoric sites. It's not uncommon to find standing stone collections as well as ancient homes. The area of Bodmin Moor is home to a number of prehistoric sites in Cornwall. One such site is near the village of Minions. It's called The Hurlers and is a collection of double stone circles. Folklore tells a story of men who were turned to stone for playing the game of hurling on a Sunday.
Beautiful Beaches
Looking for an opportunity to enjoy the seaside? Gwithian Towans Beach is a favourite destination for surfers, sea-birds and seals. It's a wonderful place for both adults and children. With sand dunes at your back and rock pools near the shore, children can enjoy discovering wildlife. Adults will appreciate the nearby shops and restaurants.
The beach is accessed by walking a short trail from a parking lot. Dogs are welcomed on the beach and there is a lifeguard on duty during peak season. Gwithian Towans Beach provides visitors the opportunity to enjoy a beautiful seaside experience with the many conveniences and comforts.
Castle Tours
There are five castles in Cornwall. The castles of Cornwall have a rich history. On your castle tour, check out Pendennis Castle which is said to be one of the sturdiest fortresses built by Henry VIII. St Mawes Castle is one of his most decorated castles. Launceston Castle is an excellent stop for history buffs who can enjoy an exhibition covering more than 1000 years of history. Restormel Castle is one of the most scenic castles in Cornwall.
If you only have time to visit one castle in Cornwall, consider making it Tintagel Castle, which is said to be the birthplace of King Author. Merlin's cave is nearby and another fun attraction to visit.
There are an abundance of interesting activities in Cornwall. One can easily spend the day shopping and eating or enjoying nature and learning about the history of the area. Be sure to make Cornwall a stop on your next Celtic Vacation.
What to Pack for a Trip to Scotland:
If you're headed to Scotland for a Celtic vacation then it's essential to make sure you pack well. There are a lot of varied activities to enjoy in Scotland, from touring ancient castles to enjoying a night on the town. Scotland is a geographically diverse region which brings with it unique packing challenges. As with any coastal country, the weather can change quickly which means it's important to be prepared.
The following list of items will help you make sure to enjoy your trip to Scotland without worrying about whether you've packed accordingly.
Outerwear
Whether you're in Scotland during the summer or winter, it's always important to have a coat. The weather is often damp and humid which can make the air temperature feel a bit colder. In the summertime make sure to have a windbreaker and/or a jacket. In the spring, fall, and winter the temperatures can dip quite low. Winter weather gear is essential.
Rain Gear
If you're in Scotland, expect rain. It rains often and sometimes with ferocity. This doesn't seem to bother the people of this great country at all. In fact, they tend to be outdoorsy folks. While you can undoubtedly find rain gear to purchase on your trip, it makes financial sense to bring your own. Bring a rain jacket and boots. If you want to make sure to stay dry, consider rain pants and an umbrella as well.
Clothing
Layers are the way to go in Scotland. You may find that during the day you're peeling off layers and down to a t-shirt by midday, and by the end of the evening you're wearing a sweater and a coat. Pack long pants as well, and if you're hiking then don't forget to pack appropriate clothing and shoes. For any traveling excursion, good walking shoes are a must. This is particularly true in Scotland where you may be hiking or walking through ancient ruins and castles.
The Extras
Be sure to pack a camera. Scotland is one of the most beautiful countries in the world and you'll want to capture every moment. If you're bringing electronic devices that need to be plugged in, you'll also want to pack an adaptor or buy one when you arrive. You'll need a three rectangular pin adapter. Don't forget toiletries and any medicines you'll need when you're there. If you're camping then you'll want to bring your camping supplies as well.
Enjoy your time in Scotland. Pack for wet weather and be prepared for anything. Preparation will ensure an enjoyable trip and memories of a lifetime.
Three Reasons to Travel to the Isle Of Man:
If you're looking for a unique travel destination the Isle of Man may be your ideal location. Located in the Irish Sea between Great Britain and Ireland, the Isle of Man is part of the British Isles. It's not part of the UK which means it has its own government and currency (although pounds sterling are also used).
A Step Back in Time
Miles and miles of rugged coastline give the Isle of Man an almost exotic appeal. You feel as if you've stepped back in time to a land that is new and undiscovered. Yet the horse-drawn carriages found in some quaint seaside villages portray a different era. 19th century buildings can be found lining the shore where you can enjoy the unique variety of boutiques and high end shops.
You can visit ancient castles, explore labyrinths, and even hang out with ghosts with a Castle Rushen ghost tour. If you enjoy ghosts and all things un-dead you might also enjoy Meayll Hill. There you'll find the site of twelve burial chambers and the largest Neolithic tomb in the British Isles at Cashtal yn Ard.
Nature in Abundance
More than 40% of the land on the Isle of Man is unpopulated. There is abundant opportunity to enjoy nature. Glen Maye provides an enjoyable hike to picturesque waterfalls. The hike then ends at a secluded beach. Glen Maye is just one of eighteen national glens. They provide visitors the opportunity to enjoy both the beaches and the mountains.
If you are an animal lover then you'll enjoy the Calf of Man nature reserve and bird observatory. Visitors can often see seals basking in the sun on the rocks. The Ayres is an internationally renowned wildlife area where animal lovers are often able to enjoy a varied scene of birds, seals and sharks.
Dark Sky Locations
The Isle of Man has been identified as one of the best places in the world to enjoy the night sky. The absence of surrounding lights and light pollution combined with their location means that visitors can often enjoy unaided and detailed views of galaxies far away.
Bring a telescope and you can see even more. It's not uncommon for people to be able to enjoy the Northern Lights.
In addition to a wealth of opportunities to experience a unique and ancient island, the Isle of Man is also rich with hotels, restaurants, and an opportunity to learn, enjoy, and embrace culture. If you're looking for a special vacation, you can't go wrong with a trip to the Isle of Man.
Brittany Highlights for your Celtic Vacation:
Brittany, France is a unique Celtic nation. True, all of the Celtic nations have a rich history. You can find ancient castles, ruins, rock formations and amazing architecture in Celtic lands. However, Brittany offers something special. If you're taking a vacation to France or exploring the Celtic nations then consider stopping by Brittany and enjoying some of the area's finest highlights.
The Pink Granite Coast
The coastline of Brittany between Perros-Guirec and the port of Ploumanac'h exhibits some of the most unique rocks. They're pink. It's called the Pink Granite coastline and the rock formations are something that must be experienced. You can add to the day by enjoying the sandy beaches in the area, which Brittany is famous for. You can also enjoy bird watching and watersports in the area.
Carnac Stones
The city of Carnac is famous for one thing, the standing stone structures. The standing stones, also known as menhirs, were made from local rock and built by the pre-Celtic people of the area. The area is the largest collection of standing stones; there are more than 10,000 of these Neolithic structures.
Legend says that the statues, where are erected in straight lines, are the remnants of a Roman legion that was turned to stone by Merlin the great wizard. Another theory on the presence of the stones is that each stone was erected to honour a family member that has passed - much like gravestones today.
St Malo
This city is a destination all by itself. It's a port city in Brittany that is walled off. It was fortified during the middle ages and has a history of piracy. Destinations to note include:
* The château of Saint-Malo; be sure to visit the museum
* The Cathedral of St. Vincent
* The Great Aquarium Saint-Malo
* The Labyrinthe du Corsaire
* The Pointe de la Varde, a park
* Fort National and Fort de la Conchée
Outside the walled city you can take a night-time hike known as the du Clair de Lune or the moonlight promenade. The hike is a two-hour guided walk along a seaside trail. In addition to views of the Rance River estuary and the walled city, you'll learn about the city's great history.
It's quite easy to feel overwhelmed by all there is to do and see in the beautiful Brittany countryside. You can tour castles, enjoy rugged shoreline, shop and eat from sunup to sundown. If you have the great pleasure to visit this lovely Celtic nation, be sure to stop by and enjoy the highlights of St Malo, the Pink Granite Coast and the Carnac Stones.
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A study on using genetic niching for query optimisation in document retrieval
1
2
1 IRIT SIG Université de Toulouse III, 118 Route de Narbonne, 31062 Toulouse, France
France
Mohand Boughanem Lynda Tamine
2
ISYCOM/ GRIMM Université de Toulouse II, 5 Allées A. Machado, 31058 Toulouse Cedex, firstname.lastname@example.org, email@example.com
Abstract. This paper presents a new genetic approach for query optimisation in document retrieval. The main contribution of the paper is to show the effectiveness of the genetic niching technique to reach multiple relevant regions of the document space. Moreover, suitable merging procedures have been proposed in order to improve the retrieval evaluation. Experimental results obtained using a TREC sub-collection indicate that the proposed approach is promising for applications.
KEY WORDS: Information retrieval , multiple query evaluation, genetic algorithm, niching
1. Introduction
The focus of our study is on the retrieval process of an information retrieval system using query operations. In fact, as observed with web search engines, the users might need to reformulate their queries in the hope of retrieving additional useful documents. Several approaches for improving the user query formulation have been proposed in information retrieval area. The approaches are grouped into two main categories. In the first category, relevance feedback methods are used for query expansion and term reweighting [22], [24] ,[21].
The web is becoming a universal repository of human knowledge, which has allowed unprecedent sharing of ideas and information in a very large scale. As an immediate consequence, the area of information retrieval has grown well beyond its primary goal of indexing text and searching for useful document in a collection. Nowadays, research in information retrieval includes modelling, system architecture, data visualisation, etc.
In the second category, the global approach is based on information derived from the context of the document retrieved. Two main strategies have been proposed: local clustering [1], [28] and global analysis [20] [25] or a combination of both local and global context [18].
In this work, we propose a strategy for multiple query reformulation using both relevance feedback techniques and context query improvement methods. More precisely, we exploit genetic techniques to handle the process of query optimisation.
Genetic techniques processing query optimisation have been proposed by several authors.
Genetic Algorithms (GA) can be viewed as search procedures that try to find in a solution search space S, a solution s * that maximise a function f called the fitness function. GA use some principle of natural selection and genetics [13]. The GA processes a population of individuals that evolve according to crossover and mutation operators.
Gordon [12] adopted a GA to derive better descriptions of documents. Each document is assigned N descriptions represented by a set of indexing terms. Genetic operators and relevance judgement are applied to the descriptions in order to build the best document descriptions. The author showed that the GA produces better document descriptions than the ones generated by the probabilistic model. Redescription improved the relative density of co-relevant documents by 39,74% after twenty generations and 56,61% after forty generations.
The experiments showed that the queries converge to their relevant documents after six generations.
Yang & Korfhage [29] proposed a GA for query optimisation by reweighting the query term indexing without query expansion. They used a selection operator based on a stochastic sample, a blind crossover at two crossing points, and a classical mutation to renew the population of queries.
Kraft & al [16] apply GA programming in order to improve the weighted Boolean query formulations. Their first experiments showed that the GA programming is a viable method for deriving good queries.
These diffrent works show that the genetic approach is suitable for query optimisation. However, there is still some open questions:
Horng & Yeh [15] propose a novel approach to automatically retrieve keywords and then uses genetic techniques to tune the keywords weights. The effectiveness of the approach is demonstrated by comparing the results obtained to those using a PAT-tree based approach.
- How to elleviate the genetic query drift in order to reach multiple relevant regions of the document space?
- How to define the optimal strategy of combination results?
In this work, we address these questions. Indeed, our goal is to exploit a suitable genetic technique for solving multimodal problems, named niching [11], [17]. Rather than processing a traditional GA which finally generates a unique optimal query corresponding to similar descriptors of assumed relevant documents, the integration of the niching method will tune the genetic exploration in direction of the multiple relevant documents. Furthermore, we propose some utilities to perform the merging of evaluation results.
The remaining of the paper is organised as follows. Section 2 gives an introduction of genetic niching techniques. Section 3 gives the main principles of our approach for query optimisation. Section 4 presents the results and discussion of experiments carried out on a sub-collection of TREC.
2. Multiomodal optimisation using genetic niching
However, the goal of a multimodal optimisation process is to find multiple and diverse optima across the search space of a given problem. Convergence may occur to some degree within local regions but diversity must prevail across the most prominent regions. But, it is well known in GA theory that the selection pressure causes the phenomena of genetic drift which corresponds to the convergence in local regions. Thus, various techniques for reducing the selection pressure have been proposed [2], [11], [9] but are not overly selective as they generally enable to reach geographically close solutions.
GA is stochastic optimisation methods based on principles of evolution and heredity [13]. A GA maintains a population of potential solutions to a given optimisation problem. Each individual is defined using a genotype corresponding to its structure characteristics and also a phenotype corresponding to it's meaning representation in the context of the current optimisation problem. The population of individuals is renewed at each generation using both a fitness measure to evaluate the individuals quality and genetic transformations to reproduce the fittest ones. The children of each generation are produced using selection, crossover and mutation operators. At the termination of the process, a classical GA produces a unique optimal solution corresponding to the fittest individual produced at the last generation.
Dejong [8] has proposed another technique based on an iterative execution of the GA.Using the assumption that the probabilities of reaching the multiple optima are equal, the number of executions required is computed using the following formula:
p : number of optima α = 0.577, Euler constant
However, this method gives bad results in real life applications [26]. In this study, we restrict our efforts on niching techniques. Various other techniques for promoting genetic diversity are presented in [17], [14]. A niching method is based on the formation of subpopulations which explore different regions of the search space.We present in the following, the most common approaches.
2.1. Sequential niching
The approach is based on a sequential location of multiple niches using an iterative run of a traditional GA.Beasly & al [3] present a sophisticated strategy where at the end of each run, the algorithm proposed depresses the fitness function at all points with a certain radius of the fittest solutions. This transformation encourages the optimisation process to explore other area of the search space.
2.2. Ecological niching
This approach is based on the creation and exploitation of multiple environments of evolution. The basic theory of the ecological niching approach propose a simultaneously coevolution of subpopulations of individuals which are implicitly able to use food resources. Individuals that are unable to properly use resources die. Thus, the environment varies over time in its distribution of food resources, but individuals that are geographically close tend to experience the same environment [17]. The sharing [10] and clearing techniques [19] presented below are based on this ecological inspiration.
2.2.1. Sharing technique. Goldberg & Richardson [10] presented an implementation of the concept known as the sharing method. In this study, each individual in a niche can consume a fraction of the available resources: the greater the population size of the niche, the smaller the fraction. This leads towards a steady state in which subpopulation sizes are proportional to the amount of the corresponding available resources. The general formula of sharing fitness function is the following [10]:
x,y : individuals of the population Pop
f(x) : initial fitness function sh(dist(x,y)) : sharing function
The sharing function depends on the distance between two individuals of the population. The simplified version is the following form [10]:
: constant
α
δsh
: dissimilarity threshold
The distance function can be defined in the genotypic or phenotypic space search [9] or their combination [14].
- each individual in a given niche, regardless of the distance measure , is always closer to every individual of its own niche than to any individual of another niche,
Mahfoud [17] applied the principle of perfect discrimination of the niches which has two main consequences:
- the difference measure is able to determine whether two individuals are members of the same niche.
The author concludes that the sharing technique is most effective in cases of no overlap niches.
2.2.2. Clearing technique. The clearing technique [19] is a niching method based on the sharing ecological inspiration. It is applied after evaluating the fitness of individuals and before applying the selection operator.Like the sharing method, the clearing algorithm uses a dissimilarity measure between individuals to determinate if they belong to the same subpopulation or not. In contrast, the clearing procedure fully attributes the whole resource of a niche to a single individual: the winner. The winner takes all rather than sharing resources with the other individuals of the same niche.
Comparatively to the sharing technique, the complexity of the clearing procedure is lower and is more compatible with elitist strategies [19].
3. Our approach: genetic niching for query optimisation
The retrieval process as shown in figure 1, is based on an iterative feedback evaluation of query niches. A niche represents a set of individual queries exploring a specific region of the document space according to their evaluation results. The genotype representation of an individual query is of the form Qu (qu1, qu2, …, quT).
T : Total number of stemmed terms automatically extracted from the documents q ui : weight of the term i in Q u
The phenotype of an individual query is traduced by its evaluation results in the IRS. The general query optimisation process is done as follows:
)
```
Begin Submit the initial query and do the search Judge the top thousand documents Build the initial population Repeat For each niche of the population do the search build the local list of documents Endfor Build a merged list Renew the niches Judge the top fifteen documents Compute the fitness of each individual query For each niche N (s) of the population Repeat parent1= Selection (N (s) ) parent2= Selection (N (s) ) Crossover (Pc , parent1, parent2,son) Mutation (Pm , son, sonmut) Add_Niche (sonmut,N (s+1) Until Niche_size (N (s+1) ) = Niche_size (N (s) Endfor Until a fixed number of feedback iterations End
```
3.1. The niching method
Regardless of the niching method used, the fitness function must be correlated with the standard goodness measure in IR that is average and precision. Considering this characteristic,we propose two distinct fitness function formulations. Each one is related to a specific strategy of formation of the niches.
In the current study, we applied the sharing technique to build the niches. Our choice is motivated by the fact that we attempt to explore widely the document space.We hope that the analysis of our first experiments using this technique will give us suitable utilities in order to exploit in the future, other niching techniques like the clearing one.
3.1.1. Niching using genotypic sharing. In this case, a niche is a set of individual queries having closed genotypes. The sharing function is the following:
Qu (s)
: individual query at the generation s of the GA
dist : Euclidian distance δ : niching threshold (δ > 0)
The function has the following properties:
1. 1 ) , ( ( 0 ) ( ) ( ≤ ≤ s v s u Q Q dist sh
2. 1 ) 0 ( = sh
The fitness function is computed using the formula:
Furthermore, the niches are perfectly distinct.
where :
dr: relevant document dnr: irrelevant document
Dr: set of relevant documents retrieved across the GA generations
Dr: set of irrelevant documents retrieved across the GA generations
J(Dj , Qu (s)): Jaccard measure
3.1.2. Niching using phenotypic sharing. In this case, the formation of the niches is based on the results (the documents retrieved) of their individual query members rather on their genotypic similarity. The niche structure is defined according to the coniche operators as following:
Qu (s) : indivudial query at generation (s) of the GA
Ds(Qu (s),L): the L top documents retrieved by Qu (s)
Coniche _ Limit: the min number of common documents retrieved by queries of the same niche
In order to maintain distinct niches, we assume to affect an individual query once, to the niche of lower capacity. The fitness function is computed using a formula built on the Guttaman model:
J: Jaccard measure
Dr (s)
dnr: irrelevant document
: set of relevant documents retrieved at the generation( s) of the GA
Dnr (s)
: set of non relevant documents retrieved at the generation( s) of the GA
dr: relevant document
3.2. Genetic operators
The genetic operators defined in our approach [27] are not classical ones as they are not based on the basic structure proposed in GA theory [11]. They have been adopted to take advantage of techniques developed in IR. Thus, we qualify them as knowledge based operators. Adding to this, they are restrictively applied to the niches in order to focus the search in the corresponding directions of the document space. The selection procedure is based on a roulette wheel selection. Crossover and mutation perform a query reformulation using both feedback technique and local context information. The crossover is applied to a pair of individuals that are selected in the same niche, according to the crossover probability Pc. The mutation is applied to an individual query according to a mutation Pm. It consists essentially of reweighting a query term using a relevance measure formula.
3.3. Merging method
At each generation of the GA, the system presents to the user a limited list of new documents. These documents are selected from the whole ones retrieved by all the individual queries of the population, using a specific merging method. Indeed, we investigate two main methods for building the merged list according to two different rank formula.
3.3.1. Full Merging. This merging method runs in two steps.
A ranked list of documents is obtained from each niche of the population by computing the following relevance measure:
Step 1:
Ni : ith niche at the current generation of the GA
RSV(Qu (s),d) : RSV (Retrieval Status Value) of the document at the generation (s) of the GA
Step 2:
The local lists of the documents corresponding to the different niches of the population are merged into a single list using the rank formula:
Nb_Niche (s) : number of niches at the generation s of the GA
The main feature of this relevance measure formula is the use of the fitness value of the niches in order to adjust the global ranking value of the output list of documents. Thus, ranking order given by the fittest niches is more considered when building the outcome list of documents.
3.3.2. Selective merging. This method runs in a single step. Rather than considering the fittest niches, we consider in this case the fittest individual queries and perform a global merging of the corresponding documents retrieved using the rank formula:
Pop (s) : population at the generation (s) of the GA
Qu (S) **: individual queries characterised by a fitness value higher than the average fitness of Pop (s)
The main characteristic of this merging method is the use of the real fitness value of the fittest individual queries rather than the average fitness of the corresponding niches. Thus, we may reduce the error on the relevance assumption of the documents issued from their evaluation.
4. Experiments and results
Prior experiments [5] allowed us to evaluate the main parameters of the GA: crossover and mutation probability. The best performances have been reached for respectively the following values: 0.7, 0.07 and then were chosen for all the remaining experiments presented in this paper.
The experiments were carried out on a sub-collection of TREC-4 corpus. The documents we used are the AP88 newswire. We used 24 queries of TREC-4 (query numbered 1-24). The experiments were run using the Mercure IRS [4] that process the spreading activation technique. Because of the multiple iteration aspect of the search and the use of relevance judgements,the results reported in the paper are based on a residual ranking evaluation [7].
4.1. Effect of the genetic query optimisation
- the first one based on a genetic combination of multiple query evaluation results as described above
At this level, we address the question of how well our genetic combination performs relative to a single query evaluation. For this aim, we compare the performance results issued from two distinct runs:
- the second one is based on a classic single query evaluation as performed in Mercure IRS
In order to make sens to our comparative evaluation, we consider that an iterative single query evaluation process may be based on the scanning of the overall output list, beginning from the top in direction of the bottom, using sub-lists presented to the user. This means that we analyze at each iteration, the following sub-list of documents (a sub-list is composed of 15 documents in the case of our experiments) ordered after the above list presented to the user according to the output list.
Table 1 presents the details of the evaluation results (measured by average precision (Avg Prec), precision at 15 documents cutoff (Prec @ 15) and number of relevant documents retrieved (Rel. Doc)) of the two runs using the merging methods previously presented.
Finally, we compare the retrieval performance of residual lists issued from the same iteration of both single query evaluation and genetic combination process.
Table 1: Retrieval performances
| Single Query Evaluation | |
|---|---|
| Avg Prec Prec @ 15 Rel. Doc | Iter1 Iter2 Iter3 Iter4 Iter5 |
| | 0.12 0.07 0.05 0.03 0.02 0.30 0.25 0.22 0.18 0.17 110(110) 92(203) 82(285) 65(351) 61(412) |
| Genetic Multiple Query Evaluation | |
| Full merging | |
| | Iter1 Iter2 Iter3 Iter4 Iter5 |
| Avg Prec Prec @ 15 Rel. Doc | 0.21 0.04 0.07 0.05 0.03 0.5 0.18 0.20 0.20 0.19 180(180) 65(245) 86(331) 74(406) 69(475) |
| Selective merging | |
| | Iter1 Iter2 Iter3 Iter4 Iter5 |
| Avg Prec Prec @ 15 Rel. Doc | 0.21 0.10 0.07 0.05 0.03 0.5 0.31 0.24 0.20 0.19 180(180) 88(266) 97(366) 75(442) 78(520) |
Table 2 provides a summary of the performance due to our proposed approach measured by the improvement achieved comparatively to the single query evaluation method.
Table 2: Improvements of the genetic approach
| Genetic Multiple Query Evaluation | |
|---|---|
| Full Merging | |
| | Iter1 Iter2 Iter3 Iter4 Iter5 |
| Avg Prec Prec @ 15 Rel. Doc | 75% -43% 40% 67% 50% 67% -28% -9% 11% 12% 63% 20% 16% 15% 15% |
| Selective merging | |
| | Iter1 Iter2 Iter3 Iter4 Iter5 |
As the tables illustrate,the genetic multiple query evaluation approach yields large improvements in average precision, precision at 15 documents cutoff and number of relevant documents, for both merging methods. We note however that the improvements obtained by using the selective merging method are better than those obtained using the full one. In light of these results, it would seem that the query fitness value is more significant than the niches average fitness when merging the evaluation results. This might be due to the probable variation of the performances of the individual queries belonging to the same niche.Furthermore, the results suggest that we should perform a prior selection of the individual queries before merging the corresponding results.
According to these results, we choose the selective merging method to perform the remaining experiments.
4.2. Comparative evaluation of the sharing techniques
This experiment compares the sharing techniques proposed. We report in table 3 the number of relevant documents in top 15 retrieved at each iteration of the GA and cumulative number of relevant documents retrieved at that point, using both genotypic sharing and phenotypic sharing.
Table 3 : Comparative evaluation of the sharing techniques
Table 3 reveals that the phenotypic sharing technique is more effective than the genotypic one. More precisely, the cumulative number of relevant documents retrieved at the fifth generation of the GA is 510 using the genotypic sharing and 520 using the phenotypic sharing. The number of relevant documents retrieved by iteration is also generally higher in the case of using the phenotypic sharing.
These results are according with previous analyses presented in (Mahfoud, 1995) (Talbi, 1999) on the goodness of the phenotypic sharing technique. The main reason might be due to the meaning distance between the genotypic individual representation and its significant phenotypic one.
4.3. Effect of the niching technique
Table 4 shows, for each bin, the cumulative number of relevant documents retrieved at the fifth generation of the GA.
The main goal of using niching technique is to reach different optima for a specific optimisation problem. In the context of our study, niching would allow to recall relevant documents with quite different descriptors. In order to evaluate its precise effect on the search results, we have organised the query collection test into bins. Each bin is characterised by a corresponding average similarity value between relevant documents in fixed intervals: [20 25[, [25 30[, [30 35[.
Table 4: Effect of the niching technique
It can be seen that niching technique improves the results for the first and the second bin with respectively 42% and 45% comparatively to the baseline. In contrast, the performances decrease in the case of the third bin. This might be due to the fact that because of the related quite important distance between relevant documents, the convergence of the GA becomes slow.
Considering this assumption, we have developed this experimentation by running the 6 th iteration of the GA for especially the third bin of queries. Table 5 shows the effect of the niching technique on the cumulative number in the top 15 retrieved at this iteration.
Table 5: Effect of niching at the 6th iteration of the GA
We notice clearly that the results are better when using niching technique at the following iteration of the GA (4,9 % of improvement). This suggests that in order to increase the convergence of the GA, it might be interesting to use more suitable combination between the coniche operator definition and prior user relevance judgements.
Conclusion
Prior experiments have been performed on TREC6 comparing genetic query evaluation and single pass search equivalent to Rocchio type search (Boughanem & al, 2000). The results have shown that the genetic approach is more effective particularly to improve recall.
In this paper, we have described a genetic approach for query optimisation in information retrieval. This approach takes into account the relevance multimodality problem in document retrieval by using an interactive retrieval process based on niching technique.
We have showed in this study, that adding niching technique associated with suitable merging formula improves the exploration of the document space. Indeed, the approach has been applied to a sub-collection of TREC4 with success.
Finally, we believe that genetic niching provide interesting possibilities to solve the
Additional work is certainly necessary to analyze the evolution of the niches structure across the GA generations in order to improve the merging procedures.
issue of relevance optimisation multimodality in document retrieval.
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1. A. Attar & S. Franenckel (1977). Local Feedback in Full Text Retrieval Systems Journal of the ACM, 397-417, 1977
3. D. Beasly, D.R Bull & R. R Martin (1993). A sequential niche technique for multimodal function optimization, Evolutionary Computation, 1(2) : pp 101125
5. M. Boughanem, C. Chrisment & L.Tamine (1999). Genetic Approach to Query Space Exploration. Information Retrieval Journal volume 1 N°3 , pp175-192
4. M. Boughanem (1997). Query modification based on relevance backpropagation, In Proceedings of the 5 th International Conference on Computer Assisted Information Searching on Internet (RIAO'97), Montreal pp 469-487
6. M. Boughanem, C. Chrisment, J. Mothe, C. Soule-Dupuy & L. Tamine (2000). Chapter in Connectionist and Genetic Approaches to perform IR, Soft Computing, Techniques and Application, Crestani & Pasi Eds, pp 173-196
7. Chang Y K, Cirillo G C and Razon J (1971). Evaluation of feedback retrieval using modified freezing, residual collections and test and control groups. In: the Smart retrieval system: Experiments in automatic document processig, Prentice Hall Inc, chap 17, pp 355-370
8. K. A Dejong (1975). An analysis of the behavior of a class of genetic adaptive systems, Doctocal dissertation University of Michigan,. Dissertation abstracts International 36 (10), 5140B. University Microfilms N°76-9381
10. Goldberg D.E & Richardson (1987). Genetic algorithms with sharing for multimodal function optimization, in Proceedings of the second International Conference on Genetic Algorithm (ICGA) , pp 41-49
9. C.M Fonseca & P. J Fleming (1995). Multi-objective genetic algorithms made easy: selection, sharing and mating restrictions, In IEEE International Conference in Engineering Systems: Innovations and Application, pp 45-52, Sheffield, UK
11. Goldberg D.E (1989) : Genetic Algorithms in Search, Optimisation and Machine Learning, Edition Addison Wesley 1989
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12. M. Gordon (1988) . Probabilistic and genetic algorithms for document retrieval, Communications of the ACM pp 1208-1218
14. J. Horn (1997). The nature of niching : Genetic algorithms and the evolution of optimal cooperative populations, PhD thesis, university of Illinois at Urbana, Champaign
16. Kraft DH, Petry FE, Buckles BP and Sadisavan T (1995). Applying genetic algorithms to information retrieval system via relevance feedback, In Bosc and Kacprzyk J Eds, Fuzziness in Database Management Systems Studies in Fuzziness Series, Physica Verlag, Heidelberg, Germany pp 330-344
15. Horng J.T & Yeh C.C (2000). Applying genetic algorithms to query optimisation in document retrieval, In Information Processing and Management 36(2000) pp 737-759
17. Mahfoud S. W (1995). Niching methods for genetic algorithms, PhD thesis, university of Illinois at Urbana, Champaign, 1995
19. Petrowski A. (1997) . A clearing procedure as a niching method for genetic algorithms. In the Proceedings of the IEE International Conference on Evolutionary Computation (ICEC), Nagoya, Japan
18. R. Mandala, T. Tokunaga & H. Takana. Combining multiple evidence from different types of thesaurus for query expansion, In Proceedings of the 22 th Annual International ACM SIGIR, Conference on research and development in information retrieval, August 1999, Buckley USA
20. Y. Qiu & H.P. Frei, (1993). Concept Based Query Expansion. In Proceedings of the 16th ACM SIGIR Conference on Research and Development in Information Retrieval, 160-169, Pittsburg, USA 1993
22. Rocchio(1971). Relevance Feedback in Information Retrieval, in The Smart System Experiments in Automatic Document Processing, G.Salton, Editor, Prentice-Hall, Inc., Englewood Cliffs, NJ, pp 313-23, 1971
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26. E.G Talbi (1999). Métaheuristiques pour l'optimisation combinatoire multiobjectifs : Etat de l'art, Rapport CNET (France Telecom) Octobre 1999
25. Schutze H.& Pedersen J. (1997). A Cooccurrence- Based Thesaurus and two Applications to Information Retrieval, Information Processing & Management, 33(3) : pp 307-318, 1997
27. L. Tamine & M. Boughanem (20001). Un algorithme génétique spécifique à une évaluation multi-requêtes dans un système de recherche d'information, journal Information Intelligence et Interaction, volume 1 n°=1, september 2001
29. J.J Yang & R.R Korfhage (1993). Query optimisation in information retrieval using genetic Algorithms, in Proceedings of the fifth International Conference on Genetic Algorithms (ICGA), pp 603-611, Urbana, IL
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Conference on Rights of Bhutanese Refugees: Contestations and Way forwards
6 July 2011
Damak, Jhapa
Organizers
South Asia Alliance for Poverty Eradication (SAAPE) Vikas Adhyan Kendra (VAK), India NGO Federation of Nepal (NFN)
1. Introductions
Bhutanese refugees issue in Nepal has been the major problem since in 1990 as Bhutan government has indiscriminately forced a section of its citizen to evacuate the country. Since then, within Bhutan itself and in Nepal have gone a number of political changes and at this movement Bhutan is in a peculiar situation. The monarch himself, perhaps learning from the Nepal occurrences, announced the inauguration of a 'democratic polity'. A peculiar version of democracy and party politics was introduced into the country with a royal decree. (At the same time, the country also carried out the exercise to measure the 'national happiness index'.) This move, however disguised, underlines the fact that rights and almost citizenship had been defined in Bhutan in ethnic terms. (The President of Sri Lanka will love this arrangement!) All the national programmes and policies excluded from their ambit the vast population of Nepalese speaking people who are also part of the country. The move – now quite a few years old – has brought nothing but destitution to hundreds of thousands of people who are forced to live in abysmal conditions in refugee camps in Nepal and India – as displaced and stateless persons. The Government of Bhutan refuses to consider the plight of these people and hopes to consolidate and perpetuate its rule on an ethnic basis. The insistence on observation of one culture, including dress codes, is part of the same project. The report on Bhutanese refugees reflects the refugee question in some details based on the conference organised on 6 July 2011 at Damak, Jhapa.
About 100 people participated in the conference representing diverse stakeholders such as Nepal's major political parties, representatives of Bhutan's political parties in exile, HR CSOs and the activists and leaders of refugee's rights movements. Large number of representatives from different refugees' camps also participated in the programme.
2. Issues and concerns
To begin with the Bhutan current situations there are no human rights organizations operating inside Bhutan. The judiciary is not free to practice jurisprudence. The constitution does not provide space for human rights commission which should have been an integral part of the democratization process. The human rights groups which have been advocating from exile are not allowed establishing offices in the country. There are numerous incidences of human rights violation; people with differing political viewpoints are not tolerated. Many political prisoners are languishing in prisons without fair trial based on internationally accepted legal practices.
There are over 130,000 Bhutanese individuals living outside the country for the fear of political persecution. Of the 110,000 registered Bhutanese asylum seekers in Nepal, not a single individual has returned to Bhutan. The international effort to relocate the refugees in third countries has not picked up momentum. Hardly 10,000 individuals would be resettled by the end of 2008; more than 50% of the refugee population has not shown interest in third country resettlement. The government continues to state that there are plus 80,000 plus people of Nepali origin in Bhutan who are considered non-Bhutanese. Bhutan observers opine that the regime in Thimphu is preparing grounds to undertake legal ethnic cleansing from the remaining Lhotsampa population in Bhutan.
3. Reflections from the participants
Dr. Bhampa Rai- refugees and activist of Bhutanese refugees' rights, has presented the issues of the refugees they have been encountering since long. Government of Bhutan is reluctant to recognize as refugees who have been living since 1990. Government of Nepal is also seems to not taking the issues seriously and sincerely. If the government of Nepal would have taken this seriously, this problem would have been solved long before. Political parties of Nepal must take the issues seriously. If Nepali from India will return to Nepal as refugees, what will happen to Nepal as there are 30 million Nepali in India? In Bhutan there is no democracy and all NGO and INGOs are patronized by the autocratic regime. Third country rehabilitation is also a kind of conspiration in terms of diluting the case of Bhutanese refugee's issues. The organizations that are advocating for third country repartition are also in illusion and are seems to be not in favor of Bhutanese refugees. The role of UNHCR is also not clear. UNHCR is not respecting the rights of Bhutanese refuges. Bhampa quoted the slaying of that the solution of the refugees lies in the political process. The country office of Nepal UNHCR must respect that.
Refugees are suffering from the psychological trauma as they have gone through a number of frustrations. The relevance of the SAARC is not there if the regional organizations seem to be not pro- people. SAAPE should pick up the political issues in terms of campaigning the refugees' rights in South Asia. It should pick up the issues and internationalize this.
DP Kafle- Human rights activists of Bhutanese refugees said that UNHCR had recognized the identity of refugees in the beginning, but in the later stage, UNHCR seems be advocating for third country rehabilitation which means the violation of human rights. Support groups that were formed in the past did not function effectively. He called for the Nepali political parties in helping in resolving the problems. Registration of refuges has been denied in the later stage but they must be registered as the rights of the refugees. Barmeli basti (settlement), as same basti (settlement) etc were established in the past in Nepal, but Bhutanese were considered as refugees and have no rights to be settled as the basti but are kept in refugees camps. He presented three solutions as below:
i) Repartition
ii) Reconciliation and
iii) Third country rehabilitation
Refugees have not asked for regime, they have just asked for rehabilitation back to their country as the rights of Bhutanese citizens. India's role is important. Refugees are not allowed to go to India as they are restricted.
Kishor Bhandari – a representative of refugees' camp shared is feeling that all attempts of roundtable for repatriation of refugees have been failed (all the 15-16 round table). Those who are rehabilated in third country, they face serious problems. We are so victimized. The political parties and human rights organizations and the government of Nepal have not seen to be effective. Many Nepali citizens may have gone to USA in the name of Bhutanese refugees as reported by some of the media.
Yashoda Budhathoki- women representative of refugees' camp said that the refugee issue is not the issue of men and women; it is the issue is of Bhutanese refugees. However, the women are more discriminated- raped, trafficking and other kinds of violence are there in the camps. This must be taken into consideration. Third country settlement has defamed the rights movement of Nepal. It is against the rights of refuges to be repatriated. We want to go to Bhutan so Nepal's CSO, government and political parties help us to go back to home country. Most of the organizations and institutions push for third country rehabilitation.
Rajan Sunuwar-representative of UNHCR said that he don't think UNHCR give pressure for third country rehabilitation. All three doors are open and which comes first depend on the concern government and CSOs and police parties.
Gopal Gadtaula-Journailst presented his analysis saying that families have been fragmented by the policies of third country rehabilitation. They are in trauma. Some of the family members are in camps, some are in Bhutan and some are in third country.
Father Amal Raj from Caritas said that they have been involved in advocacy for ensuring the rights of Bhutanese refugees. They want repatriation. These people must go back to Bhutan. Let us build a joint campaign. He said that since last five years the political parties have also not been active. The common people at camps want to return back and breathe fresh air in their soil. Therefore, repartition is extremely important.
Bidhyapati Mishra (Refugees journalist) reflected the recent visit of Bhutan's Prime Minister to Nepal and said that his presentation was so insulting to refugees. The Bhutan PM has asked to Nepal government the evidences that the refugees are Bhutanese citizen. Those who are against the third country rehabilitation, their family members are in third country. I want to go to third country. Because of police record, most of the case does not go to police, if they go police, he said that the record seems to be bad and UNHCR take it negative. Refugees avoid lodging complains in police if the crimes are committed at the camps.
There is some projection that camps are insecure. Corruptions and bribery are big problems. Rehabilitation also a kind of corruption. Third country rehabilitations complex and many people don't understand the process. Some of the people are very poor and they don't have access to rehabilitation. Only elite tend to benefit. About 60000 people have no information and no access to the process.
Thinle Penjor President of Duke national Congress –democratic has said that issues of Bhutanese refuges have not been national issues in Nepal. All the people in third country rehabilitated are confused. In some camps, people are marginalized and they don't have any idea about what is going on in the process. Need to put pressure to Nepal government. Refugees is political problems so it needs to be resolved politically. National campaign, regional campaign and international campaign at SAARC summit time every year have sent their concern about the refuges but bilateral deal does not enter in SAARC business.
All attempts form governments turned to be as lip services. Without democratizing the Bhutanese regime, repartition may end suppressions and oppressions. Need a democratic state first. Bhutan government has made refuges, not Nepal government or Indian Government.
Chhabi Kharel- a refugees activists said that with the backing of Indian support, the citizens of Bhutan were forced to leave the country by the Bhutan's Army. In Bhutan, there are a number of people in jail who are fighting for democracy. Indian regimes also marginalized the Bhutanese people. This year polices and programme of Nepal's government, there is no provision for Bhutanese refugees. This is blunder of Nepali government of if they think that third country rehabilitation solves the problem. Bhutan has a lot of opportunities, but USA has denied that and pushed us to be in their country and this act is a gross violation of human rights. UNHCR has not capture the reality of the problems.
Devendra Dahal- leader of CPN-UML said that Bhutan government has not recognized the refugees as refugees, we should protest for this act of Bhutan government. UNHCR has been blamed as violation of human rights of refugees as it has been pushing for third country rehabilitation. Third country settlement has diverted the issues. Bhutan political parties and campaigners have also not come in common ground yet. Nepal's political parties are together with the struggle of refuges rights for example in Kakatvita we had been injured by the police attack. India has not considered this as an issue, as it always avoid the problem.
Third country rehabilitation does not solve the problem as those who are in third country they should demand their rights to be returned to Bhutan even from USA or other third countries. Some people have done good things in USA as all are not negative. UML express our solidarity to the rights of Bhutanese refugees. We provide moral support to the democratic movement of Bhutan. After so called democracy proclaimed in Bhutan, the issue if democracy in Bhutan has been sidelined.
Sher B Bhattarai- leader of Nepali Congress express his party's solidarity to the struggle of Bhutanese refuges. We also went to Mechi bridge and been injured by the police. Bhutanese refugees are fighting for their rights since 1990. Nepali congress has enjoyed the state power several times since 1990 and NC has put forwarded the agenda of the issue to the government of Nepal. The refugees must be repatriated to their home country. This is the basic rights of refugees. We want to resolve the issue immediately. Bhutanese refugees must be united to win the struggle. The donors and UN agencies have divided the refugees and behaved as Business Company. IOM has acted as Business Company to make profit. UNHCR and IOM have presented all rosy pictures and give illusions about third country.
Durga Chaulagain of UCPN Maoist said that all the issues being discussed are very relevant and the issue is more or less same that Maoist Party has been picking up at this moment. Bhutanese regime is autocratic and refused its citizens. The refugees issue is class issue as the refugees are fighting with the autocratic class in Bhutan. Nepal's national political parties seem to have not reached in consensus (common understanding) on the Bhutanese refugees issues. India has also played the role in dividing parties in this issue. If the Indian establishment does not seem to be positives, it takes more several years for resolving this issue. In the beginning, there were a number of actors involved in supporting the case of refugees, but in the later stage, most of the organizations have no interests in engaging with. Bhutanese are considered as slave in third country and have no dignified life. Third country rehabilitation is not solution. Such type of conference needs to be organized by the political parties. Parties should lead these issues. Bhutan government had sent a mission to identify the refugees, but the mission become reluctant to recognize all as Bhutanese refugees.
Sharada Timsina- a representative of Sanischare camp said that about 40% of the refuges have gone to third country. He said that to be exiled is panic. All history may collapse. So we came up with the idea of museum. History, status, location, documentary, documentation of struggle, photographs etc. People are fragmented with different reasons. Museum may unite the refuges and will have a common understanding. I don't believe that we can be repatriated. The political parties must enter to Bhutan and fight for democracy, only then Bhutanese refugees will have their rights.
TR Rai- camp Secretary of Khudnabari said that we are fighting for democracy and we are being blamed as terrorist. Fundamental rights must be defended. He said three isms as below:
- Rastrabad (nationalism)
- Awasarbad (opportunism)
- Pujibad (capitalism)
Bhutanese refugees want rastrabad (nationalism). Third country rehabilitation is awasarbad (opportunism) and pujibad (capitalism). Camp consolidation concept also puts refugees in pressures. For 17 years we stayed in one place, but again we were transferred to other places and the relationship with the community has been collapsed. Refuges have disappeared as the people did not have capacity to put their concerns to the authority and were not registered. UNHCR's polices- under age children they do not receive the rations.
Santa Bikram- a refugee said that first priority is given to third county rehabilitation which is wrong. We also need to be united so that our cause also becomes strong.
Many voices are raised in international issues, but have not been heard said TR Regmi- a representative of refugee camp at Beldangi. The voices have been marginalized. Many Bhutanese are yet to be registered and verified. Bhutan government does not recognize Bhutanese as refugees. Nepali citizens have warmly accepted the refugees and we are very much thankful to them. But Nepal government has not been as active as it should be as the responsible actors to solve the problem of refugees.
Laxmi Neupane- Chairperson of Inter Party Women Alliance, Jhapa and sub secretary of UCPN Maoist said that Government at Mechi Bridge had repressed the movement, but resistant movement was not came so strongly. India has role to play. India has also penetrated at Bhutan and keeping aside the Bhutanese issues India want to be benefitted from Bhutan.
Political movement will end the women discrimination. So Bhutanese women issues are also strongly linked to political movement for liberation. This is also a class issue and the refugee's issues can be resolved through political process. The international agencies have undermined the strength of refugees as the later are not united for their struggle.
Narad Mani Adhikari- a representative of Beldangi camp 1 said that Bhutanese refugee issue is not only national issue; it is also the regional issue. Bhutan's role is important. Unfortunate people are in camp. India claims to be largest democracy but behaving as autocratic regime in terms of Bhutanese refugees. Refugee issues need to be taken to SAARC.
Nandu Paudel- a refugee rights activists of refugee camp said that ration distribution have been the major area of corruption. Those who are in jail, children, and unregistered refugees have not been receiving the ration at camps.
Som Thapa- a human rights activist representing a NGO called INSEC said that problem comes from Bhutan and been also problem in Nepal. Equity and justice is the major framework to deal with the refugees rights. International conventions are also major framework. Human rights movements must be strengthened. Political parties are the major actors and effective role has not been played by the Nepal's political parties. Identity, respect and dignity are important issues to be considered while we talk about the rights of refugees.
Ajit Muriken- immediate past director of Vikas Adhyan Kendra (Mumbai based organization working on Just and Democratic Governance in South Asia) said that we have been engaging since long in the campaign for the rights to Bhutanese Refugees. India is too big and we don't represent Indian establishment, we represent people and CSO. Indian government has double standard. Political issue- India has interest to access to natural resources. Support should come from civil society so form pressure group. Pressure can create positive impact. How we should build an alliance? Camps are getting divided. Resistant should come through the camps. We support your struggle.
Sushovan Dhar of South Asia Alliance for Poverty Eradication (SAAPE) opined that India has a strategic interest to Bhutan for natural resources. Indian ruling class wants to support Bhutan King. As Indian civil society, we have made a number of efforts, but the ruling class is not ready to listen. Bhutanese refugees also love in India as well- around 30000 people are in different parts of India. The third country settlement is an instrument of dividing factor and it divides the refugees. If we talk more on legal framework, it will not help the movements. Legal instrument serves the elite class more than the deprived class. UNHCR policies do not form in Nepal, but it forms somewhere else. So pressure needs to be put to the UNHCR headquarters where polices are formed. As an effort to influence donors' polices Bhutanese delegation also went to EU parliament last year.
Sundara Babu- director of VAK said that I am listening same thing even after 10 years. I have a feeling of some kind of guilty as the people at camps have been deprived of human rights. We will take the issues to People's SAARC and SAARC. If the campaigns are built on then we can raise the issues. Other refugees such as Burmese, Tibetan refugees are also facing same problem.
Sundara asked with refugees what exactly you want from us. How you can come forward? And how we can support you?
4. Suggestions
- Political parties and government of Nepal should put clear agenda to Bhutan.
- Internationalize the issue
- Indian CSOs need to be active in advocating the issues of Bhutanese refugees.
- Ball is in the court of Nepal Government and CSOs. Even if India does not give permission to use their land to go back to Bhutan, refugees can go by plane if the Nepal government and Bhutan government create a conducive environment
- Listing of refugees
- Reconciling the conflict among the refugees
- Political parties should go to Bhutan
- Form joint political front
- Male SAARC summit is important to raise the issues of refugees
- Immediate begin the dialogues between the government and stakeholders
- Call for integrated efforts to political parties
4. Follow-up actions
- Organize dialogue between different stakeholders
- Initiate the political discourse making at political level-consensus making and awareness
- Bring refugees together for joint action as they seem to have different perspectives
- Pressurize for SAARC refugees protocol – refugees issues have been the major problem in South Asia
- Delegation to Home Ministry and Foreign Ministry of Nepal
- Verified (74%) need repatriation for that strong advocacy need to be made by SAAPE.
- Develop link with the CSO of west Bengal that can help in broaden the issues.
- Build relationship to West Bengal Political Party
- Prepare a protocol document (refugees) to present to SAARC
- Lobby with Secretary General of SAARC
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"Everything Here is Good for You"
June 3 rd and 4 th 2009 Newsletter Berries on Bryan Station CSA Farm:
Welcome to your third basket pickup!
Strawberries
Around the Farm
This is our second week for these awesome berries! We're Kentucky Proud! Each member gets a quart of these gems! The variety is called "Jewel", which is appropriate for these yummy treasures! Enjoy the berries fresh or cook with rhubarb for a tasty sauce or pie. These are ripe enough that you should eat them today or tomorrow.
Members are allowed to pick one extra quart this week during your pickup days.
Herbs
This week your choice of herbs includes borage, English thyme, swiss mint, basil, rosemary, sage, dill, oregano, and lemon balm.
Greens
One of your two bags contains a mix of collards, kale, mustard, and ovation greens for sautéing. Simply rinse them and sautee them in olive oil.
Salad Mix
Your second bag contains a mixture of leaf lettuce, baby romaine, spinach and arugula for salads. The blooms on the arugula are edible. We are harvesting lettuce from the front field and you'll notice a crispy texture and some tasty nuance flavors.
Spring Onions
These have "round" leaves and are bluer than the Spring garlic leaves. Use as you would use white onions normally, sautéing with other vegetables. They can also be roasted whole for an interesting addition to Southwestern recipes. At this time during the year you can also cook the stem above the bulb for approx 6 inches.
CHOICE TABLE
We are pleased to offer edible pod sweet peas for the first time this season. Our family prefers to eat them fresh as is. Steaming is also an option. They make a tasty addition to any stir fry recipes that you might have in mind.
This week you have a choice of one of three items from the choice table: rhubarb or radishes or sweet edible pod peas.
organic certification process we received a thorough inspection from a USDA inspector who asked detailed questions about our operations. Everything went well and as soon as the paperwork flows thru Frankfurt we'll be certified as USDA organic!! Thanks for the encouragement that many of you have supplied for us to go thru the official paperwork to back up our organic and sustainable approaches.
* Our big news is that on Monday as a part of our
* We appreciate volunteers! Thanks again to Jo Stone, Annette Fischer and Allison Harnish for helping out. Let us know if you would like to volunteer planting or picking. We also hire many member's teenagers to help with planting!
Go forth and be healthy! We'll see you next week!
Erik Walles & Family (Gayle, Brett & Grant)
4744 Bryan Station Road
Berries on Bryan Station Farm
Lexington, KY 40516
Erik's cell 859-338-1877
Farm: (859)293-0077
firstname.lastname@example.org
RECIPES
Lemon Balm Vinaigrette
* 1 Tbsp. shallots, minced
* 2 Tbsp. lemon balm, minced
* 1/2 tsp. lemon zest
* 6 Tbsp. fresh lemon juice
* 4 Tbsp. white wine vinegar
* 1 tsp. Dijon mustard
* 1 tsp. brown sugar
* 8 Tbsp. vegetable oil
Mix first 7 ingredients together and then slowly blend in the oil. Mix well before serving. This is delicious on salads, especially fish or chicken salads. You can also marinate chicken or fish piece in this mixture before cooking. After cooking, serve the vinaigrette as a sauce. Makes about 2/3 cup. (from Steele-Carlin)
LEMON BALM (MINT) BREAD
1 stick unsalted butter
1/4 c. finely chopped lemon balm leaves
1 c. sugar (I use 2/3 c.)
2 lg. eggs
Pinch of salt
1 1/2 c. sifted flour (I use 1 3/4 c.)
1 tsp. baking powder
Grated rind of lemon (I add 4 tsp. lemon juice)
1/4 c. chopped nuts (optional)
Cream butter with mint leaves; add sugar and beat well - add rest of ingredients. Bake 30-45 minutes at 350 degrees until well done. Grease and flour pans.
Glaze: Juice of 1 lemon, 1/2 cup granulated sugar (I use 1/4 cup), 1/2 cup hot water, and 1/4 cup finely chopped leaves. Mix glaze. When remove bread from oven, let sit in pan and glaze 4-6 hours. Then refrigerate or freeze. Can use any type of mint leaves.
Printed from COOKS.COM
Sautéed Sugar Snap Peas with Carrots and Honey Glaze (from Farmer John)
The fresh, summery flavor of sugar snap peas is set off by the sweetness of lightly cooked carrots and a honey glaze. Sweet simplicity. Friend of the Farm. Serves 3 to 4
1/2–1 pound sugar snap peas
2 tablespoons butter
2 medium carrots, peeled
1 tablespoon honey freshly ground black pepper
1. Remove the strings from both edges of the pea pods (start by gently pulling from the stem).
2. Cut each carrot into thirds. Slice each third, lengthwise, into quarters so that the slices are about the size and shape of the sugar snap peas.
3. Place the carrots in a steamer basket set over 11/2 inches boiling water, cover, and steam until they are just crisp-tender, 3 to 5 minutes. Drain the carrots in a colander.
4. Melt the butter in a large skillet over medium heat. Add the sugar snap peas; cook, stirring frequently, for 5 minutes. Add the carrots. Continue to cook and stir until the peas are bright green and crisp-tender, about 3 minutes. Add the honey and cook for 1 more minute, stirring constantly, until the peas and carrots are thoroughly glazed with the honey.
5. Remove the skillet from heat. Season generously with pepper.
Simple Cooked Greens
Cooking greens in oil or butter over high heat until they are just wilted is a great way to give them an added richness while preserving their fresh taste and delicate texture. Wilted greens mix well with almost anything. They add sophistication to cooked grain or pasta. Topped with grated cheese, a cream sauce, or toasted nuts, they make a complete side dish; dressed with a vinaigrette they become a delicious warm salad. Wilted greens also make a great bed for any meat. They are also wonderful served on their own, simple and elegant, as in this recipe. If you are using greens with hearty stems, such as Swiss chard, cut out the stems, chop them, and sauté them before cooking the leaves to give them enough time to cook. Angelic Organics Kitchen. Serves 4
3 tablespoons butter or olive oil
1 teaspoon minced garlic (about 2 medium cloves)
(optional)
1 pound greens, rinsed, torn or chopped into bite-size
pieces
salt
freshly ground black pepper
extra virgin olive oil
1. Heat the butter or olive oil in a large skillet or pot over medium heat. Add the garlic; sauté for 1 minute.
2. Add the greens immediately after rinsing them, with the water still clinging to the leaves. Cover; cook for 1 minute. (If you are using heartier greens, such as kale or collard greens, add a cup of water to the skillet. Cover; cook for 5 minutes.)
3. Uncover the skillet, add salt to taste (this will ensure the greens stay a bright green), and give the greens a good flip and stir. Cover the skillet again and continue cooking the greens until they are bright green, tender, and wilted to your taste. (For spinach this will be only another minute or two, for Swiss chard 3 to 5 minutes,
and for kale or collard greens, depending on their maturity, this could be up to 20 minutes. Be sure to add more water if it boils away.) Season with pepper and olive oil to taste.
Radishes and Young Turnips
With their bright colors, tidy size, and zesty, satisfying flavor, radishes might make a fun snack food for your family. Sliced or grated, radishes add a wonderful fresh-peppery note to a large range of salads and dishes—yes, even cooked. Tender young turnips often have a mild flavor and a delectable, juicy crispness that can be enjoyed raw, much like a radish. Young turnips are also wonderful cooked, especially in simple recipes that highlight their delicate taste and texture.
Storage
Remove radish or turnip leaves if they are still attached. Refrigerate the unwashed greens in a loosely wrapped plastic bag. Store turnips and radishes dry and unwashed in a plastic bag in the refrigerator for up to a week.
Handling
Scrub radishes and young turnips well to remove any lingering dirt. Trim off the stems and rootlets. Slice, chop, or mince the roots or leave them whole.
Sautéed Radishes with Hard-Cooked Eggs and Spiced Yogurt Sauce (Farmer John)
Serves 4
This dish is based on a recipe from Nepal. Cooked radishes add their peppery succulence to pieces of hard-cooked egg in an intricately flavored, currylike yogurt sauce. Served at room temperature with basmati rice on the side, this makes a marvelous lunch or dinner. Friend of the Farm.
6 large hard-cooked eggs, halved, each half quartered salt
1 scallion, chopped freshly ground black pepper
1 bunch radishes (about 1/2 pound), quartered
2 tablespoons ghee or butter, divided
1 teaspoon ground cardamom
1 teaspoon crushed sesame seeds
1 teaspoon crushed coriander seeds
1 teaspoon ground cumin
1/3 cup chopped fresh cilantro
1 1/4 cups plain yogurt
freshly squeezed juice of 1 lemon (about 3
tablespoons)
1 teaspoon paprika
1. Arrange the hard-cooked egg pieces in a shallow serving dish. Scatter the scallion over the eggs and season with salt and pepper.
2. Melt 1 tablespoon of the ghee or butter in a medium skillet over medium heat. Add the radishes; cook, stirring, until tender, about 8 minutes. Transfer the radishes to a plate and set aside to cool.
3. Let the skillet cool for a couple minutes, then return it to the stove over low heat. Melt the remaining ghee or butter in the skillet. Add the cardamom, coriander, sesame seeds, and cumin; cook, stirring constantly to prevent them from burning, until they are fragrant, 3 to 4 minutes. Scrape the spices into a small bowl and set aside to cool.
4. Put the yogurt in a medium bowl. If it is firm yogurt, beat it vigorously with a fork or whisk until creamy. Add the cooled spices, cilantro, lemon juice, and paprika; stir to combine. Season with salt and pepper to taste.
5. Arrange the cooked radishes over the eggs and scallions in the serving dish. Pour the yogurt sauce evenly over the dish. Serve immediately.
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Organizational Results Research Report
February 2008 OR08.015
FINAL REPORT RI07-030
Assessing MoDOT's Efforts to Provide the Right Transportation Solution
TRACKER Measure 9j For Fiscal Year 2008
Prepared for the Missouri Department of Transportation Organizational Results by
Lance Gentry Heartland Market Research LLC
February 2008
The opinions, findings, and conclusions documented in this report are those of the principal investigator. They are not necessarily those of the Missouri Department of Transportation, the United States Department of Transportation, nor the Federal Highway Administration. This publication does not constitute a standard or regulation.
TECHNICAL REPORT STANDARD TITLE
PAGE
| 1. Report No. OR08-015 | 2.Government Accession No. | 3. Recipient’s Catalog No. |
|---|---|---|
| 4. Title and Subtitle Assessing MoDOT’s Efforts to Provide the Right Transportation Solution | | 5. Report Date February 2008 |
| | | 6. Performing Organization Code RI07-030 |
| 7. Author(s) Lance Gentry, Ph.D. | | 8. Performing Organization Report No. |
| 9. Performing Organization Name and Address Heartland Market Research LLC 12738 CR 8400 Rolla, MO 65401 www.HeartlandMarketResearch.com | | 10. Work Unit No. RI07-030 |
| | | 11. Contract or Grant No. |
| | | 13. Type of Report and Period Covered Final Report |
15. Supplementary Notes
16. Abstract
The basic research design for the project was to sample opinions on a variety of projects spread across the state. When available, a small, medium, and large project from each of the ten MoDOT districts was selected by a regional manager for the project for a total of 29 projects. The sample included 400 addresses per project area for a total of 11,600 Missouri addresses being mailed a copy of the survey.
Each survey was focused on one of 29 individual projects, which was briefly described on the survey, and the majority of survey questions related to the recently completed project, such as determining if the completion of the project increased safety, convenience, and made it easier to drive. In addition, a question was asked about the overall value of the particular project, an overall assessment of MoDOT performance and the greatest transportation problem facing Missouri. Other basic factors, such as project size and miles driven per year were evaluated to check for potential differences in attitudes across Missourians.
Table of Contents
Executive Summary
The Missouri Department of Transportation (MoDOT) has developed the Tracker system to assess performance with tangible results to help MoDOT "provide a world-class transportation system that delights our customers." The Tracker system includes the concept of "Fast projects that are of great value," and an important aspect of this measure is whether Missourians view MoDOT projects as the right transportation solution. To assess customer satisfaction with MoDOT projects, a mail survey was conducted in fall 2007 by Heartland Market Research LLC. 2,361 Missourians returned a valid survey questionnaire so the margin of error for the analysis is approximately plus or minus 2.06 percent.
The basic research design for the project was to sample opinions on a variety of projects spread across the state as was done in the previous fiscal year. When available, a small, medium, and large project from each of the ten MoDOT districts was selected by a regional manager for the project for a total of 29 projects. Then Heartland drew a sample of residents from one or more ZIP code areas as appropriate for each project which was reviewed by the appropriate MoDOT district. The sample included 400 addresses per project area for a total of 11,600 Missouri addresses being mailed a copy of the survey. Despite this effort to keep the number of addresses even across the districts and projects, the response rate varied considerably by project area.
Each survey was focused on one of 29 individual projects, which was briefly described on the survey, and the majority of survey questions related to the recently completed project, such as determining if the completion of the project increased safety, convenience, and made it easier to drive. In addition, a question was asked about the overall value of the particular project, an overall assessment of MoDOT performance and the greatest transportation problem facing Missouri. Other basic factors, such as project size and miles driven per year were evaluated to check for potential differences in attitudes across Missourians.
The results show that most Missourians are very satisfied with both the local project and with MoDOT's overall efforts. Based upon their responses, we know that these opinions are mostly bases upon exposure to the local projects. 93.8% of the respondents were either "very" or "fairly" familiar with the project roadway. 73.2% of the respondents were regular users of the affected roadway (defined as using it at least once per week). The majority of respondents thought that the project made the roadway safer (94.6%), more convenient (90.8%), less congested (81.1%), easier to drive (92.9%), better marked (89.9%), and was the right transportation solution (93.9%). On a more general measure, 84.0% of the respondents stated that they were satisfied with MoDOT's efforts to provide a quality transportation system in Missouri.
1
Background
MoDOT's mission is to "provide a world-class transportation system that delights our customers." The public's perception of MoDOT's performance is crucial to the long-term success of the agency, and an important aspect of the Tracker measure is whether Missouri citizens view MoDOT projects as the right transportation solution. The Tracker system assesses tangible results related to MoDOT's mission, and one of the tangible results is the concept of "Fast projects that are of great value." An element of this measure is an assessment of customer satisfaction with these projects.
In the fall of 2006, MoDOT commissioned the Institute of Public Policy at the University of Missouri Columbia to design and implement a new survey to measure and capture this measure. This was done and a report was provided to MoDOT in January 2007. The introduction to this section is from that report. In the fall of 2007, MoDOT commissioned Heartland Market Research LLC to implement the same survey with a new set of projects. The intention was to model this year's survey and methodology on the previous experience, and also make incremental improvements where feasible.
Following last year's approach, 29 different projects, ranging from small to large projects and spread across the ten MoDOT districts in the state, were chosen, and questionnaires were mailed to 11,600 citizens living near those projects. In addition, the survey examined attitudes on safety, congestion, and ease of use for a particular project in this list of 29 projects (see Project Descriptions and Locations and Appendix C. Survey Instrument).
Project Descriptions and Locations
The descriptions listed below were printed on the appropriate surveys for each project. These descriptions were initially provided by MoDOT, sometimes adjusted by the PI if it was thought that the respondents might have questions, and then the descriptions were reviewed, and sometimes adjusted, by the appropriate district contact. The surveys were sent to one or more zip codes as was thought appropriate for each project. Appendix B. Surveyed Zip Codes has a "pushpin" map of these locations.
| District | Project | Description |
|---|---|---|
| Northwest | L1 | Route I-35 in Daviess County: This project rehabilitated 9.5 miles of poor pavement, between Route C and Route DD, by placing an 8" concrete surface on the roadway. Additional work included the rehabilitation of 4 bridges. |
| Northwest | M1 | Route 136 in Harrison County. This project reconstructed 0.7 miles of Route 136 in Bethany, between I-35 and Route 69, and improved the existing two-lane facility to a three-lane facility with the center lane served as a two-way, left-turn lane. |
| Northwest | S1 | Route H in Buchanan County: This project resurfaced and added three feet of base widening between Route A and Route 371. The road runs in front of one of the Buchanan County Schools (Mid-Buchanan). The school requested the roadway widening and shoulder improvements to improve the safety of school busses and students who drive to school. |
| North Central | L2 | Route 63 expansion project in Randolph County: This project added 10 miles of new lanes to create a four-lane highway from Moberly to Jacksonville. |
| North Central | M2 | Route 6 in Grundy County: This project resurfaced 10 miles from the Daviess County line to east of the Rt. 65 intersection in Trenton; including bridge rehabilitations, new shoulders and guardrail. |
| North Central | S2 | Business Route 65 (Odell Street) in Saline County: This resurfacing project in Marshall included aligning the intersection, providing curb, gutters and storm sewers. |
| District | Project | Description |
|---|---|---|
| Northeast | L3 | Route 61 in Lewis County: This project will expand the highway to four lanes, and will be completed in June 2008. |
| Northeast | M3 | Route 19 & I-70 outer road in Montgomery County: This project added signals and turn lanes to the intersection in New Florence. |
| Northeast | S3 | Route 15 in Audrain County: Bridge replacement project just north of Mexico. The project was accelerated by one year through community collaboration that supported closure of the road to expedite construction. |
| Kansas City Area | L4 | Route I-435 in Jackson County: This project rehabilitated the bridge over the Missouri River. It was completed in November 2006. |
| Kansas City Area | M4 | Route I-470 in Jackson County: This project resurfaced the route from west of Raytown Road to north of Bolin Road. It was completed in August 2006. |
| Kansas City Area | S4 | Route I-70 S. Outer Road in Lafayette County: This project replaced the bridge over Horseshoe Creek, just east of the Jackson County line. It was completed in October 2006. |
| Central | M5 | Route 54 in Cole County: This project resurfaced the eastbound lanes and added turn lanes from Route E to east of the Moreau River. |
| Central | S5 | Route 65 in Benton County: This safety project improved the alignment by correcting a curve north of Warsaw. |
| St. Louis Area | L6 | Route I-44 in Franklin County. |
| District | Project | Description | Zip Codes |
|---|---|---|---|
| St. Louis Area | S6 | Route DD in St. Charles County: Bridge replacement. | Weldon Springs (63304), New Melle (63365), and Dardenne Prairie (63368) |
| Southwest | L7 | Route I-44 in Newton, Jasper, Lawrence and Greene Counties: This project enhanced safety by installing median guard cable from the Oklahoma state line to Route 360 (James River Freeway). | Joplin (64801), Sarcoxie (64862), Mount Vernon (65712), and Republic (65738) |
| Southwest | M7 | Route 249 in Jasper County: This project added lanes to create a dual divided freeway from Route 66 (7th Street) to 20th Street in Joplin. | Duenweg (64841) and Joplin (64801, 64804) |
| Southwest | S7 | Route 54 in Vernon County: This project involved resurfacing, diamond grinding and shoulder widening from the Kansas state line to Route 71. | Deerfield (64841) and Nevada (64772) |
| Springfield Area | L8 | Route 65 in Taney County: This project constructed a new single-point urban interchange at Hollister and upgraded Route 65 to a four-lane freeway through the city limits of Hollister from north of Business Route 65 to south of Route 165. The project was completed in November 2006. | Hollister (65672) |
| Springfield Area | M8 | Route I-44 in Laclede County. This project included coldmilling, asphalt overlay, bridge rehabilitation over the Gasconade River and an unbonded concrete overlay of the eastbound lanes of I-44 between Lebanon and Hazelgreen. The project was completed in November 2006. | Stoutland (65536) and Lebanon (65567) |
| Springfield Area | S8 | Route 160 in Greene County. This project replaced a bridge over the Sac River near Ash Grove. The project was completed in September 2006. | Ash Grove (65604) |
| South Central | L9 | Route 60 in Carter County: Four-lane construction from 3.1 miles east of Route J to 1.0 mile west of Route M. | Freemont (63941) and Van Buren (63965) |
| District | Project | Description |
|---|---|---|
| South Central | M9 | Route 63 in Howell County: Grading, drainage, box culvert, paving and signals to upgrade to 4 lanes from 0.4 mile north of Rte. CC to 0.2 mile south of Rte. K in West Plains. |
| South Central | S9 | Route E in Phelps County: Enhancements and roadway widening from I-44 to Rte. 63. |
| Southeast | L10 | Route 412 in Dunklin County: This project was the last phase of an overall upgrade from two to four lanes. This project was for paving the westernmost five miles. The corridor improvements started back in 2001. The overall length of the corridor improvement was approximately 20 miles with this paving job covering the western quarter. This job was completed in June of 2007. |
| Southeast | M10 | Route 61 in Cape Girardeau County: This work was part of the smooth roads initiative and included resurfacing of the road from Jackson to Cape Girardeau. The work was completed around October of 2006. |
| Southeast | S10 | Route 72 in Bollinger County: This project improved Route 72 at its intersection with Route 51 in Patton. There were sight distance problems with the intersection as it was originally built and this job sought to cure these problems. Route 72 was lowered just west of 51 and cut some earth away from hills south of the intersection. This allowed for much better sight lines. The project improved about a quarter mile of Route 72. The work was completed around October of 2006. |
Respondents
After accounting for the letters that could not be delivered for various reasons (including residents having moved, died, and/or refused delivery), the sample pool was 10,826 from which 2,361 Missourians responded. The net response rate for this survey was 21.8% percent (gross response rate of 20.4%). In Fiscal Year 2007, with 30 projects, a perfectly even response rate would have resulted in 10% of the responses coming from each district before accounting for undeliverables. The actual distribution was close to this with a low of 7.3% from District 6 and a high of 12.6% from District 9. In Fiscal Year 2008, there were 29 projects (District 5 did not have a large project this year). Thus, a perfectly even response rate would have resulted in 10.3% of the responses coming from each of the nine districts with three projects and 6.9% of the responses coming from District 5. The actual distribution approximated this with the lowest contribution (6.6%) again coming from District 6 and the highest contribution coming from District 3 (12.7%).
Background information on the respondents and several behavioral questions were asked to allow comparisons across groups, such as by miles driven per year, how familiar the respondent is with the roadway, and how often the respondent used the affected section of roadway in the last month.
The mean respondent age was 57 years old (56 years old in FY06) with a median of 58. This year the range was from 18 to 99 years of age. 52.5% of the respondents were female, compared to 43.7% in the previous study. Residents may also be classified by project size. 39.5% (31.4% in FY07) reported on small projects, 30.3% (33.9% in FY07) reported on medium projects, and 30.2% (34.7% in FY07) reported on large projects. Based on both last year's survey and other experience, the mileage question was asked in more respondent-friendly format (i.e., the respondents were asked to select from a range of options instead of estimating a specific number).
The vast majority of the respondents were familiar with the local project used in the study (see Figure 3). Over eighty percent said they were very familiar with the affected roadway while most of the others said they were somewhat or fairly familiar with the roadway. Only 1.5% stated that they were not familiar with the affected roadway.
Respondents were also asked to indicate how often they had used the specified section of the road in the past month (see Figure 4). Almost half of the respondents were very frequent users of the affected road (defined as those who used the affected section of the road almost every day or most weekdays) compared to 30.7% in FY 2006. 73.2% of the respondents were regular users of the affected roadway (defined as using the roadway at least once a week), compared to 58.6% of the responses in FY 2006. Only 5.5% of the respondents indicated that they had not used the affected section of the roadway in the last month.
The respondents from this year's study are both more familiar with the roadway and heavier users of the affected section of the roadway than those from the previous year. This improvement is attributed to the difference in methodology used for creating the mailing list (see Appendix A. Methods and Technical Documentation for details).
Project Assessment
The survey was designed to obtain detailed information about various aspects of a project so that MoDOT could evaluate whether or not Missourians were pleased with all aspects of a project such as safety, convenience, congestion reduction, drivability, and markings. Obviously MoDOT desires to score highly on all of these aspects, but variance among these dimensions can provide constructive input on areas of potential improvement. In addition, one question is asked to measure Missourians' assessment of the overall appropriateness of the local project.
Providing the concrete example of a particular project for citizen assessment offers a number of benefits. First, we know which project the citizen is considering as they make an assessment. If a particular project was not named, different citizens could be considering different local projects. Second, the specific example makes it less likely that a single frustration in the distant past with another project will influence the citizen's assessment of current performance. Third, it makes it less likely that the survey respondent will confuse a MoDOT project with a city or county project in the area.
One of the most important factors, if not the single most important factor, in making the survey meaningful, is in ensuring that the respondents may provide knowledgeable input. Since most Missourians are likely to be familiar with only a small portion of the roads maintained by MoDOT, it is vital to ask respondents about a local project that is probably familiar to the respondent. As discussed in the previous section, the vast majority of the respondents were both familiar with the roadway and regular users of the affected roadway. Using a specific project example provides additional research benefits. We know which project was being evaluated by each respondent, thus MoDOT can better understand and apply the feedback obtained by the survey. In addition, the use of a specific project both reduces the chance of the respondents confusing MoDOT's efforts with that of a city or county project while also differentiating the respondents' general attitude toward MoDOT from their evaluation of a particular project. In other words, based upon the survey design and the respondents' familiarity and frequency of use of the affected roadways, we can have confidence in the information provided in this research by the citizens of Missouri.
In order to facilitate better comparisons of changes from year to year, the statistics used in the project assessment usually do not include the "not sure" percentages. This eliminates a major source of random variability and allows a more accurate observation of change over time. In addition, this methodology is consistent with how MoDOT calculates similar Tracker measures. The Fiscal Year 2007 data discussed in this report has been recalculated with this methodology to enable readers to see changes from year to another.
Safer
One of MoDOT's primary goals is to make Missouri's roads safer. The overwhelming majority of Missourians agree that the local project achieved this goal. Results were similar to the previous year with approximately 95% of respondents agreeing that the project made the road safer. Results were also fairly consistent by various aspects, although those not familiar with the affected roadway (see Figure 7) were much less positive than the other respondents.
Improving Traffic Flow in the Area
Another goal of MoDOT is to improve traffic flow. Two questions were asked to help capture this information. Respondents were asked if the project resulted in the road being "more convenient" and "less congested".
More Convenient
90.8% of Missourians agreed that the project resulted in a more convenient roadway. This is comparable to the 93.5% in FY07. As with the previous set of comparisons, although those not familiar with the affected roadway (see Figure 12) were less positive than the other respondents.
Less Congested
Congestion is one aspect where MoDOT has much less control over the end result compared with other aspects such as safety. In many cases projects are undertaken in areas experience population growth – with populations that continue to grow while the project is under construction, so congestion may not be perceived to be improved even if the roadway is now handling more traffic than it did previously. In addition, many of the projects focused on safety improvements, such as correcting a curve, that may not affect congestion. Nevertheless, 81.1% of Missourians agreed that the project resulted in a less congested roadway (87.5% in FY07).
Interestingly enough, respondents who did not drive were the least likely to agree that the project had resulted in less congestion (see
Figure 18).
Driving Environment
Another goal of the MoDOT improvement projects was to improve the driving environment of the roadways by making them easier to navigate and easier to understand. Two questions were asked to help capture this information. Respondents were asked if the project resulted in the road being "easier to drive" and "better marked". At the request of MoDOT, the phrasing of these questions was slightly adjusted from the previous year to help respondents better understand the survey. While this had the potential for making it more difficulty to make comparisons from last year to this year, fine-tuning the Tracker measure was given a higher priority to ensure that this and future surveys capture the most accurate information possible. In practice, even with the improved wording, the results were quite comparable to that of fiscal year 2007.
Easier to Drive
92.9% of Missourians agreed that the project resulted in a roadway that was easier to drive. This is comparable to the 94.5% in FY07 who stated that their local project resulted in a roadway that was easier to navigate. Results were also fairly consistent by various aspects, although those not familiar with the affected roadway (see Figure 22) and those who do not drive (see Figure 23) were much less positive than the other respondents.
Better Marked
89.9% of Missourians agreed that the project resulted in a roadway that was better marked. This is similar to the 93.2% in FY07 who stated that their local roadway was well marked. Results were also fairly consistent by various aspects, although those not familiar with the affected roadway (see Figure 27) were again less positive than the other respondents.
The Right Transportation Solution
Overall, Missourians had a very positive perception of the projects in this survey with 93.9% of the respondents stating that their local project was the right transportation solution, similar to the 95.5% captured in FY07. Figure 32 is a bit misleading in that it may give the impression that most of the disagreement comes from those who were not familiar with the affected roadway. However, there were only four (4) respondents who were not familiar with the roadway that answered this question (two strongly agreed and two strongly disagreed). Thus while this figure may be useful for initiating discussion on whether or not MoDOT should include responses from those unfamiliar with the affected roadway in future studies, the low number of responses in this category eliminated any significant impact on this year's measure.
Overall MoDOT Efforts to Provide Quality Transportation System
While the other assessment questions capture how respondents feel about a particular project, this question measures the respondents' overall satisfaction with MoDOT's general efforts to provide a quality transportation system. 84.0% of the respondents stated they were satisfied with MoDOT's efforts, virtually identical to FY07 (83.6%).
Greatest Transportation Problem
To help MoDOT continue to understand the priorities of its citizens, last year's question about the greatest transportation problem was repeated. This feedback provides MoDOT with both information on the what is most important to its constituents, but also the ability to track changes in citizen priorities over time.
Given this year's collapse of the Interstate 35 bridge in Minneapolis, it should be expected that the option referencing bridges received a greater number of responses than it did in the previous fiscal year. Given that the graphic images of the bridge collapse pervaded the public airways for quite some time, it is only surprising that this option did not increase by a much larger amount.
While the "greatest" problem has fluctuated a bit from last year to this year, the top three priorities have been remarkable consistent. 81.0% of this year's respondents listed the poor conditions of bridges and roads, narrow roads, or congestion as the greatest transportation problem facing their community compared to 79.4% in FY07.
Conclusion
Overall, the results show that most Missourians are very satisfied with both the local project and with MoDOT's overall efforts. Based upon their responses, we know that these opinions are mostly bases upon exposure to the local projects. 93.8% of the respondents were either "very" or "fairly" familiar with the project roadway. 73.2% of the respondents were regular users of the affected roadway (defined as using it at least once per week). The majority of respondents thought that the project made the roadway safer (94.6%), more convenient (90.8%), less congested (81.1%), easier to drive (92.9%), better marked (89.9%), and was the right transportation solution (93.9%). On a more general measure, 84.0% of the respondents stated that they were satisfied with MoDOT's efforts to provide a quality transportation system in Missouri. As was found last year, the item least under MoDOT's control, congestion, had the greatest room for improvement and even here over 80% of the respondents thought the project reduced congestion.
Over the last two years, Missourians have been very consistent about their top three transportation priorities. In both years, approximately 80% of respondents listed the poor conditions of bridges and roads, narrow roads, or congestion as the greatest transportation problem facing their community.
Appendices
A. Methods and Technical Documentation
Following the methodology used in the previous year, it was determined to mail 400 surveys for each of the 29 projects for a total of 11,600 surveys. The sample of 400 people per project was initially selected by Heartland Market Research based upon geographical assumptions about which people would be likely to be most familiar with the project. The zip code recommendations were then reviewed by each of the ten MoDOT districts for input. In several cases the zip code selections were then revised based upon input from the districts.
Discussions with list broker services were held, but no broker was found that could obtain all of addresses we needed for some of the rural zip codes. Therefore, Heartland met with the State of Missouri's election office and discussed the project with one of their agents. While the State of Missouri has strict laws protecting the privacy of voters, there are times when these lists may be purchased and utilized for research purposes. After meeting with one of their agents, it was determined that this type of research meet the spirit and letter of the law and the list was purchased. According to the US Census, there are approximately 4.45 million adults in Missouri. Amazingly, slightly over 88% of these adults were available on the State of Missouri list. This makes the list of available names used in this project, by far, the most representative list of names possible to obtain. The tradeoff of using this list is that the number of invalid addresses would be higher than the number of addresses on a list obtained by a broker. In other words, this approach was expected to result in a more representative sample that would be more familiar with the projects (in the rural districts where enough addresses could not otherwise be obtained), yet have a greater number of invalid addresses. The results supported these expectations. We had a much greater number of invalid addresses (774 vs 17), but 93.8% of the respondents were either "very" (80.7%) or "fairly" (13.1%) familiar with the affected roadway compared to 84.1% of the respondents who were familiar with the affected roadway in last year's survey (66.9% "very" and 17.2% "fairly"). The net response rate for this year's study was 21.8% compared to last year's net rate of 18.7% (wave 1).
B. Surveyed Zip Codes
The following "push pin" map is based on the specific project zip code and description information available in the main report.
C. Survey Instrument
The next two pages show the front and backside of the survey instrument. On the front page, the respondents' name and address were printed on the survey itself and this was visible through the mailing envelopes' windows. In the red rectangle, a unique project description was printed for each of the twenty-nine projects. The actual descriptions are listed in the previous appendix.
D. Response Rates by District and Project
E. Right Transportation Solution by District and Project
The results from the right transportation solution question have been provided for each project. Readers should use caution when using the information provided to compare projects. Statistically, it is very safe to compare overall results from fiscal year 2007 to fiscal year 2008 as was done in the main document. The margin of error for both FY07 and FY08 was approximately 2%. Since the margin of error can go either way (e.g., low in one year and high in another), the margins of error are cumulative. Therefore, we can be 95% confident that differences between years are truly real changes if the overall difference is at least 4%.
However, the margin of error increases as the sample size decreases. The margin of error for the results presented in this appendix range from a low of 8.98% for Project S5 (n=124) to a high of 22.36% for Project M4 (n=20). However, despite these statistical concerns, these graphs do provide some useful information. For example, many projects were overwhelmingly the right transportation solution in the eyes of the respondents. The question that can be raised by these graphs is why do a few projects have much lower levels of support than other projects?
Overall, do you think this project was the right transportation
*total n excludes respondents answering "Don't know / not sure" to this question
Figure 38: District 2 Overall, do you think this project was the right transportation solution?
90%
*total n excludes respondents answering "Don't know / not sure" to this question
*total n excludes respondents answering "Don't know / not sure" to this question
*total n excludes respondents answering "Don't know / not sure" to this question
Figure 41: District 5
Overall, do you think this project was the right transportation solution?
*total n excludes respondents answering "Don't know / not sure" to this question
Figure 42: District 6
Overall, do you think this project was the right transportation solution?
*total n excludes respondents answering "Don't know / not sure" to this question
Figure 43: District 7
Overall, do you think this project was the right transportation solution?
80%
*total n excludes respondents answering "Don't know / not sure" to this question
*total n excludes respondents answering "Don't know / not sure" to this question
Figure 45: District 9 Overall, do you think this project was the right transportation
solution?
*total n excludes respondents answering "Don't know / not sure" to this question
Figure 46: District 10 Overall, do you think this project was the right transportation
solution?
*total n excludes respondents answering "Don't know / not sure" to this question
Missouri Department of Transportation Organizational Results P. O. Box 270 Jefferson City, MO 65102
573.526.4335 1 888 ASK MODOT email@example.com
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Molecular Study of Sortase Enzyme and Characterization of Some Virulence Factors in Streptococcus pyogenes
Mohammed Sabri A. Razak Rafah Fakri Al-Jebori* College of Medicine,University of Babylon, Babylon, Hilla Iraq. *College of Science, University of Babylon, Babylon, Hilla Iraq. Corresponding author: Rafah Fakri Al-Jebori; email@example.com
Abstract
This study included 90 throat swabs collected from patients suffering from acute pharyngitis who attending to AL-Hilla General Teaching Hospital (ENT unit) during the period from October 2010 to January 2011. The age of the patients ranged from (3 to 63) years.
Only six isolates of Streptococcus pyogenes were obtained. It was observed that only four isolates had the fibrinolytic activity through the production of streptokinase enzyme, while two isolates failed to lyse fibrin, also the present study showed that streptokinase activity became apparent after 3 hours of incubation and clot began to decrease after 10-16 hours and disappeared completely after 24 hours of incubation.
Hyaluronidase activity was investigated, it was found that 50% (3) of GAS isolates give a positive result via the formation of a hallo around the colony and this is an indicator of hyaluronidase activity.
Specific primers for PCR techniques were used for the detection of sortase enzymes (A, B and C). Sortase A was found existed in all GAS strains and this enzyme was designated as housekeeping enzyme. Sortase B and C was also detected ,it was found that only two isolates were positive for both sortase B and C genes. However, only two isolates were found to have all these three enzymes whereas the others contained only the housekeeping one.
الخ لصة
ا
من مجموع09 ( مسحة بلعوميه قد تم الحصول عليها من مرضى تتراوح أعمارهم3 - 33 ) سنة يعانون من التهاب البلعوم من المراجعين إلى مستشفى الحلة الجراحي (وحدة ENT ) للفترة من اكتوبر0909 إلى آذار0900 ,تم عزل ستة عزالت فقط من بكتريا ( المسبحيات القيحية Streptococcus pyogenes . ) ظهر أن أربعة عزالت من بكتريا المسبحيات القيحية لها القابلية على تحليل الفايبرين من خالل أنتاجها النزيم Streptokinase .
كما أظهرت بعض العزالت أن فعالية أنزيم Streptokinase تظهر واضحة بعد ثالثة ساعات من الحضن وأن الخثرة (clot) تب دأ بالتقلص بعد09 - 03 ساعة وتختفي تماما بعد02 ساعة. تم التحري عن فعالية أنزيم Hyaluronidase وقد وجد أن 50% .من العزالت أعطت نتائج موجبة من خالل تكوين منطقة شفافة حول المستعمرة وهذا يعتبر مؤشر على وجود فعالية لهذا األنزيم تم استخدام بادئات نوعية (primers) ( في تقنية تفاعل البلمرة المتسلسل PCR ) للتحري عن الجينات الخاصة بأنزيمات Sortase ( A, B C ) وقد أظهرت النتائج بامتالك كافة العزالت لجين Sortase A في حين عزلتين فقط أظهرتا احتواءها لجين Sortase B و Sortase C .على أية حال فأن نتائج PCR أظهرت بأن عزلتين فقط تمتلك الجينات لألنواع الثالثة من أنزيم Sortase .
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Introduction
roup A streptococci (streptococcus pyogenes) is one of the most important human pathogens causing pharyngitis, The variety of possible disease G
outcomes of a GAS infection is believed to be due in part to the regulated expression of streptococcal virulence factors that are either present on the surface of the bacterium or secreted by the organism. One of the
secreted factors shown to be important for streptococcal virulence is streptokinase, encoded by the ska gene, S. pyogenes can hydrolyze fibrin clot through production of streptokinase. This enzyme play a role as mediator in causation of post streptococcal infection [1].
The another one is Hyaluronidase is an enzyme capable of degrading hyaluronic acid, a major component of the extracellular matrix of body tissues a special kind of polysaccharide found between cells as well as being the major sole component of the capsular material of certain bacteria [2]. Production of hyaluronidase by group A streptococci has been suggested to aid the organism in its spread through the connective tissue.Hence, hyaluronidase has been designated as one of the spreading factors of microbial origin. Although generally considered an extracellular product, it is known that intracellular forms of hyaluronidase which are encoded by phages integrated in the host chromosome may exist [3].
Many of Surface protiens are covalently linked by a sortase enzyme to the cell wall via a C-terminal Lipid x Triglyceride motif [4]. Sortase refers to a group of prokaryotic enzymes which form pili act as both proteases and transpeptidases [5].
Sortase is present in almost all gram-positive bacteria, anchors a range of important surface proteins to the cell wall . Sortase enzymes are cysteine transpeptidases that mediate the covalent attachment of substrate proteins to the cell walls of Grampositive bacteria [6].
In S. pyogenes, sortase A is the housekeeping sortase and was shown experimentally to anchor M protein, protein F, C5a peptidase (ScpA), and protein G-related α2-macroglobulinbinding protein (GRAB) to the cell wall [7] . In addition to sortase A, S.
pyogenes harbors two specialized sortases, associated with the FCT (fibronectin-binding, collagen-binding T antigen) region. Of these, one is specific for T antigen, a major component of the streptococcal pili which refer t o sortase B [8], while the other one called sortase C , recognizes an altered consensus sequence, Lipid x Triglyceride and anchors a protein of unknown function [9] .
Aim of Study
1. Isolate and identify of S. pyogenes from patient with pharyngitis.
2. Investigate on Hyaluronidase activity and Streptokinase activity in bacterial filterate.
3. Detection of Sortase enzymes (A, B, C) in all bacterial isolates by using PCR markers.
Material and Methods
Patients
The sample were collected in AlHilla teaching hospital from patient suffuring from pharyngitis, 90 patient samples taken, six of it is Streptococcus pyogenes positive.
Samples were collected from pharynx by dispossible swab , Strep pyogenes detected by standerd bacteriological methods.
Bacterial culture
The samples were cultured on blood agar base which sublimented with crystal violet 1/50000 ,and incubated at 37 °C over night, the indentification of Gram positive bacteria were performed by clear zoon of β hemolysis around the colonies due to lysis of red blood cells ,and by Gram stain and standerd biochemical method bacitracin positive, catalase negative , oxidase negative , according to Bergys manual for determinative bacteriology[10].
Detection of Streptokinase
Streptokinase was detected according to method mentioned by
Tillett [11].citrated human plasma was used and also Cacl2, the clot disappeared afrer 24hr. of incubation [11].
Detection of Hyaloronidase:
Hyaluronidase was detected according to [13]. Hyaluronic acid was added as substrate .
DNA extraction from Gram positive bacteria
This method are made according to the genomic DNA purification kit supplemented by manufactured company ( promega kit , USA ).The extraction method was depended on lysis by alkali.
PCR was conducted to determine the sortase types which found in isolates by targeting three genes strA ,strB and strC . Each 25µl of PCR reaction mixture for PCR contained 2.5µ l of upstream primer, 2.5 µl of downstream primer, 2.5µl of nuclease free water , 5µl of DNA extraction and 12.5 µl master mix .
Primers for sortase sequence ( Srt A,B ,C ) were obtained from ( BioNeer company ),as mentioned in table(1). Amplification was done by using PCR (cleaver, USA ).
Thermal cycler conditions were as follows
Detection of sortase enzyme types by PCR :-
The conditions of thermal cycle for each primer was investigated in table (1).
Table 1 Primers sequences and PCR condition to detect Sortase genes.
| | Genes | | Primer sequence (5ʹ-3ʹ) | | Size of product bp | | PCR condition | Reference |
|---|---|---|---|---|---|---|---|---|
| Srt A F Srt A R | | CTTAGGATCCGTCTTGCAAGCACAAATGG ATGTTCTCGAGCTAGGTAGATACTTGGTTATAAGA | | 500 | | 94ºC 3min 1x | | |
| | | | | | | 94ºC 2min 65ºC 1min 28x 72ºC 1min | | |
| | | | | | | 72ºC 10min 1x | | |
| Srt B F Srt B R | | GGTGTGGCAAAAGGCTAAGG GCACACACTACTTCTGCCC | | 500 | | 94ºC 5min 1x | | |
| | | | | | | 94ºC 1min 55ºC 1min 30x 72ºC 1min | | |
| | | | | | | 72ºC 10min 1x | | |
| Srt C F Srt CR | GCATTTAAAACAGCTCAACAACAGCC GCCTTTGTTGGTCTTGATTGG | 370 | 95ºC 2.5min 1x | Timothy et al.,2004 [13] |
|---|---|---|---|---|
| | | | 94ºC 30sec 55ºC 1min 30x 72ºC 30sec | |
| | | | 72ºC 7min 1x | |
| | | | 94ºC 30sec 55ºC 30sec 30x 72ºC 30sec | |
| | | | 72ºC 7min 1x | |
The PCR amplification products were visualized by gel electrophoresis on 1% agarose gel for 40 min at 60 V., The size of the amplicons were determined by comparision to the 100 bp ladder (promega, USA).
Results
In this study, Among 90 throat swabs obtained from patients with age group ranged from (3 to 63) years, suffering from pharyngitis , who admitting to AL-Hilla General Teaching Hospital (ENT unit), for the period from October 2010 to January 2011. Only 6 (6.6 %) isolates of Streptococcus pyogenes (Group A streptococci) were isolated.
It was observed that only four isolates had the ability to show fibrinolytic activity through production of streptokinase enzyme,while two isolates failed to lyse fibrin ,although some studies had indicated that streptokinase was housekeeping enzyme which could be produced by all GAS isolates. In addition the present study was showed that streptokinase activity became appearent after 3 hours of incubation and clot began to decrease after 10-16 houres and disappeared completely after 24 houres of incubation.as shown in figure (1).
Hyaluronidase activity was investigated , it was found that 50% (3) of GAS isolates give positive result via formation of ahallo around the isolate and this is an indicator of hyaluronidase activity .as shown in figure(2)
Specific primers for PCR techniqus are used for detection sortase enzymes . It was found that sortase A was observed in all GAS strains and this enzyme was designated as housekeeping enzyme figure (3).
whereas the others contained only the housekeeping one.
On the other hand ,sortase B was also detected and it was found that only two isolates are positive which indicates the presence of sortase B enzyme figure (4), while Srt C gene which encodes for sortase C enzyme was also present in only two isolates of Streptococcus pyogenes figure (5). However, only two isolates were found to have all these three enzymes
Discussion
Acute pharyngo – tonsilitis caused by beta – haemolytic group A Streptococcus is a common disease in childhood.
the breakdown of hyaluronic acid in the body ,they may increase the permeability of fluids to tissues[15].
In this study four out six GAS isolates produce streptokinase extracellularly. Streptokinase activity became apparent after 3 hours of incubation and clot began to decrease after 10-16 hours of incubation and disappeared completely after 24 hours. This means that this enzyme was continued to synthesize extracellularly for a long time of incubation. This may be incontrast with that mentioned about streptokinase inhibition will be initiated in stationary phase of GAS growth because of synthesis of its inhibitors at this phase[14].
Moreover,it is clear that Streptococcus pyogenes can produce hyaluronidase extracellularly through the positive zone shown around bacteria to spread in the deep tissues .Since hyaluronidases are enzymes catalyze
Hyaluronidase activity is attributable to the product of the hylA gene and although all GAS have a hylA gene , only a small percentage of clinical strains (<25%) produce a detectable amount of HylA when grown in vitro[16].
Hynes, et al 2000 had pointed that the enzymatic activity against HylA had also been shown to be part of certain Streptococcus pyogenes bacteriophages.
Gram positive bacteria including Strep pyogenes assemble pili by distinct mechanism involving a transpeptidase called sortase regarding to this study ,it was found that sortase A was exist in all GAS isolates , this result could prove that sortase A is housekeeping enzyme which involved in pilus biogenesis, and also its ability to anchor most Lipid x Triglyceride motif surface protein [17].
On the other hand ,only two isolates showed positive amplification for Srt B gene which encodes sortase B this result is in correlation with the result which indicates that sortase B is not common among Strep pyogenes isolates [18].
In a study accomplished by Barnett .etal, 2004 indicated that Srt A is present in all strains of GAS, whereas Srt B is present in fewer than half of strains.
Morover, Srt C which encodes for sortase C wasfound tobe present in only two isolates of GAS.Barnett .et al , 2004 ; had indicated that Srt C was not available in all GAS strain this result came with our finding that Srt C is not present in all GAS isolates.Barnett and Scot ;2002 16 observed that some strains of GAS encode only two sotases,designated SrtA and SrtB, which recognize different substrats of proteins containing an Lipid x triglyceried motif. Where as other study indicates that GAS express twodistinict sortase , SrtA and SrtC.
Sortase A is the main enzyme which is responsible for anchoring proteins such as the M protein ,G relatedα2 binding proteins .However our results indicates that all sortases (A , B ,C ) can be encoded the same GAS isolates .
References
1- Nordstrand A , Mari N , Joseph J , and Stig E. Streptokinase as a Mediator of Acute Post-Streptococcal Glomerulonephritis in an Experimental Mouse Model. Infection and immunity 1998 ;. 66,.(1). p. 315–321.
2- Starr C. and Engleberg N. Role of hyaluronidase in subcutaneous spread and growth of group Astreptococcus. Infect.Immun 2006 ; 74(1):40-8.
3- Hynes W, Lynn H. and Joseph J. Analysis of a second Bacteriophage Hyaluronidase Gene from
ا
Streptococcus pyogenes:Evidence for a third Hyaluronidase Involve in Extracellular Enzymatic activity. Infection and Immunity. 1995 ; 63: 3015 – 3020.
4- Marraffini, L. A. (2006). Sortases and the art of anchoring proteins to the envelopes of Gram-positive bacteria. Microbiol. Mol. Biol. 70: 192–221.
5- LeMieux J , Woody S and Camilli A .Roles of the sortases of Streptooccus pneumonia in assembly of the RlrA pilus. J. Bacteriol. 2008 ;190 (17):6002-13.
6- Pallen M J, Chaudhuri R , and Henderson I.Genomic analysis of secretion systems. Curr. Opin. Microbiol. 2003 ; 6:519-527.
7- Pancholi, V., and Chhatwal, G. S. (2003). Housekeeping enzymes as virulence factors for pathogens. Int. J. Med. Microbiol. 293: 391–401
8- Mora M, Bensi G, Capo S, Falugi C., Manetti A, Maggi` T, Taddei A , Grandi G and Telford J. Group AStreptococcus produce pilus-like structures containing protective antigens and Lancefield T antigens.Proc. Natl. Acad. Sci. USA.2005; 102:15641-15646.
9- Barenett T ,Patel A , Scott J. Anovel sortase, SrtC from Streptococcus pyogenes anchors asurface protein containing a QVPTGV motif to the cell wall. J. Bacteriol. 2004;186: 5865-5875.
10- Forbes B , Daniel F , and Alice S. Bailey and Scott's diagnostic microbiology. 12th. Ed.,Mosby. 2007; Elsevier Company. USA.
11- Tillett W. The fibrinolytic activity of hemolytic Streptococci. Bact. Revs.
1938 ; 2: 161-216.
12- Paul R , Matthew L, Jeff A, Allister C , Richard K , Wendy D , Richard B. and Michael A. Crystal Structure of Streptococcus pyogenes Sortase implication for sortase mechamism. J. Biol. Chem. 2009; 284(11): 6924–6933.
13- Timothy, C., B., Aman, R. P. and
June, R. S.(2004). A Novel Sortase, SrtC2, from Streptococcus pyogenes Anchors a Surface Protein Containing a QVPTGV Motif to the Cell Wall. J. Bacteriol. 186(17): 5865–5875. 14- Svensson M, Sjo¨bring U , Luo F. and Bessen D. Roles of the plasminogen activator streptokinase and the plasminogen-associated M protein in an experimental model forstreptococcal impetigo. Microbiology. 2002 ; 148: 3933–3945. 15- Kreil GHyaluronidase : a group of neglected enzymes.Prot. Sci.1995 ; 4:1666- 1669.
16- Wayne L. and Sheryl L. Hyaluronidases of Gram-positive bacteria. FEMS Microbiology Letters. 2006; 183, (2), pages 201–207.
17- Kang H, Fasséli C, Thomas P. and
Edward N. Crystal Structure of
Spy0129, a Streptococcus pyogenes
Class B Sortase Involved in Pilus
Assembly. PLoS. ONE 2011; 6(1): 59-
69.
18- Barnett T. and Scott J. Differential recognition of surfaceproteins in Streptococcus pyogenes by two sortase gene homologues.J. Bacteriol. 2002; 184: 2181–91.
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SCHEDULE 14 TO THE URBAN GROWTH ZONE 28/08/2014 C181
Shown on the planning scheme map as UGZ14.
East Werribee Employment Precinct
1.0 The plan 17/10/2013 C179
Map 1 shows the future urban structure proposed for the East Werribee Employment Precinct Structure Plan. It is a reproduction of Plan 2 in the East Werribee Employment Precinct Structure Plan.
2.0 Use and development
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2.1 The land
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Note:
The use and development provisions specified in this schedule apply to the land as shown on Maps 1 and 2 and shown as UGZ14 on the planning scheme maps.
The land comprises the areas referred to in the Precinct Structure Plan and depicted on Map
2:
If land shown on Map 2 is not zoned UGZ, the provisions of this zone do not apply.
2.2 Applied zone provisions
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The provisions of the following zones in this scheme apply to the use and subdivision of land, the construction of a building, construction or carrying out of works as set out in Table 1.
Table 1: Applied zones
| Generally in accordance with the area | Applied zone provisions |
|---|---|
| nominated on map 2 | |
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Specific provisions – Use and development of future public land
A permit is not required to use or develop land shown in the East Werribee Employment Precinct Structure Plan as open space (active or passive) or community facilities provided the use or development is carried out generally in accordance with the East Werribee Employment Precinct Structure Plan and with the prior written consent of Wyndham City Council.
2.4 Specific provisions – Use and development by the public land manager
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A permit is not required to use or develop public land by the relevant public land manager provided the use or development is carried out generally in accordance with the East Werribee Employment Precinct Structure Plan and with the prior written consent of the Growth Areas Authority.
2.5
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Specific provisions – Use of land in the General Residential Zone
Table 2: Use
2.6 Specific provisions – Use of land in the Residential Growth Zone
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Table 3: Use
Specific provisions – Use of land in the Commercial 1 Zone
Table 4: Use
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2.9
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Specific provisions – Use of land in the Industrial 1 Zone
Table 5: Use
Specific Provisions - Dwellings on a lot less than 300 square metres
A permit is not required to construct or extend one dwelling on a lot with an area less than 300 square metres where a site is identified as a lot to be assessed against the Small Lot Housing Code via a restriction on title, and it complies with the Small Lot Housing Code incorporated pursuant to Clause 81 of the Wyndham Planning Scheme.
Specific provisions – Referral of applications to Public Transport Victoria
For the purpose of Clause 52.36-1 of the scheme a development is generally in accordance with the East Werribee Employment Precinct Structure Plan where the following requirements are met:
[x] a road nominated on Plan 10 – Active and Public Transport Networks in the East Werribee Employment Precinct Structure Plan as a potential bus route is constructed (including any partial construction where relevant) in accordance with its corresponding cross section in the East Werribee Employment Precinct Structure Plan and in accordance with the Public Transport Guidelines for Land Use and Development; and
[x] any roundabouts or other road management devices on potential bus routes are constructed to accommodate ultra low floor buses in accordance with the Public Transport Guidelines for Land Use and Development; and
[x] unless otherwise agreed in writing with the Director of Public Transport, prior to the issue of a Statement of Compliance for any subdivision stage, bus stops must be constructed, at full cost to the permit holder, as follows:
* generally in the location identified by the Director of Public Transport;
* in accordance with the Public Transport Guidelines for Land Use and Development with a concrete hard stand area, and in activity centres a shelter must also be constructed;
* be compliant with the Disability Discrimination Act – Disability Standards for Accessible Public Transport 2002; and
* be provided with direct and safe pedestrian access to a pedestrian path
to the satisfaction of the Director of Public Transport.
The responsible authority may address any of the above matters through planning permit conditions.
2.11 Specific provisions - development plan
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No permit is required to construct a building or to construct or carry out works in the Health and Learning Hub, Commercial Hub, Interchange Business Hub, East Werribee Town Centre, Enterprise Hub, Lakeside Community or within the Convenience Centre in the Wattle Village Community or Local Town Centre in Point Cook South West Community if the buildings or works are constructed in accordance with an approved development plan.
2.12 Specific provisions - Primary school
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A permit is required to construct a building or construct or carry out works associated with a Primary School on land shown as Potential Non Government Primary School unless exempt under Clauses 62.02-1 and 62.02-2.
3.0 Application requirements for planning permits
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If in the opinion of the responsible authority a requirement listed at 3.1 – 3.3 is not relevant to the assessment of an application, the responsible authority may waive or reduce the requirement.
3.1 Subdivision – residential development in Lakeside, Wattle Village and Point Cook South West Communities 17/10/2013 C179
An application for a residential subdivision must be accompanied by:
[x] A table setting out the amount of land allocated to the proposed uses and expected population, dwelling and employment yields.
[x] A Traffic Impact Assessment Report to the satisfaction of the relevant road management authority.
3.2 Use or develop land for a Local Town Centre or Convenience Centre 17/10/2013 C179
An application to use or subdivide land, construct a building or construct or carry out works for a Local Town Centre or Convenience Centre must be generally in accordance with the role and function of the centre set out in the East Werribee Employment Precinct Structure Plan.
An application to use or subdivide land, construct a building or construct or carry out works for a Local Town Centre or Convenience Centre must also be accompanied by following information, as appropriate, to the satisfaction of the responsible authority:
[x] A design response report and plans that:
* Address the relevant town centre design requirements and guidelines contained within the East Werribee Employment Precinct Structure Plan;
* Address any relevant design guidelines prepared by the Victorian Government or the Wyndham City Council;
* Demonstrate how the proposal relates to existing or approved development in the area;
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* Demonstrate site responsive architecture and urban design;
* Demonstrate how the proposal will contribute to the urban character of the centre;
* Explain how the proposal responds to feedback received following consultation with relevant infrastructure agencies such as the Department of Transport, Planning and Local Infrastructure;
* Include environmental sustainability initiatives including integrated water management and energy conservation;
* Address the relevant provisions in the planning scheme for car parking including the location and design of car parking areas and car parking rates for proposed uses within the centre;
* Address the relevant provisions in the planning scheme for any proposed advertising signs;
* Include arrangements for the provision of service areas and for deliveries and waste disposal including access for larger vehicles and measures to minimise the impact on the amenity of the centre and adjoining neighbourhoods; and
* Demonstrate how opportunities for medium and higher density housing and future commercial expansion can be incorporated into the centre (including on future upper levels and through future car park redevelopments).
[x] An overall landscape concept/master plan for the centre including a design of the town square/ public space.
Public infrastructure plan
An application for subdivision and/ or use and development of land must be accompanied by a Public Infrastructure Plan which addresses the following:
[x] a stormwater management strategy that makes provision for the staging and timing of stormwater drainage works, including temporary outfall provisions, to the satisfaction of Melbourne Water
[x] what land may be affected or required for the provision of infrastructure works
[x] the provision, staging and timing of stormwater drainage works
[x] the provision, staging and timing of road works internal and external to the land consistent with any relevant traffic report or assessment
[x] the landscaping of any land
[x] what, if any, infrastructure set out in the East Werribee Employment Development Contributions Plan is sought to be provided as "works in lieu" subject to the written consent of the Collecting Agency
[x] the provision of public open space and land for any community facilities.
Any other matter relevant to the provision of public infrastructure required by the responsible authority or Collecting Agency
3.4 Shell pipelines
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Applications for use or development in the vicinity of the Shell high pressure oil pipelines must be accompanied by a response to the Shell documents: Conditions for Works Near Shell & WAG High Pressure Pipelines In Victoria and Land Use Planning, Development & Subdivision Near Shell &WAG High Pressure Pipelines In Victoria.
3.5 APA GasNet pipelines
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4.0
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Applications for use or development in the vicinity of the APA GasNet high pressure pipeline must be accompanied by a response to the document: Conditions for Works Near APA Group Gas Transmission Pipelines.
Development plan – Health and Learning Hub, Commercial Hub, Interchange Business Hub, East Werribee Town Centre, Enterprise Hub, Lakeside Community, Convenience Centre in the Wattle Village Community or Local Town Centre in Point Cook South West Community
A development plan for each hub or centre, or part of a hub or centre, including an amendment to a development plan, may be submitted to the responsible authority for approval and may be approved with or without conditions.
A submitted development plan must be to the satisfaction of the responsible authority, be generally in accordance with the East Werribee Employment Precinct Structure Plan, and must include as appropriate:
[x] For residential development of four or more storeys - a site analysis and design response, including the boundaries and dimensions of the site, adjoining buildings and roads, generally in accordance with the provisions of Clause 52.35.
[x] A detailed assessment against the Vision, objectives and requirements contained within the East Werribee Employment Precinct Structure Plan. The assessment must include a section explaining how the development addresses the approved Design Requirements and Guidelines for the relevant hub or centre.
[x] For development within a Local Town Centre or Convenience Centre, a design response report addressing the relevant matters in accordance with sub-clause 3.2 of this schedule.
[x] A Public Infrastructure Plan in accordance with sub-clause 3.3 of this schedule.
[x] For development proposals in the vicinity of the Shell high pressure oil pipelines, a report in accordance with sub-clause 3.4 of this schedule.
[x] For development proposals in the vicinity of the APA GasNet high pressure gas pipelines, a report in accordance with sub-clause 3.5 of this schedule.
[x] The location and height of all buildings and works, including the relevant ground levels and building heights to Australian Height Datum (AHD).
[x] Detailed elevations and sections drawn to scale including heights to Australian Height Datum (AHD).
[x] A coloured set of elevations and or perspectives including a samples board detailing the colours and materials to be used.
[x] The proposed uses for each building.
[x] The number and layout of all car parking spaces and access lanes.
[x]
The number and location of all bicycle parking and associated facilities.
[x] The location of all loading areas and access to and from these areas.
[x] Detailed engineering plans of all proposed public works prior to the commencement of works.
[x] The location of all vehicle, bicycle and pedestrian accessways.
[x] The location and details of all open space, including areas available to the public.
[x] An operations plan including the following, as appropriate:
* General amenity provisions.
* Proposals for the permanent management and upkeep of public areas.
* The maintenance of undeveloped land on the site.
* The operation of waste collection.
* The operation and management of car parking spaces.
* Litter management.
[x] A landscape plan which includes:
* All existing vegetation to be retained or removed.
* The location, quantity and size at maturity of all proposed plants - as far as possible this should include indigenous species.
* The botanical name of all new plantings.
* Details of all proposed design features such as paths, paving and fencing.
* Management requirements for significant vegetation during the construction phase, watering and maintenance methods for new vegetation.
* A schedule of park furniture, public lighting and embellishments.
[x] A wind assessment for new developments of four storeys or more, excluding a basement.
[x] Details of external lighting treatment.
[x] The indicative location, type and design of proposed signs.
Development must be carried out in accordance with any approved development plan.
4.1 Consideration of development plan
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Further information must be required within 14 days after the plan is received by the responsible authority.
The responsible authority must make a decision on the plan or amendment within 42 days of the receipt of the application, or within 42 days of the receipt of further information if further information is required.
The responsible authority must consider the views of the Wyndham City Council prior to making a decision on the plan.
5.0 Specific provisions - Use or develop land for a sensitive purpose – Environmental Site Assessment 17/10/2013 C179
Before a sensitive use (residential use, child care centre, pre-school centre or primary school) commences or before the construction or carrying out of buildings and works in association with a sensitive use commences, a Phase 2 Environmental Site Assessment, including soil and groundwater investigation as per the recommendations of the Phase 1 Environmental Site Assessment – Werribee Employment Precinct (22 March 2009) prepared by Compass Environmental, must be carried out to the satisfaction of the responsible authority.
Upon receipt of the Phase 2 Environmental Site Assessment the owner must comply with any further requirements made by the responsible authority after having regard to the guidance set out in the General Practice Note on Potentially Contaminated Land June 2005 (DSE). The use or construction or carrying out of buildings and works must not commence until the responsible authority is satisfied that the land is suitable for the intended use.
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This requirement does not apply to land shown as 'Hoppers Crossing Town Centre Integration Area' shown on the future urban structure at Map 1 and in the East Werribee Employment Precinct Structure Plan.
Specific provisions – Construction management plan
Prior to the commencement of any works, including demolition, a construction management plan must be approved by and then implemented to the satisfaction of the responsible authority. The plan must provide for any relevant matter to the satisfaction of the responsible authority and may include the following details as appropriate:
[x] containment of dust, dirt and mud within the site and method and frequency of clean up;
[x] procedures in the event of build up of matter outside the site;
[x] methods for management of noise and general nuisance;
[x] site security;
[x] waste and storm water treatment;
[x] construction program;
[x] preferred routes for trucks delivering to the site;
[x] delivery and unloading points and expected frequency;
[x] an emergency contact that is available for 24 hours per day for residents and the responsible authority in the event of relevant queries or problems experienced; and
[x] traffic management measures to comply with provisions of AS 1742.3-2002 Manual of uniform traffic control devices - Part 3: Traffic control devices for works on roads.
Any construction management plan relating to development within, crossing or in close proximity to the APA GasNet high pressure gas pipeline easement must be to the satisfaction of APA GasNet and prohibit the use of rippers or horizontal directional drills within or crossing the APA GasNet pipeline easement.
The construction management plan may be amended to the satisfaction of the responsible authority.
7.0 Specific provisions – Employment Design Guidelines Area
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Except with the consent of the responsible authority, a permit or development plan must not be granted or approved to use or subdivide land, or construct a building and carry out works on land within the "Employment Design Guidelines Area" shown on Plan 5 Design Guidelines of the East Werribee Employment Precinct Structure Plan until Design Requirements and Guidelines for the relevant hub, community, convenience centre, local town centre or convenience centre within which the development proposal is located, have been prepared to the satisfaction of the responsible authority.
Design Requirements and Guidelines approved under this schedule must be generally in accordance with the East Werribee Employment Precinct Structure Plan.
An application for use and/or development on land shown within "Employment Design Guidelines Area" shown on Plan 5 - Design Guidelines of the East Werribee Employment Precinct Structure Plan must be consistent with any Design Requirements and Guidelines approved under this schedule for the relevant hub, community, convenience centre, local town centre or convenience centre within which the development proposal is located.
A permit may be granted to use or subdivide land, or a permit or development plan granted to construct a building or construct and carry out works prior to the approval of Design Requirements and Guidelines if, in the opinion of the responsible authority, the permit or development plan is consistent with the requirements for the Design Requirements and
Guidelines and the permit or development plan implements the objectives for the relevant hub, community, convenience centre, local town centre or convenience centre as set out in the East Werribee Employment Precinct Structure Plan.
The responsible authority may allow Design Requirements and Guidelines to be prepared in stages.
The Design Requirements and Guidelines may be amended to the satisfaction of the responsible authority.
8.0 Specific provisions – Referral of applications
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9.0 17/10/2013 C179
9.1
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Any application to subdivide land must be referred to the Growth Areas Authority in accordance with section 55 of the Act.
Advertising signs
The following advertising sign categories in this scheme apply by reference to Table 1 of this Schedule.
Table 6: Advertising signs
Land and home sales signs
Despite the provisions of Clause 52.05, signs promoting the sale of commercial, industrial or residential land, or dwellings on the land (or on adjoining land in the same ownership) may be displayed without a permit provided:
[x] the advertisement area for each sign does not exceed 10 square metres;
[x] only one sign is displayed per road frontage. Where the property has a road frontage of more than 150 metres multiple signs may be erected provided there is a minimum of 150 metres distance between each sign, with a total of not more than 4 signs per frontage;
[x] the sign is not an animated, scrolling, electronic or internally illuminated sign;
[x] the sign is not displayed longer than 21 days after the sale (not settlement) of the last lot; and
[x] the sign is set back a minimum of 750mm from the property boundary
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The Free Worlds Confederation
By Erik Parzych and Brendan Henry
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TABLE OF CONTENTS
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Medushaan Military ..............................................38
Ground Forces ..................................................38
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Chapter 1: The Free Worlds Confederation
Introduction
The Free Worlds Confederation marks the point where the spin-ward expansion of the Centauri Republic finally ground to a halt. Though its borders would be tested several times over the centuries, the recession of the Centauri from the region, and the near crippling of the nearby Orieni would leave the Free Worlds as a power in the region.
The Free Worlds Confederation is a multi-racial endeavor between the Nashani and Medushaan races. The Confederation traces its origins back to the era just before the Centauri-Orieni War. Up until that time, the Nashani and Medushaan had seen a number of conflicts along their shared borders. The looming war between the two great empires of the age threatened to engulf and devastate the region. The Nashani believed that the only way to survive was for the two races to unite in the defense of the region. It would take great courage, diplomacy, guile and persistence, but in the end the Nashani and Medushaan would enter into a mutual defense pact. Nashani and Medushaan space would become known as the Free Worlds Alliance, as they were not to be under the sway of the great empires so nearby.
The Seal of the Free Worlds Confederation
Though this period would be difficult for both the Nashani and the Medushaan, their leaders stayed true to their goal, and in the end a government was formed in which both races would cooperate fully on external policy matters and on such internal matters as economic integration. In this the Free Worlds Alliance became the Free Worlds Confederation.
Together, the allies would ride out the storm that was the Centauri-Orieni war, and in its aftermath they would find themselves cooperating even more closely to stave off the advances of a resurgent Centauri Republic. Through the years to follow, cooperation would grow into a true partnership as the pragmatic Nashani and fierce Medushaan closely integrated not only their defensive measures, but their expansions, their economies, and their societies to the point where they had become intertwined at nearly every official level. Despite this, the proposal that the two species form a cooperative government sparked intense unrest as both races had those whose own pride would not allow such a merger.
Today the Confederation has grown to be a regional power, with a position of strength recognized throughout much of the space formerly dominated by the Centauri Republic. Trade routes have been established with spin-ward factions, and contacts have been made as far anti-spinward as Babylon 5. Ever mindful of security and stability, the leaders of the Confederacy keep close watch for potential trouble from all quarters. Of particular concern are rumors that the Orieni are rebuilding their forces for another crusade. Only time will tell whether the Free Worlds will remain truly free in the future.
Government of the Free Worlds Confederation
Like the composition of the Free Worlds, the government of the Confederation is a unique partnership. While the Nashani and Medushaan each retain their own separate governments and sovereignty, the Confederation provides the bridge
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by which the two races remain linked. The Confederation government provides the conduit through which the two very different species coordinate their foreign relations, trade, and defenses. It is a case of the individual states being vastly stronger in unity than they could ever hope to be alone.
The core of the Confederation's government is the legislature known as the House of Stars. The House is composed of equal numbers of representatives of each race, selected by their own people. The House has the power to ratify treaties and trade agreements in the name of the Confederation, and must be consulted on matters external security. However the House does not have the power to compel either of the component governments to take any action. Rather, the House acts to represent each race's views to the other, with directions generally coming straight from their own governments. While technically and publicly the power that binds the Confederation together, the House of Stars is often just a sideshow those that truly control the policies of the Confederation, the Ministers, and most of all the First Minister of the Confederation.
Politically there is no more powerful individual within the political realm of the Confederation than the First Minister. The First Minister is chosen by the delegates of the House of Stars to be the central administrator of the Confederation's bureaucracy. Though the First Minister has few jurisdictional powers, he or she is the singular voice of all of the Ministries of the Confederation. As such, the political power of the position is obvious, with the ability to control what reaches the ears of the House and what directives are given to the Ministries. The First Minister serves her post until recalled by a majority vote within the House of Stars.
Intelligence, Foreign Relations, Finance, and Justice. While the first four Ministries are pretty much as one would expect, the Ministry of Justice is of interest. The Ministry of Justice is charged with the daunting task of administering those systems held as "Free World Dominions", distinct and separate from either the Nashani or Medushaan states. The Ministry of Justice also provides a small, elite cadre of Wardens, who provide both security for the delegates of the House of Stars, and for the other Ministries.
The final and most visible component of the Confederation's government is the Chancellor. The office of the Chancellor is a largely ceremonial post, with little effect on the daily administration of the Confederation. The fact is that the Chancellor is the public spokesperson for the government to the constituents of the Confederation. The most important task of the Chancellor is not the shaping of policy, but rather selling it to the masses. The Chancellor opens each session of the House of Stars, makes public proclamations, and is often on tours of the Dominions. This is not to say the Chancellor is a fool or unwitting tool of the Confederation, but is an important public face for an otherwise faceless bureaucratic machine.
Worlds of the Free Worlds Confederation
Besides the First Minister there are several other powerful Ministers that see to the day to day administration of the Confederation. These other Ministers make up a sort of Executive Council, presided by the First Minister. The Ministries of the Free Worlds Confederation are bureaucratic machines composed primarily of Nashani workers, though there are a surprising number of male Medushaan that see the Confederation's government as a way to advance beyond the normal limits of their own culture. The Ministries of the Confederation are Defense, Trade,
Since the foundation of the Free World Confederation the borders of the cooperative government have changed several times. Those borders have remained fairly stable since the early 2200's, and within are several star systems that fall under the direct control of the Confederation, rather than the control of one of the constituent states. Known within the Free Worlds as "Dominions", these systems are administered by Governors whom are appointed by the Free Worlds bureaucracy. These governors serve as long as their sponsors wish, or until they themselves "retire". Individuals of either the Nashani or Medushaan races are expected to respect the authority of the governor when in a Dominion system. Though nominally under civil authority, the Free Worlds Dominions are primarily military posts. As such, the governors of dominion
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systems typically defer to the military authorities in most matters.
Ushtal
Ushtal holds a unique place within the Free Worlds as both the oldest settled interstellar colony of the Nashani, and the nerve center of the Free Worlds Confederation. The proximity of Ushtal to Medushaan space, and to former Centauri space, made Ushtal the perfect location for the new capital of the fledgling Free Worlds Confederation. Elaborate facilities, both orbital and ground-based, have been constructed for the cooperative government. The capital itself is a massive station complex with both zero-g and gravity positive living areas suitable for the Nashani and Medushaan who live and work there. In fact, Ushtal has the only truly permanent population of Medushaan within Nashani space, and is the only Nashani Planet where Medushaan ground troops are deployed to protect vital facilities.
Ushtal is home to the headquarters for the Free Worlds Navy, and is perhaps the most heavily defended system in all of Nashani space. The Free Worlds First Fleet, composed of both Nashani and Medushaan warships, is based in the Ushtal system, and it is supplemented by a sizable force of clan operated warships generally in-system. In recognition that Ushtal is first a Nashani system, the command of the systems mobile forces and fixed defenses is under the direct control of the Nashani admiralty with the Medushaan in a subordinate role.
Essekyre
The site of the most dramatic victory of the Free Worlds over the Centauri, the systems inhabitable world Essekyre-3 was reduced to an irradiated rock to destroy its Centauri garrison. The Nashani and Medushaan forces would initially retreat to their well fortified positions in the Voshtal
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system following the victory, but continued to patrol the region regularly. The Nashani recognized the value of Essekyre as a buffer against any threat approaching from that region of space, either from the Centauri, a resurgent Orieni empire, or from any other source. Following the Centauri withdrawal from the region they moved quickly to establish a defensive network in the system. It mattered little that the system's "inhabitable" planet was a nuclear wasteland, as the Nashani had little inclination to build ground facilities anyway.
Decades after the Free Worlds victory of the Centauri, Essekyre is one of the purely military posts within the Confederation. The permanent orbital facilities are crewed by the Nashani, and the Nashani provide the bulk of the mobile forces. Medushaan squadrons regularly rotate through Essekyre, primarily to train alongside their Nashani counterparts. These units rarely remain long as the lack of ground or large positive gravity facilities do have a negative effect on Medushaan crews.
Lisuria
Lisuria is the primary "forward" base for Free Worlds military forces along the Border with the Shatu Imperium. While the system features impressive fortifications, its real strength comes from the solid core of front line warships from the Confederation's 2 nd fleet that are an ever present part of the starscape. These forces are there to keep tabs on incoming trade ships, and as a constant reminder to those watching from across the border.
Vinos
Formerly the Centauri colony known as Quadrant 13, Vinos is the way station for much of the trade passing to and from Nashani space antispinward. The system changed hands several times during the conflicts known as the wars of the Confederation, with the Nashani and the Free Worlds finally gaining control as the Centauri withdrew from the region. Now known to the Free Worlds as Vinos, the colony's ground facilities were left more or less intact by the Centauri. While this meant little to the Nashani in terms of comfort, this was a blessing when conducting trade with other races and allows for the long term garrisoning of Medushaan ground and space forces within the system. As a result, Vinos boasts the Headquarters of both the Free Worlds 2 nd Fleet (1 of only 2 standing "fleets" within the Confederation), and the bulk of the Free Worlds Army, composed of 3 Legions of Medushaan ground troops.
In addition to the military presence Vinos is a trade nexus with a direct route to Ushtal as well as being a relatively short trip to many other inhabited systems. Commercial traffic is heavy at all times, and patrol forces are ubiquitous and well equipped. These patrol forces are often complimented by warships based in the system when they are not otherwise indisposed.
Vinos maintains a formidable ring of Medushaan and Nashani orbital fortresses, OSATS, and is the location of the only joint shipyards in the Confederation. Vinos also holds the distinction of being the only Dominion system administered by a Medushaan governor, a nod to the system's majority population.
Lodira
This former Centauri colony world is valuable to the Confederation as a buffer against aggression from anti-spinward, and in protecting their trade routes. Lodira is fairly well fortified, and like Lisuria is well patrolled by both forces stationed in-system and elements of the Free Worlds Navy. In addition to the military forces present, Lodira is home to a few minor Nashani orbital facilities which serve the trade ships passing through the system.
Mantukas
Like Lodira, Mantukas is important because of its strategic location at the intersection of several trade routes. Again like Lodira, Mantukas is well defended by both fixed fortifications and mobile forces. In the case of Mantukas, the fixed defenses are more formidable than those of Lodira, and the world is also protected by a sizable garrison of Medushaan ground troops. This has lead some to speculate that the Centauri left more behind than partially wrecked spaceports and the residences of some minor nobility. Whatever may be there, no one within the Free Worlds will say, it is possible that it may be something that even the Centauri were unaware of during their occupation.
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Veil
The Veil system is a border checkpoint system protecting the route from Rogola through Azami space. Though a large amount of trade passes through Veil on its way to Mantukas, there is little of note in the system beyond its impressive defenses. Though technically a Free Worlds Dominion, Veil is primarily a Nashani concern. Veil is often the sight of choice for joint training operations, likely as a show of strength to their neighbors.
Bundara
The Free Worlds Dominion of Bundara serves as a strategic reserve depot for the Free Worlds forces operating in the region. The well protected ground facilities in-system house the stockpiles of materials needed to support Mantukas or possibly the border with the Azami Holdings.
Bundara is the headquarters of the Free Worlds 3 rd Fleet, an inactive reserve. Vessels are regularly rotated in and out of the reserve, given extensive overhauls and refits in the Bundara yards if needed. Should the 3 rd Fleet be activated, it would draw active ships and crews from the surrounding systems. The commander of the Free Worlds Naval forces at Mantukas would then become the commander of the new fleet.
Fetslak
Fetslak is held by the Free Words as a "transit" system, and is home to one of the few nonNashani, non-Medushaan populations in the Confederation. The primitive natives of the system's habitable world were enslaved and nearly exterminated by the Centauri, barely maintaining a toe hold on their now barren home-world. The Free Worlds leadership has tried to identify some formal organization among the natives with which they could open communications, to no avail. For now they have simply chosen to leave the natives alone and wait for them to advance to the point where communication might be possible.
Idellem
Idellem is another important border checkpoint, similar to the Veil system. Idellem lies along the most direct route between the Free Worlds and the heart of the former Centauri colony worlds. Because of this, the port at Idellem has the potential to be one of the most important to trade between the Free Worlds and the Anti-Spinward powers. Increased tensions with the Shatu in recent years has led many strategists have urged the Free Worlds leadership to fortify Idellem at least as well as Lodira or Mantukas. So far this has not happened with belief that to do so would be an unnecessary provocation.
Buvarn
The Free Worlds inherited the Buvarn system from the Centauri following their withdrawal from the region. The Centauri left little of value in the system, but the Free Worlds found it did have enough untapped mineral resources to justify building a mining outpost in the system. Still, Buvarn remains a backwater Dominion.
The Free Worlds Navy: Combined Fleet Operations of the Nashani & Medushaan
Fighters bobbed and darted as beams of light stabbed at their formation. Though a few shots came near enough to scorch paint, none connected as the swarm came on unhindered by the display. If Commander ShiCol Ban Nasi was the least bit concerned by the onrushing vessels, he did well to hide it. A sensor operator ticked off the time until the enemy would be in range to use their weapons, a very rapidly shrinking figure. Commander Ban Nasi touched a softly glowing icon on the display before him. Instantly a dark, shimmering visage stared back with startling blue orbs.
Other than the natives, Fetslak is of interest only because it possesses a functioning jump gate which the Confederation has moved to the outer system. The Nashani have also constructed a small outpost to serve the needs of vessels passing through the system.
"Don't you think that you are cutting this just a bit close, Troxan?"
The Medushaan commander gurgled what passed for a laugh among her race, "We were waiting to see if your gunners got any of them! My second wagered that they could not. I, of
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course, defended you. You cost me a fine bottle Nasi!" More of the Medushaan's laughter chased the image as it faded from the display, replaced by the ship's external pickups. As the enemy fighters came to their firing range, a similar horde burst around the flanks of the lumbering Nashani cruisers. The Medushaan force of fighters and MCVs had used the Nashani force to screen their approach, and the attacking fighter force had no chance to react to their arrival. The Medushaan slashed through the formation just seconds short of their weapons envelope. It was good that the Medushaan could be relied on for more than ill-timed humor.
"All Blue Elements", communications opened a channel to the Nashani component of the Task force. Commander Shi-Col Ban Nasi continued with an exasperated sigh, "Target enemy carrier vessels and engage with main battery fire." No sense in letting empty carriers escape to refill their bays.
For well over a century, the Nashani and Medushaan have been the closest allies, with their unique relationship leading eventually to a cooperative government as well. For many years the two nation's militaries have closely coordinated their strategies and tactics, and have conducted many joint operations successfully. Though there are no permanent, standing combined fleets under the banner of the Free Worlds, this is merely a formality. Nashani and Medushaan Task Groups continuously train together to better develop the tactics and the trust necessary for successful combined operations, and are well prepared should the need arise. Strategic coordination and structure is provided by the Free Worlds Combined Command, a long-standing organization composed of members of both races. Combined Command not only oversees the deployment of joint task groups, but insures the command structure of the mixed forces. As a rule of thumb, the fleet's commander will be of one race, while his or her deputy commander will be of the other, regardless of the number of forces present from each.
strengths and minimize the weaknesses of their forces when acting in concert. Individually the Nashani and Medushaan fleets have several weaknesses that can be exploited by an enemy. Together, they are a formidable force indeed. This is particularly true in larger groups of ships such as a full task force or fleet, where the full weight of the advantages of each race can come into play. In fact, it is uncommon, though not unheard of, for the Free Worlds to deploy combined forces smaller than a task group.
When using the Nashani and Medushaan in B5Wars it is possible to have mixed fleets of both races vessels with no penalties as their systems are well integrated. All of the ships deployed by the Free Worlds player may benefit from special abilities such as ELINT, and command bonuses available as if the ships were all from one race. The Player using the Free Worlds must then designate one of the races as the "Primary Race" and the other as the "Secondary Race". The Primary Race may purchase ships as normal, while there are some restrictions on the ships that the Secondary Race may purchase. Base Hulls remain unaffected, and may be taken for their normal point cost. All other hulls have their availabilities raised by one level such that common variants become Limited availability 33%, Limited becomes 10% Restricted Deployment, and Restricted becomes unavailable to choose. In Fleet Action, the controlling player may not create mixed squadrons of Nashani and Medushaan vessels, though again, all of the ships are treated as being from one race for all other purposes. As with B5Wars, the Fleet Action player must select a Primary and a Secondary Race. In a Fleet Action game, the Secondary Race may not provide the fleet flagship, and may not exceed 50% of the fleets total point value.
During their long partnership the nature of their forces have shifted slightly to accentuate the
It has been theorized that in the future the members of the Free Worlds may begin to construct jointly designed vessels specifically for combined operations. While it seems that this is an inevitable outgrowth of the present cooperation between the races, there are just as many reasons why this is unlikely, and impractical. In the foreseeable future, each race will continue to shape their forces to maximize the unique advantage their partnership provides. The Nashani and Medushaan will also certainly continue grow along their own distinct technological pathways.
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Important Personalities of the Confederation
Nalda Dross
Nalda Dross is the current Chancellor of the Free Worlds Confederation. It may surprise some outsiders to find that the public face of the Confederation is a hulking Medushaan, but Dross is a charismatic and influential individual. Distantly related to the current Medushaan ruler, Nalda Dross is a never ending fountain of energy beloved by many average Medushaan, and friends with many of the most powerful. Dross has long been a staunch supporter of closer cooperation with the Nashani, seeing it as the key to extending Medushaan influence outside their own borders. Nalda Dross is quite literally the most cosmopolitan of all Medushaan.
Shi-Otani Nas Tesha
Tesha is the granddaughter of one of the most revered Nashani naval and political heroes. Since her youngest years she has been set on proving her own worth beyond the influence of her Clan. It is not surprising to those that know her well that she has risen to the most powerful political position within the Confederation when it would have been a far more simple matter to remain within the political power center of the Nashani Confederacy. Shi-Otani Nas Tesha is a driven individual in every sense, and is well known as perhaps the most unpleasant and dour example of her species, a feat for a race renowned for their tight personal control. Tesha maintains only distant contact with her Clan, determined to prove her self-worth through dogged independence.
Durga Lenar
Durga Lenar is the Supreme Commander of the Confederations ground forces. A truly grizzled, battle-scarred veteran Lenar is one of the most publicly aggressive personalities of the Free Worlds Confederacy. Lenar is a brilliant tactician, but a rather disinterested administrator, a fact which is somewhat mitigated by the utter loyalty of her subordinates. If there is one area in which Durga Lenar has excelled, it has been in surrounding herself with magnificent staff officers, showing a particularly keen eye for individual strengths and talents. For the past few years, Durga has been increasingly vocal in her warnings of the danger posed by the Orieni. While most view the aggressive Shatu Imperium as the greatest immediate security threat, it is Durga's firm belief that the Orieni have been setting the stage for a return to prominence. Such a rebirth, she believes, would require the Orieni to neutralize the Free Worlds as a threat.
Shol-Bor Van Las
The Supreme Commander of Confederation Naval Forces, Shol-Bor Van Las has always displayed a bit more flair than the average Nashani. This has led some to speculate that he has served too long with his Medushaan counterparts. Whatever the case, Las has had the personal determination and pure skill to rise through the ranks of the Confederation Navy without the political or familial advantages that many others possess. Shol-Bor Van Las has always been a risk-taker and gambler, with an intuitive feel for strategy. Many that have served with or under him feel he is a perfect fit for dealing with the unique challenges of coordinating the Nashani and Medushaan elements the comprise the standing fleet of the Confederation.
Brixa Tragg
Brixa Tragg is the Confederation's Minister of Defense, and a firm disciple of the Free World's Ground Forces Commander, Durga Lenar. The one-armed, former fighter pilot is a very aggressive, forward thinking individual. Tragg has pressed for greater cooperation between the Nashani and Medushaan governments to develop new technologies which can strengthen both in case of a war. Like Lenar, Tragg is sure that the Orieni are preparing for war once again. Unlike her mentor, Brixa privately believes that the Orieni will try to seize the independent stellar territories which were once under Centauri control. If that is the case, Tragg is preparing to oppose them with all of the means at her disposal, as she sees Orieni control of the region as a greater threat than an all out assault on the Free Worlds.
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Sher-Shal Ban Sani
Sher-Shal Ban Sani is the son of a powerful Nashani family whose connections brought him to the position of Minister of Foreign Relations for the Confederation. The very picture of the cold, emotionless Nashani, Sani is a rather blunt, unlikable fellow to be sure. He is however a master manipulator and shrewd politician. As such he conceals his contempt for the Medushaan and his dislike of the Confederation as a whole. Unlike the idealists, Sher-Shal Ban Sani sees the whole unpleasant arrangement as a means to an end. Namely, the Confederation is the best way to extend the influence the Nashani and his Clan, while using others to minimize the risk. Sher-Shal Ban Sani may be a Nashani supremist, but he is also a pragmatist.
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Chapter 2: The Nashani
Some have said an outer mask of calm shrouds the inner turmoil of the individual Nashani. Others have observed the same of Nashani society.
-Unknown
Physical Characteristics
The Nashani are long-limbed, gaunt creatures as a result of their home-world's low gravity. In fact, in an earth-standard gravity, the generally must use all four limbs for locomotion and find breathing very difficult. The Nashani embrace weightless environments such as ships and stations, and show no ill effects from prolonged zero-g living. In weightless environments, the Nashani are not only more comfortable, but they are quite nimble as well. Nashani bodies are covered in short, thick hair which varies widely in color from individual to individual, though there are some colors more common in certain families. Common colors for Nashani hair are gray, brown and fawn. The Nashani have long, flat faces with small noses and large, liquid eyes. Like their limbs, Nashani digits are long and thin, and very flexible.
The Nashani take a very long time to reach sexual maturity, and pregnancies are often difficult or even dangerous. This is because the pregnant Nashani must return to a gravity well equivalent to that of Nashan for proper development of the fetus. Many Nashani are unaccustomed to "normal" gravity, which leads to a great deal of physical stress on top of a long pregnancy. Despite this, the population of the Nashani is quite stable as females typically consider the birth of a healthy child to be one of the greatest accomplishments possible. Female Nashani have a relatively short span of fertility, and typically attempt to bear as many children as they can during this time. Those who survive multiple births to return to their former careers are always treated with renewed respect.
often seem to be emotionless as they tightly control their own feelings. They will always consider emotions, theirs and others, very carefully when making any important decisions. There are those who believe that knowing how to play on another's emotions make the Nashani excellent motivators, and manipulators.
Government
If there is one unique characteristic of the Nashani it is the fact that all are naturally empathic to some degree. Because of this the Nashani will
The Nashani culture is centered on family groups, from immediate family to clans of thousands of members. Each clan has a welldefined hierarchy based on both seniority and achievement. At the head of each clan sits a council of elders, which sets makes important
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decisions for the family in matters such as business. Clan leaders then appoint agents who represent their family in dealings with the other clans. The central government of the Nashani people is simply an extension of this system which treats the entire race as if it were one family. Each clan, no matter its size or power, provides representatives to the Grand Council which is the basic policy making and legislative body of the Nashani Confederacy. A huge body by necessity, the true power of the government is vested with those few Nashani selected from among their peers to serve the High Council, which handles the day to day management of the Confederacy.
Society
As noted previously, the center of the Nashani existence is the family. The family provides each Nashani with an identity, opportunity, and direction in life. Among their immediate family, Nashani have a special bond with their siblings. This is because of the difficulties which plague Nashani pregnancies, often limiting females to a single offspring. Nashani born of the same mother feel a closeness that no other Nashani could ever know.
Above the immediate family comes the clan. These extended families are all unique unto themselves, each with their own history and traditions. The clans have no mechanism for controlling its members they are simply expected to do as they are instructed. Those rare few that stand against their clan are viewed with disdain and sadness. These rogues are not persecuted in any way, but they find that they are simply cut off from their associates, friends, and even their immediate family. Typically, despair will bring end to the offending Nashani as completely as could an executioner. Those individuals that commit particularly heinous offenses against are simply imprisoned and their assets frozen or confiscated. In the history of the Nashani there have been times when entire clans have been dissolved by the decree of the Grand Council, with their holdings dispersed to the injured parties. In these rare cases, members of the clan determined to have no part in the criminal acts were "adopted" by another clan, though they would lose any position of authority they may have had.
and a great many can be considered artists and musicians. The Nashani especially appreciate artistic ventures which illicit an emotional response, particularly their own form of opera. A particularly well done piece of music can literally hold its audience in rapture as they bask in the wash of emotions let loose around them. Non-Nashani who have heard their music or seen their art in other forms get a rare glimpse into the inner passions of the Nashani. Most of the time, Nashani are very well in control of their emotions, both inwardly as well as outwardly, but in unguarded moments, they can be subject to outbursts of any emotion that may strike them. Outsiders would be astonished to witness Nashani wracked by laughter, or by sobs, as such a thing would seem impossible from the stoic gaze which is their norm.
The Nashani as a people have very few vices, though one that is common is gambling. Most cannot turn down a game of chance, particularly ones that are both complex and tension-filled. The more a particular game stimulates the intellect and emotions, the better. Often, high ranking clan officials will make high stakes wagers that could take several years to play out, providing ongoing entertainment.
Military
There are two different levels of military service among the Nashani; clan service and service with the Free Worlds Navy. Nashani clans are permitted by law and custom to retain small forces to protect their holdings and merchant shipping, though few clans can absorb the cost of maintaining a large force of modern warships. Among the rigid hierarchy of clan life shipboard discipline is strict and crews are extremely formal, even by Nashani standards.
Within the structure of clan life, the Nashani people are surprisingly free to express themselves,
Those Nashani that serve in the Free Worlds navy are typically from lesser clans, or are lower ranking members of more powerful families. The Confederacy's navy prides itself on being built on a solid foundation of achievement rather than family or political connections. All naval personnel are expected to maintain very high standards at all times. Those individuals that do not meet the expectations set out by their superiors are quickly moved from shipboard duties to support roles, or removed from naval service altogether. Incompetent officers among the Nashani are
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almost unheard of, and exceptional officers are more common than in most other navies. . It is very common for Nashani officers to retire from military service to assume a position of responsibility within their clan. It is also fairly common for some to serve relatively short stints with the Confederacy, and "retire" to a position with their family's naval forces.
The Nashani have no ground forces to speak of, though they do have security personnel in most civilian and military facilities. Though lightly armed, these forces represent a real threat to any attacker seeking to board and capture a Nashani facility or vessel. Completely comfortable in zerog and trained to use their physical abilities as assets, these Nashani use speed and dirty tricks to repel boarders. In times of war, these troops could be used in commando-style raids.
The Nashani use a seniority based ranking system much like those used by many other nations. While exceptional personnel can be promoted to positions of greater responsibility rapidly, the system is generally based on time served. The expectation among the Nashani naval establishment is that if an officer or crewman continues to serve well, they must have earned greater responsibility.
The ranks are organized as follows:
FLEET COMMANDER: Fleet Commander is the highest naval rank, and as one might expect, the holder of this title is responsible for the operations of an entire fleet. The most senior Fleet Commanders form the "admiralty" of the Nashani navy, and are responsible for the highest levels of decision making.
GROUP/SYSTEM COMMANDER: Group Commanders are responsible for leading Confederacy Task Forces, and are generally the highest ranking Nashani officers "in the field". System Commanders are of equal rank, but they are charged with the defensive operations within a star system. System Commanders will control not only fixed defenses, but those mobile forces directly tasked with system defense.
of warships. Force Commander is by tradition the highest rank acknowledged among the Nashani clan forces. No matter how senior an officer may be, in combined government/ clan forces, the clan commander is regarded as a Force Commander.
FORCE LEADER: Force Leaders are the equivalent of a human commodore as they are tasked with command of a single squadron of warships. Though they may be in a position of responsibility over several vessels, Force Leaders are not considered "flag" officers by their superiors.
SENIOR SHIP COMMANDER/FIGHTER COMMANDER: Senior Ship Commanders typically command the largest and most important of the Confederacy's warships. Often they Captain the flagships of Force or Group Commanders, and the title is a reflection of respect rather than added responsibility. Fighter Commander is the highest rank attainable by an active pilot, and is equal to a human squadron commander. Fighter Commanders are few and far between as a result of the limited Nashani fighter forces. Though few will ever attain flag rank, many that have retired from active fighter operations remain on the staff of a Force or Group commander to help coordinate Fighter Ops, particularly when working with their fighter heavy Medushaan allies.
SHIP COMMANDER/FIGHTER LEADER: Ship Commanders are the equivalent of human captains as they command Nashani warships, particularly capital ships. Fighter Leaders have responsibility for a wing of Nashani fighters, and are generally tasked with coordinating the fighter ops of a single vessel.
FORCE COMMANDER: Force Commanders lead flotillas composed of several squadrons
JUNIOR SHIP COMMANDER/PILOT: Junior Ship Commander is the lowest recognized command rank, and these individuals are the captains of the smaller Nashani vessels such as corvettes and escort frigates. Pilot is the basic rank for all Nashani fighter pilots, and they have no responsibility beyond their wingman. Many Pilots will serve a short time
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in Nashani fighter forces after which they will be transferred to a shipboard position from which their careers can move forward.
The remaining junior officer ranks of the Nashani navy refer to specific shipboard positions such as Junior Navigator, Senior Engineer, Etc... Nashani enlisted ranks follow a similar convention as crewmen are associated with their specific job and a seniority designator, such as Senior Gunner, Junior Reactor Technician, etc...They one exception to this is the one crewman on each ship designated Crew Leader. This rank is somewhat like a warrant officer as the Crew Leader represents the enlisted crew to the ship's captain and officers. Crew Leader is position granted to the most senior enlisted crewman, and is a position of respect onboard Nashani vessels, among both crew and officers.
Foreign Affairs
As a founding partner in the Free Worlds Confederacy, the Nashani obviously have a great deal of contact with the Medushaan. The relationship between the Nashani and the Medushaan goes beyond close allies to working partners who consult each other on a daily basis as part of a cooperative government. All other diplomatic contacts are conducted through the Free Worlds Confederacy, though it must be noted that the Nashani have had a great deal of business contact with other species. Not surprisingly, almost every Free Worlds Ambassador and representative is a Nashani, and as a result the Nashani have been expanding their diplomatic contacts with other races in recent years. It is interesting to note that a delegation from the Free Worlds did visit Babylon 5, though it is unclear what, if anything might come of the foray.
indications that the Orieni are preparing for another period of expansion, and they have already reclaimed many of the worlds that had been lost during their great fall. For now the Nashani only watch and wait, but they are resolved that if conflict should come to them, they will be ready. Should it become necessary they will stand and fight; never more can a foreign power cow them.
Technology
The equal of most young races in most areas, the Nashani do possess several advanced systems. Though they are not a particularly inventive race, the Nashani are extremely adept at analyzing the technology of another race, recreating it and adapting it for their needs. Early contact with such advanced races such as the Orieni and the Centauri gave the Nashani a tremendous technological base in a relatively short time, and advantages that they work hard to maintain.
The Nashani are particularly fond of lasers and those systems in service are quite efficient and well-designed. In addition to laser technology, the Nashani have quite advanced power production capabilities and have recently had many breakthroughs in the area of gravitics. This research in particular hold a great deal of importance to the Nashani as they see the technology as key in negating many of their physical weaknesses.
Nashani History
Early Nashani Civilization (500 BC-500 AD)
Recently the Free Worlds has found itself confronted by two threats, the Shatu and the Orieni. While the Shatu have been an obvious military threat, they have become somewhat more of a Medushaan problem. The Orieni on the other hand represent a much greater threat to the Nashani both in simple proximity and due to past history. Through the years the Nashani have maintained a back-channel trade conduit with the Orieni by dealing with their Rogolon proxies. In recent years there have been more and more
As the Nashani tribes developed from nomadic gatherers to cultivators, they created their first permanent settlements. There were an abundance of natural resources, so there remained little need for these tribal settlements to make war on each other. Instead, each fledgling community soon learned the benefits of producing a surplus of a particular item for trade with a neighboring settlement. Communities would specialize in particular goods or trades, and soon, the interdependency of the Nashani towns would grow.
The Nashani would also begin to shape their
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planet for the first time in their history. Transportation ways were constructed to help facilitate trade, and natural obstacles were bridged or otherwise overcome. Soon, delicate cities began to rise above the canopy of the lush forests of Nashan. Also for the first time, the Nashani people would look to the skies above their world in wonder.
During this period, the clans grew from just family groups, to have a political meaning. Within this early civilization, the leaders of the clans were naturally seen as the leaders of a town or city. The several clans that might reside in one location would all have a say in the affairs of state, though the most prosperous or populous clan might have a greater voice.
The Golden Age of Nashan (500-1200 AD)
During this period the Nashani would experience what could be called their renaissance and their industrial revolution. Nashani culture continued to develop its own unique identity, and during this period technology evolved at an ever increasing pace. During these years the ever inquisitive Nashani would seek a greater understanding of themselves, their world, and the universe. Discoveries were made in nearly every field of endeavor. Medical and material sciences advanced and populations grew into cities which rose from the forests of Nashan in great and beautiful spires. Nashani inventors harnessed the natural resources of their world and created machines to ease the rigors of every day life, to travel great distances quickly, and to build previously unimaginable feats of engineering. Everything was done with a kind of elegant sense of purpose, and with an efficiency seen among few races.
generally undertaken by a clan or two, not the entire city and its population.
Reaching for the Stars
Nashani societies looked for new obstacles to overcome, new mysteries to solve, and new materials to fuel their civilization. They looked to the stars. Long had the Nashani looked to the sky and wondered. During their golden age, they had created telescopes and other instruments which showed them first the surface of Nashan's moon, then the existence of other worlds, then the basic composition of their region of the galaxy. At first driven only by their curiosity, few believed that they could ever reach the stars. Later, as the needs of their society reached the point where the Nashani feared harming the world that had birthed their civilization, they became determined to reach out to the stars. It would not be an easy first step.
Early space exploration was done by un"manned" missions fired into orbit. These experiments showed that the Nashani body could not possibly survive the stresses associated with a high-g rocket launch. The early spaceflights also show the potential for the development of the space around Nashan. Soon, a halo of satellites began to orbit Nashan providing communications, planetary mapping, weather forecasting capabilities, and even looking further out into space. By 1337, Nashani scientists had developed a system for achieving the first orbital flights by the Nashani themselves. Although there would be set-backs, those that traveled to space spoke with unrestrained joy of the experience, from the view of their own world to the freedom of weightlessness. These pioneers would fuel the desire of their people to "walk among the stars".
There would be a dark side to these advances though, as for the first time in their recorded history, Nashani would battle each other for valuable resources. Most often these conflicts were quiet, but bloody affairs between rival clans seeking primacy, or between a clan in a position of monopoly being brought down by an alliance of lesser clans. Though such conflicts were denounced, they rarely had impact on the daily life of most Nashani, and were quickly forgotten. Occasionally during this time, a city would attack the holdings of another, but these were few, and
Cities in the Sky
In 1362 a cooperative effort between several Nashani clans builds the first orbital space station. A fairly primitive structure, research here confirms the affinity of the Nashani for microgravity environments. Over the next several years many more stations would be built, and the first permanent populations are established in orbit. During this time, long range probes begin to explore more closely the other worlds of the Nashani home system, and flights are even made to Nashan's lone moon.
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By 1387, several lesser clans feel that they are being "left out" of this great new frontier, and grow tired of the increasing leadership role of the greater clans over the entire world. Open hostilities would break out throughout the world, as clans sought to unseat dominant groups, capture resources, and even technology. The entire sad chapter last but a few years, but it would drain the Nashani, and would produce great scars on their beloved world. Though the leading clans would ultimately "put down" the upstarts, they would see that there was still growing resentment. To put this too an end, the clans would compromise and create the first unified "government" for the world of Nashan. The clans would become the representatives of the Nashani people as a whole, and would answer to each other in a Grand Council. Every recognized clan, no matter how small, would have their voice in the council. Here compromises could be made, and policies set forth before matters escalated to violence. At the very head of the Grand Council would be a committee of clan representatives selected from among all of the clans to handle the day to day activities of the new government. The bureaucracy already existed within the structure of the individual clans, so the transition to this new form of unified government was uncommonly smooth. For the first time, the Nashani were united towards the goals of their world, not those of an individual clan, and freed from this, they surged forward.
Construction began on the first of what would be seven massive colony space stations in 1401. These space stations are built with materials from Nashan's moon, and go beyond mere research facilities; these are true cities in space. Still, the Nashani look further out, and in 1420 the "Long Reach" survey missions are launched. "Manned" expeditions, these missions travel to the other worlds of the Nashani home system as the clans seek both greater understanding, and greater raw materials. By 1431 all heavy industry has been moved to orbit around Nashan, and the world itself transforms to a more agrarian setting needed to feed the growing populations in space.
the expansion of the blossoming civilization growing in orbit there, and to the new cities being built at the Trojan points between Nashan and her moon. By 1512, all of the planets of the inner system have some colonial presence, and the asteroid belts of the outer system are being heavily developed, and have a large population of there own. A second round of "Long Reach" missions were launched in 1519, this time with the even more ambitious goal of exploring other solar systems. These missions would be crewed by volunteers on board slower than light vessels on decade's long trips to the systems nearest Nashan.
Age of Expansion
In 1543, a cataclysmic event occurred as an asteroid being towed to a Nashan-orbiting factory breaks free, and collided with the planet. Though not a massive rock by most standards, it survived to impact in the great southern ocean of Nashan. The ecological damage was massive as weather patterns shifted and tectonic activity increased a thousand fold. As a result of this accident, the Confederacy government takes more control over the management of the space around Nashan. To help calm public outcry, the clans redouble there programs designed to colonize other star systems. The second "Long Reach" missions would bear fruit in 1578 when one of the survey ships reported that they had reached their destination, and were conducting an extended survey of a dynamic system. Though the message has taken years at the speed of light to reach the Nashani, the effect is instantaneous as several sleeper ships which have been prepared are launched towards the new system. The trip will take roughly 54 years, but the clans quickly fill the berths. Just three years later, the Nashani would be rocked by the revelation that they were not alone in the universe.
The "Long Reach" missions would be followed up in 1436 as the first colony ships would leave for the other worlds of the Nashani home system. Over the next 100 years, the Nashani would continue to settle throughout space, with the outer colonies feeding the materials back to Nashan for
A mining ship operating in the outmost reaches of the Nashan system's asteroid belt stumbled upon what the captain would describe as, "an obviously alien construct" in 1581. The Nashani scientific community swarms to the artifact, and before the work is even begun several clans lay claim to the discovery. In several instances, bickering turned bloody as clans conducted clandestine actions against each other jockeying for control over the item. To put a stop to the tense situation, a consortium of leading clans agree to
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study the artifact together, for the betterment of all Nashani. Though they do not know it, the Nashani have stumbled upon a Vorlon jump gate, left behind thousands of years before. The resources of the species are thrown at unlocking the secrets of the construct, and by 1598, Nashani scientists believe they understand its purpose quite well. The amazing potential with which they present the Confederacy is stunning to the clan leaders, and not without risk. The Grand council would be the stage for any and pointed debates over whether or not the gate should be activated. At last, it was decided to go ahead with experiments of a conservative nature. In late 1598, the jump gate was activated for the first time, and the first probes sent into hyperspace. These cautious missions continued until 1605, when a series of short, "manned" flights were undertaken. Assured of the safety of the device, a new round of "Long Reach" survey missions are launched into the maelstrom of hyperspace. Many ships are sent into the swirling depths, and some never return.
In 1612 the Nashani deploy their first ships equipped with its own jump drive, a testament to their engineering prowess. In a short time, they would have several jump capable survey ships which were sent out to explore hyperspace, and the regions surrounding Nashan. In early 1618, a survey ship returns with news of a great success, the Ushtal system has been reached by hyperspace, some 14 years before the colonists aboard their sleeper ships would arrive in 1632. Sadly, they would not find the survey ship which had left for Ushtal 100 years before, though later missions would discover traces of the mission on some of the planets of the system.
Rules of the Universe
Cautiously continuing their exploration of the greater Universe made possible by jump drive technology, the Nashani visited several star systems during the late 1600's and early 1700's. Though none would match the all out effort seen in Ushtal, all of the stars which the Nashani came to would soon have some permanent population. Some of these were mere outposts or mining stations established by a clan seeking riches. Others would come to rival the great cities orbiting the home-world.
All through these expeditions, the clan leaders new that it was a possibility that they could encounter an alien life form. After all, some alien intelligence had built the jump gate which they had discovered, and it was impossible to imagine that there were no other races among the stars. Still, none of the Nashani's early travels gave even the slightest hint that there were ever any other starfaring in there region of space. All that would change in 1756.
Within months of the of the successful return, a full scale colonization effort was launched to the system, making Ushtal the first interstellar colony of the Nashani. When the sleeper ships of the original colony effort arrived in late 1632, they were stunned to be greeted by fellow Nashani already living and thriving within the system. This "second wave" of colonists would be treated with great respect for the sacrifice they made to their people, and they and their descendents would be granted the ultimate honor as a new clan within the ranks of the Confederation.
Early that year a Nashani survey ship stepped from the veil of hyperspace into a previously unexplored star system. As the crew went about their duties, they were startled by the sudden appearance of objects appearing from one of the system's inner planets. The vessels were obviously under some kind of intelligent control, and the Nashani immediately attempted communication. As the minutes wore on, there was no response from the oncoming ships, and soon even more rose from the planet to form up behind the first wave. Not a naïve people, and aware of the possibility that alien races might not welcome "visitors", the Nashani made preparations to jump out of the system should the aliens become hostile. They would not have to wait long as the oncoming ships began to salvo large, primitive rocket propelled munitions, which Nashani sensors revealed were fitted with large thermonuclear warheads. Quickly the Nashani activated their jump drive and moved to retreat. The few slow moving rockets that managed to get near enough to the Nashani before they jumped out were destroyed by the defensive systems on board the explorer, and the Nashani made good their escape. Though no blood was shed by either side in the encounter, both would learn from the experience. Though neither would know it that day, it was to
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be but the beginning of a new chapter in each of their races histories. The Nashani had met the Medushaan.
Within a few years of their initial encounter with the Medushaan, they would become more cautious in the exploration of the new territories. Other species would be discovered in time, though none yet possessed the interstellar travel, and most were of relatively primitive levels. There would be other meetings with the bellicose Medushaan. In each instance, the Medushaan would refuse any communications, and instead would attempt to destroy the survey ships with every means at their disposal. By 1801 the two races had carved out well-defined borders, though the violence of the meetings would now lead to losses on each side. For years to come the Medushaan would launch attacks into Nashani territory, usually taking horrific losses to the more advanced Nashani, but never backing down. The ongoing border conflicts would be the catalyst for the creation of the Nashani Confederacy's first centralized naval command, and their first purpose built warships.
even dangerous. Still, there was little done to curtail the troubling movement, a fact that Confederacy leadership would one day regret dearly.
Between the Empires
Not all relationships with alien races would be composed of violent clashes. During the 1800's, the Nashani began to make contact with the various species within their corner of the galaxy. There contacts brought an interesting revelation. The innate empathic talents of the Nashani race were something quite unique to their species, and gave their people a distinct advantage when dealing with other races. Though not as concise as a telepath's ability, the capability to "read" the true emotions from an individual allowed the Nashani to manipulate negotiations with great subtlety, and to make sure that they left others with a positive impression. Coupled with their cultural tendency to negotiate, debate, and deal, the Nashani quickly garnered several very lucrative trade agreements, a non-aggression pact, and even basing rights. To the Nashani, it would have been illogical not to use every advantage at their disposal when dealing with aliens. While most Nashani considered such practices just good business, there were those among the clans who began to believe that they had a right to take advantage of other, "inferior" races for their own advancement. Though not a common sentiment among the pragmatic Nashani, clan leaders feared that if left unchecked, this hubris could lead some among them to become too bold or reckless, and
During there initial contacts with other races, the Nashani would learn that the local portion of the galaxy was dominated by two empires, the Centauri and the Orieni. This prospect unsettled the Nashani, as by all accounts, these two empires exceeded there own technical capabilities by a fair margin, and seemed to be bent on an endless campaign of expansion. The most immediate threat to their space seemed to be the Orieni, as their massive empire lay just a few jumps beyond their own fledgling holdings. It would not be long before the Orieni would come to call. While Nashani would find the Orieni refreshingly straitforward, they would be unsettled by their intentions. Though offered a place within the Orieni Empire, the Nashani Grand Council would politely, but firmly refuse. The Nashani clan leadership believed that they would be giving up everything they had gained through their own effort, and quite possibly their very identity. For their part, the Orieni accepted the decision of the Nashani people, but left them with a chilling warning; should the Nashani ever align with the enemies of the Orieni, the Empire would then consider the Nashani Confederacy a disciple of evil. With that, the Orieni delegation left the Nashani, somewhat less than secure about their position.
The Nashani would have even less contact with the Centauri, and would be similarly be unsettled by the fragility of their existence. The Nashani would learn that the Centauri made no offers of peaceful co-existence, no parlays for trade of jumpgate rights. Instead, the Centauri simply took by force, be it military or economic, whatever they set their sights on. Unlike the Orieni, The Centauri were corruptible, but the Nashani had little to offer a Noble House that it could not simply take on its own. Besides, the Nashani knew that they could only buy a bit more time. Another possible advantage was the placement of Medushaan space between the Centauri and the Nashani. It became increasingly obvious to the Nashani that the Medushaan were shifting some of their forces from their border with the Nashani, to confront the coming of the Centauri. The Grand Council was
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divided on how to handle the situation. Some wanted support the Medushaan in some way to keep them in any fight against the Centauri, others wanted to take advantage of the Medushaan weakness and actually aid the Centauri by striking at them. For their part the Medushaan consistently refused to communicate, making it immensely frustrating from the Nashani standpoint.
The whole situation placed the Nashani in a very uneasy position. They new it was but a matter of time before one Empire or the other would see the necessity or the advantage in seizing some or all of Confederacy space. With few options available, in 1886 the Nashani renewed their efforts to explore in the spin-ward direction from Nashan. Their hope was to not only locate new markets for trade, but to establish colonial footholds where the Nashani populations could relocate, should one or both of the great powers decide to invade. These missions were marked by a secrecy never before seen in Nashani explorations. Unlike their earlier expansion, the Nashani did not construct jump gates and move large groups of colonists shortly after discovering a useful system. Now, systems deemed valuable were well charted, but kept off the beacon routes. Further, instead of civilian habitats, military installations were constructed and defenses set in place well before small large scale construction was begun on population centers.
Along with this government effort, several individual clans began to make preparations for the storm they new they must face. Some focused on their own explorations and colony efforts, and others built their own warships and prepared for battle. Among the clans there were even those that secretly looked outside of Nashani space for help should the need arise. Among these clans were some of the oldest and most powerful families, and their wealth and influence were considerable. These clans sought not only mercenaries, allies and weapons, but ways to destabilize their giant neighbors so as to turn attention away from themselves. Clandestine meetings and back room deals would ultimately bring these Nashani what they sought, but at a price that they were not prepared to pay.
The Dark Edge of History
By the early 1900's the Nashani knew that the events around them were coming to a head. All of their sources and instincts led them to the conclusion that the Centauri and Orieni were preparing for war. Such a conflict would likely prove cataclysmic for every race in the region. Already, the Centauri were beginning to press the Medushaan in earnest, and would doubtless launch an assault to secure their flank. The Nashani would not be far behind. Though they had been preparing for just such an event for years, they knew that alone against the Centauri, they had no hope. The spin-ward expeditions had provided a few fall back positions, and new trade contacts, but offered but a slim chance of longterm freedom for the race. The Grand Council debated at great length over the possibilities of what could be done. Some favored joining the Orieni Empire claiming that some freedom was better than none. Others completely rejected this while other still felt that doing so would only mean forcing the Centauri into action even sooner. Government colonization efforts were stepped up, while individual clans continued with their own preparations. Quietly, the greatest of the clans decided that their only hope was a desperate course of action indeed. They watched and waited for their opportunity, and when they timing was right, they took the greatest gamble in their history.
In 1955, the Centauri launched their anticipated offensive aimed at crushing Medushaan resistance. An impressive armada of house forces built around a core of warships from the Republic's navy, it tore right into the Medushaan space with no pretense of subtlety. The Medushaan massed their forces to meet the threat head on, and the confident Centauri welcomed the opportunity to destroy them in one swift blow. What the Centauri had never counted on was the intervention on the Medushaan's long-time enemy, The Nashani. A force of the newest and most capable Nashani warships had played a dangerous gambit by shadowing the powerful Centauri force through hyperspace. When the Centauri force engaged the defending Medushaan force, the Nashani jumped in behind them and without a moment's hesitation, opened fire. The shocked Centauri were caught between the battle hardened, desperate Medushaan, and the disciplined, advanced Nashani force. All order broke down in the Centauri force as ships tried to maneuver out of the trap, only giving their enemies greater advantage. The Centauri fought for their lives, but few ships would
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escape the conflagration. Though losses were high on all sides, the combination of Medushaan and Nashani forces won the day. But this was just the beginning. Hails went out from the Nashani fleet and a great tension filled the space between the Medushaan and Nashani forces, as their long-time enemy tried to make sense of what had happened.
After some time, the silence was broken and for the first time, the Medushaan responded to the Nashani. Immediately the Nashani sent out diplomatic overtures, even offering to send a delegation to the Medushaan fleet, unarmed. Still wary of the Nashani, the Medushaan accepted the offer. They knew that the Nashani were a frail race in comparison to their own, not to be feared, but could be intimidated. The Nashani accepted the terms laid out by the Medushaan and their envoys were sent. Still confused and uncertain of the Nashani intent, the very fact that the Medushaan did not kill the Nashani delegation upon their arrival was testament to their curiosity, and perhaps thanks for the Nashani intervention. The Medushaan would also be surprised at the Nashani courage. They had long thought of their neighbors as weak cowards, and were impressed by the unflinching confidence of the delegates. Even in the much harsher physical environment of the Medushaan vessel, and among the burly warriors of that race, the Nashani conducted themselves with a cool confidence, but not arrogance.
tolls to employ against the hated Centauri, and they had given up nothing in return. The Nashani, for their part were elated that they could oppose the encroaching Centauri with Medushaan blood, and had given away far less than they had been prepared to.
Although the Treaty with the Medushaan had been a true coup, most of the clan leaders still believed that it was but a matter on time before either the Centauri or Orieni escalated their own conflicts to an all out war. Should that occur, it was likely that the fledgling alliance would find itself squeezed between the two giants, or worse yet become a battlefield as each side sought to outmaneuver the other. As a result, most continued their own schemes for survival.
The Spoils of Another's War
Eventually, the Medushaan would agree to a meeting between their leaders and the Nashani embassy. In those meetings the Nashani would reveal the true intention for aiding the Medushaan against the Centauri. They reasoned that neither race could stand alone against the powerful empire, but perhaps an alliance of the two would prove to be too difficult for the Centauri or the Orieni to attack, so long as they still faced off against each other. The Nashani offered trade and shipping rights, as well as technology to the Medushaan, and in return, they only asked for an agreement that should either be attacked, the other would come to their defense. The Nashani would eventually have to give the Medushaan other minor concessions, but they had gotten what they wanted, and in early 1956 the two powers formally entered into a mutual defense pact. When the pact was completed to their satisfaction, the Medushaan believed that they had gained the better part of the deal. They would have greater
When the Centauri-Orieni conflict did finally manifest into all out war, The Nashani and their new allies the Medushaan declared themselves neutrals. Both the empires would threaten that if the alliance gave any assistance to their foe, then the Nashani and Medushaan would become enemies of that empire, and thereby be targeted for destruction. The alliance initially bolstered their defensive frontiers, but it soon become apparent that neither of the two empires had the ships to spare from fighting each other to make a serious attempt on the allies territory, for now. What the Nashani feared more than anything at the time were not attempts to seize their territory, but purely punitive attacks meant to punish them for supporting one side or the other. It would not be difficult for either side to render one or more Nashani world a lifeless rock if that was their intention. Even the Medushaan, who wanted nothing more than to invade the Centauri territories on their border, recognized the dangerous situation, and were forced to content themselves with their usual, small-scale border raids on Centauri holdings.
Both the Centauri and The Orieni found many of their normal trade routes blocked by the ongoing conflict, and many of these blockades could be avoided by passing through space controlled by the Nashani-Medushaan alliance. A few months into the war, both empires began to move large, heavily escorted convoys through territory controlled by the Medushaan and Nashani. The
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Medushaan would attack these convoys when possible, but could do little more than harass them. For their part, the Nashani would shadow the civilian shipping, but took no action. Though it was apparent that neither side in the ongoing war could spare the ships to stage an invasion of Nashani space, the Nashani feared what would befall in the antebellum years. It would not have been wise to anger either party to the conflict, lest the Nashani face their wrath in years to come. The course of action that was finally agreed upon was a deft piece of diplomacy, even if it was primarily symbolic. Nashani controlled space was declared "free worlds", open to civilian vessels of any race. Peaceful traders were welcomed at all Nashani ports, and Nashani police forces would ensure the safe passage of all shipping which would pass through. In this declaration, the Nashani could distance themselves from any favoritism, and it would make the whole situation generally more palatable as Centauri and Orieni shipping were no longer simply violating Nashani space as they chose to. The Nashani also knew that neither belligerent would allow them to escort their vessels, thus a hollow offer.
After a great deal of wrangling with the Medushaan, the Nashani would convince them to curtail their attacks on Centauri shipping and join the Nashani in this declaration. Together, the Nashani and Medushaan territories would become known by spacers as the "Free Worlds". Throughout the course of the Centauri-Orieni War, civilian shipping on both sides would continue to take routes through the Free Worlds, and there were surprisingly few incidents between either empire's forces within Free Worlds' territory. A Few ships in need of repair would sometimes even stop at Nashani ports, providing some small benefit to the locals. The situation would remain tense throughout the War, but the Nashani could do little more than hope that hostilities remained far from their door.
A Dagger from the Darkness
The war between the Centauri and Orieni had quickly ground to a stalemate, and the Nashani seemed content to sit on the sidelines, and ride out the war. There were difficulties though as trade had become more difficult and dangerous, and the Nashani found it increasingly difficult to keep their economy rolling along. Military expenditures had never been higher, and coupled with the strain of survey and colonization efforts, there entire infrastructure could easily collapse given any significant jolt. The status quo could not be maintained, and in this climate, certain factions within the clans would step forward with a bold plan. A powerful clan leader revealed to the Grand Council that his clan had been secretly acquiring and developing powerful new weapons through contacts with an alien ally . With these weapons they intended to attack the Orieni with the goal of seizing valuable territory while their attention was elsewhere. They reasoned that in the end, the Centauri would be victorious, and it was better to show the Centauri that they were a strong race, and that they were in fact not there enemies, but perhaps their allies. The proclamation stunned the assembled council beyond words. What was perhaps the most troubling aspect was the ferocity of the clan leader's convictions. The Grand Council knew beyond a doubt that the clan leader was absolutely assured of the success of the madness he proposed. Even long-time supporters of the clan had never guessed at the plans that had then been revealed. The final shock came as the clan leader calmly informed the assembled council that his clan's fleet, and those of their allies, had already departed for Orieni space. The Grand Council quickly arrested the clan leader himself, but they had no ability to stop what was about to happen, In an effort at damage control, they dispatched an envoy to the Orieni to disavow the actions of the rogue clan, but that envoy would disappear en route and no warning was given to the Orieni. It would not have mattered anyway.
The year was 2008 when a small but powerful force of the most advanced warships the Nashani had ever produced jumped into Orieni space and began their attack. At first, the defense of Orieni space was in the hands of a few, older vessels, police forces and fixed defenses stripped of much of their capabilities as reinforcements were sent to the Centauri border. These attacks were significant enough that the Orieni felt they had to respond with a decisive force before their attackers succeeded in penetrating the outer worlds of the empire. Quietly, but with a bit of desperation they pulled a powerful fleet from the Centauri border and raced to meet the new threat,
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hoping to crush it before the Centauri could capitalize. They would not succeed. Though their fleet would engage and ultimately obliterate the forces of the rogue Nashani, the Centauri would recognize the sudden opportunity they had, and resumed their offensive before the Orieni could return to their defensive positions. This brief weakness would spell doom for the Orieni even though they would eventually blunt the advance, as this time they would not be able to push the Centauri back.
Following the incident, the Grand Council discovered the shocking truth behind the entire affair. One of their most powerful families had allied itself, had indeed become the pawns of an alien race called the Drakh. Though the Nashani would never know the true goals of the Drakh, it was plain enough the damage they had done. To try and make amends for their actions, the Grand Council seized all of the assets of the clan responsible, and arrested all that they believed were involved in the plot. The assets were offered to the Orieni as compensation, as were those who were responsible for the acts. The Orieni would accept the culpable parties, including several Drakh, but refuse any "pay-off" or reparations. They instead executed the entire Nashani embassy which had delivered the message and the prisoners. The corpses were sent back to Nashani space with the promise that such would be the return of any Nashani that ever crossed into Orieni space. Only the fact that the Orieni Empire was in fact crumbling saved the Nashani from a more terrible fate. Ashamed of what had happened, the Grand Council saw to it that all evidence of the entire episode was destroyed, but the leaders of the Confederacy would never forget.
Filling the Void
The Centauri-Orieni war came to a conclusion in 2010, and left much of the territory around the Nashani broken. Though the Nashani had feared the end of the war because they believed that the victorious power would turn its sights on them next, there fears would prove largely unfounded. The Orieni Empire simply collapsed as constituents broke away from the central power, and the Centauri were far too exhausted to begin a new campaign. In fact, it would not be long before the Centauri Empire would begin to crumble as internal strife and civil war consumed it. As worlds drifted or broke away from the once proud empires, they looked survive, rebuild and ultimately prosper. Into the vacuum left by the dying giants, the Nashani cautiously probed. Between 2020 and 2082, the Nashani would begin to claim a few former Centauri colony worlds as there own, and established trade relations with others. During this time, these rebuilding worlds were eager to trade freely to spur on their post war economies. The Free Worlds Alliance provided secure trade, and in the instances of the annexed worlds, pledged their forces in defense. In this way, the Free Worlds grew from a simple alliance, to the beginnings of their own kind of Empire. The Nashani were careful not to make enemies of the former Centauri and Orieni subject worlds, and instead offered only to help if asked. They did not garrison troops or try to control governments. Instead they carried goods on their ships for worlds without their own merchant fleets in return for certain concessions, provided protection from raiders to those who needed it in return for jump gate access, and so forth. While they remained ever cautious, the sphere of influence of the Free Worlds grew at a slow but steady pace. During this time, the Medushaan proved themselves invaluable, and reliable allies. As the two races worked together to expand their territories, it became increasingly apparent that their destinies had become intertwined.
A New Beginning
By 2094 Nashani and Medushaan leaders have begun to talk openly about the possibility of a political union between their two governments. The proposal would provide fewer economic barriers and greater military cooperation. Each nation would also cooperate closely in matters of foreign affairs. However, many factions within both races staunchly opposed to any political combination of the two peoples. At first there were simply those who spoke out against the possibility. Then, there was outraged dissent. Then there was civil war.
Each race was faced with separatists who would die before they would give up their species' "freedom" to another race. Those that favored the union were known as the Central Order. Though not technically a majority within either race, the Central Order was definitely composed of and supported by the most powerful factions of both
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the Nashani and the Medushaan. Most of the attacks by separatist forces were upon symbolic targets, or those with economic importance to both states. By early 2098 those Nashani that were opposed to the new Union had been eliminated or "convinced" of their error. There was still a sizable force of Medushaan warships in control of separatists, and late in the year (2098) they were finally corned by forces of the Central Order, and defeated in detail at the Battle of Rentamn.
In 2102 a unified government was officially created by agreement of the Nashani and Medushaan, with the capital established the Ushtal system. Called the Free Worlds Confederation, the government was based on the Nashani system, with large numbers of representatives from both races. Most of the bureaucracy for the new government would be made up of Nashani, though a surprising number of Medushaan males proved willing and quite able as well. The two nations would remain separate with relation to internal matters, but were united when it comes to external relations, trade agreements and military affairs. The official governing body, composed of representatives of both races would be known as the House of Stars. The chief executives of the house would be ministers chosen from both the Nashani and Medushaan, in equal numbers. There would be relatively few ministers, and though they would be ultimately answerable to the delegates of the House of Stars, it was they who would wield the true power within the new government. Though the closest of allies for nearly two centuries, this would be a very difficult transition at times, but one worth the all the efforts in the end.
Wars of the Confederation
2120-2121 would see the first test of the now unified Confederation. Several powerful Centauri houses seek to reclaim some of their lost trading, and mining interests in the border regions of the Free Worlds. They would organize a series of attacks along the Centauri-Free Worlds border composed of the forces at their disposal. Well coordinated defense of the border systems would hold them at bay, but the Confederation does not want to send too many of its much needed forces to defend the fringes of their space. Eventually, the Centauri Royal Navy would send a sizable force to "secure" the border region. After a few shows of force, the Royal Navy would take no territory, but won several trade concessions for the noble houses. These concessions would later serve to embolden the Centauri.
The Second War of the Confederation would be fought between 2126-2130. This was a major assault by the Centauri along the whole "western" border region of the Free Worlds. The Confederates would fight hard, but find themselves unable to go toe to toe with the Centauri in the mobile defense that was required. In the end, they would loose seven of their border outpost/colonies (Quadrant 2, Ostova, Conoripax, Quadrant 4, Correntz, Quadrant 3 and Beta 10) and were forced back to positions along the Sivorn, Lodira and Mantukas border, before the Centauri offensive losses momentum, and the lines stabilize. The majority of the Confederacy's mobile forces were decimated during this conflict. Only the refusal of the Centauri emperor to commit heavy reinforcements from the royal navy prevented the Centauri from punching through to more vital worlds. The Nashani are able to restrain the Medushaan from launching a suicidal counteroffensive by promising their full commitment to vengeance. Secretly, the Free World forces begin rebuilding their fleets, having learned many lessons from the conflict.
The Third War of the Confederation (The War of Liberation to the Medushaan who had lost more of their colonies to the Centauri) was launched by the Free Worlds Confederation in 2148 and would last until 2152. Again the Centauri Empire was contracting, and the Free Worlds military is prepared to strike. Taking advantage of Centauri weakness in the region, they hope to regain their lost territories, and perhaps gain new ones in the process. Their fleets have been rebuilt, with their focus on ships and doctrines designed to defeat the Centauri.
The offensive began slowly with raids on Centauri forces in the border region, testing the reaction of their foes. Soon, it would become apparent to the Free Worlds that they were facing only poorly trained, poorly equipped and undisciplined house forces, in stark contrast to their prior conflict with the Royal Navy. Tentative raids evolved into more bold strokes, but always the Free Worlds Navy used Hit-an-run tactics to minimize losses. Exposed and attacked from many sides, the Centauri house forces were unwilling to die
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for the Imperial frontier posts, abandoning their facilities at the Gamma 3, Quadrant 4, Correntz and Beta 10 systems.
In early 2152, a Centauri Lord managed to gather a substantial fleet to re-conquer the lost border region, and eventually take the entire Confederacy. The Centauri tried to catch the Free Worlds Fleet for four months before they had their chance in the Essekyre system. In fact, the Centauri had allowed themselves to be pulled into a trap, and this coupled with the incompetent nature of the many Houses involved, led to them being almost completely destroyed. The victory at Essekyre would be the death knell of Centauri involvement in the region. Thereafter the throne would refuse to support House calls for assistance, and finally the houses themselves with withdraw totally.
Meeting New Threats
In the 2230's it became increasingly obvious to the Nashani that another power had staked its claim throughout much of the region's former Centauri space. Moving into the area from their core-ward Imperium, the Shatu were technologically advanced and ruthlessly efficient. Rapidly they set about sweeping up the broken pieces of the former Centauri subject worlds, and with frightening speed had become a major player in the region. The Nashani had had some minor dealings with the Shatu in the past, but nothing had hinted at the ability of the Imperium to seize and secure such a wide area of space so rapidly. Some within the Nashani hierarchy believed that the Shatu were over-extending badly in an attempt to grab as much territory as possible, others hoped they were, but secretly feared they were not. Ever wary of potential threats, the Nashani tried several times to slip intelligence gathering missions through Shatu space with trade convoys, with mixed results. The very fact that so many of their spy ships simply vanished without a trace gave even more reason for the Nashani to be concerned.
actions of the past, these incursions were disciplined and formidable. Early in 2235 the expected thrust exploded into Medushaan space. The defenders had been forced to place their forces at several key locations, and the lack of concentration was telling as the Shatu brought the full weight of their strike force to bear on the most heavily defended Medushaan border system. While the Shatu easily outmatched the individual Medushaan warships, they quickly found that they had miscalculated the sheer number of fighters that were available to the Medushaan garrisons. What they had not known was that the Medushaan had stripped every fighter, from every outpost not immediately threatened by the possibility of Shatu advance. Those fighters were staged not only from ground bases, orbital facilities and carriers, but from hastily converted freighters and transports. The massed fighter strikes from the Medushaan forces came at a staggering price to the defenders, but they slowed the advance of the invaders.
In late 2234, the Shatu began a series of hitand-run attacks along the old Centauri-Medushaan border. There had been cross border skirmishes between the bellicose neighbors for several years, but the tenor of the attacks were different this time. Rather than the typical quick and dirty, small unit
The Nashani delegation to the Medushaan home-world offered to intervene, and the Medushaan leaders relented, slightly. They agreed to allow a Free Worlds fleet, which meant primarily the Nashani contingent, into Medushaan space, but only to secure the core-ward flank of the Gynocracy so that the ships there could be pulled to the front lines. The move would take some time however, and the Shatu would not allow the allies much breathing room, striking again just days after their initial assault. The second battle was even more in the Shatu favor in terms of ships destroyed versus those lost, but they had been forced to a more conservative battle plan to guard against the Medushaan fighter swarms. The Shatu still held the advantage in warships, what hurt them the most now was their lack of intelligence regarding the interior of Medushaan space. As their scouts fanned out to determine the best route of advance, precious time was being lost. Although the Shatu Fleet used the brief respite to consolidate their gains and effect repairs, they had lost the initiative, and with it the possibility of matching numbers against the Medushaan. But the Shatu had one more ace to play. When their scouts located the next target the force lingered just long enough to dispatch a courier to the second prong of their attack, from the core-ward side of Medushaan space. They gambled on the fact that the courier would arrive at its location, on time, and the second
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force would immediately jump to their target, and timed their advance accordingly. Though the second force was smaller, it should, they reasoned, face little opposition as it ran down the defensive frontier of the Medushaan to catch their fleet in between. It was a risky plan that depended on perfect timing and execution, but the Shatu were a very confident lot.
The Shatu continued their grinding assault, confident their flanking force would break through. What the Shatu did not know, and would not find out until much later, was that the second prong of their attack had jumped into the teeth of a Free Worlds Battle group composed of Nashani main combatants that had arrived just hours ahead to secure the Medushaan flank. Though the Shatu did hold a tech advantage over the Nashani, the margin was narrower than that with the Medushaan. Worse still, the flaking force was composed primarily of the lighter and faster units in Shatu service, and found itself at a severe disadvantage in pure firepower. Outgunned, but unwilling or unable to abandon their plan, the Shatu attempted to break through the Nashani. They would inflict heavy damage, but eventually they would succumb to the heavier force. With the destruction of this force, the Imperium lost all hope of a quick success.
Confederation would respect whatever the Medushaan leaders decided.
The following negotiations were relatively straight forward, as befit the natures of the belligerent races. The Medushaan demand was simple, the complete withdrawal of the Shatu from the worlds seized. The Imperium for its part demanded that the Medushaan abandon several outposts throughout the border regions which were little more than listening posts and staging areas for nuisance raids. Though the points seemed simple ones, it took months of wrangling with the Nashani acting as the mediators under the banner of the Free Worlds. In the end, the Nashani would come away with a greater respect for the Shatu, feeling that the Imperium had salvaged a victory through diplomacy that had not been achieved through military might. All to often, the Centauri had pushed the Free Worlds as hard or harder than the Shatu had done, but had come away with little to show as they had been unwilling to deal with the Confederation or its members as equal entities. To the Nashani, that simple fact made the Shatu all the more dangerous, and they would not soon forget it.
The State of the Confederation
The situation devolved into a stalemate with the Shatu battering any Medushaan attempt to dislodge them from the systems they had taken. Many in the Free Worlds wondered where the Shatu would attempt to strike. None expected the deft diplomatic maneuver that came next. A Shatu ship carrying a diplomatic mission jumped into Nashani space and announced that it carried the authority to negotiate a cease fire, but that it would do so only with the Free Worlds government. The Shatu had rightly recognized that the Medushaan would not negotiate any settlement, directly. Though the Nashani maintained that the Free Worlds Confederation could not impose terms on the Medushaan government, they agreed to take the matter to the Confederation for consideration. Initially the Medushaan members of the Free Worlds government vehemently opposed the proposed negotiation, but they were won over by the Nashani who maintained that the Confederation would act only as the conduit for the negotiations, and that the Gynocracy would have the final say in any agreement. The
With their victory over the Centauri in 2152, the Free Worlds reached their present day borders. With the removal of the vast power of the Centauri from the "western" borders of their territory, the Confederation leadership determined it wise to keep a buffer between their space and those of other powers. The trade ships and diplomatic transports of the Nashani are common sights in the regions of the galaxy once so dominated by the Centauri and Orieni, but they have no interest in trying to control this region themselves. They have learned well from the mistakes of the two former superpowers. While the Nashani and the Free Worlds Confederation are relatively unknown anti-spinward of the Centauri Republic, they have had trade contacts with the Golians and Antareans, and they are known to the Minbari as well, though no formal contact has occurred. Of greatest concern are the regional newcomers, the Shatu. Advanced, and aggressive, these beings threaten to upset the balance of the region, which has favored the Free Worlds for a great many years. Recently, there have been signs of an Orieni
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resurgence. Obviously the consequences of a rebirth of that Empire are not lost on the Nashani, and they have quietly prepared for possibility of conflict, determined this time to stand their ground as an equal.
The spin-ward holdings of the Free Worlds are not as extensive or as developed as those of the "heartlands" or the anti-spinward territories. The spin-ward regions provide most of the raw materials still collected in the Free Worlds, and there is some trade with the few races that the Nashani have encountered in the area. Nashani exploration has brought other benefits from this region of space, including the recent discovery of a long dead civilization which has provided the Nashani with access to true gravitic technology for the first time. Though they still do not fully understand these systems, the ingenious Nashani have already seen practical applications of the technology with the promise of greater things to come.
It is known that a delegation from the Free Worlds once visited Babylon 5, and that they had many meetings with the ambassadors in residence, but it is unclear what will come of these meetings. For one, the Free Worlds Confederation is a very long way from the League of Non Aligned Worlds, who would be the most likely to trade with the Free Worlds. On top of that, the most direct routes to that region of space are dominated by the Centauri and by the Minbari, neither of whom is likely to allow Confederation Trade to pass through their space. To make things more difficult, the Orieni have kept their word destroying any Nashani or Medushaan (damned by association) ship which has entered their space no matter the reason. Now but a shadow of its former power, the Orieni have worked hard to rebuild the territory under their control, and could well prove a major problem for the Free Worlds one day.
leaders among their ranks.
The economy of the Nashani is tied to the fate of the Free Worlds Confederation, and that is dependant on trade both domestic and foreign. The Nashani in particular provide a great many of the finished goods produced by the Free Worlds, trading them for raw materials and exotic items. In particular, the Nashani are known to produce excellent power systems and good sensor suites for export, with their greatest beneficiary being the Medushaan. The Nashani can see the opportunity that the anti-spinward powers would provide, but also know that there are a great many obstacles, and even now the Grand Council and the House of Stars debate the best way to overcome them.
Worlds of the Nashani Confederacy
Nashan
The Nashani Military is relatively small in comparison to the overall size of their territory, and as a result it is a professional, dedicated force. The Nashani provide the core units for the Free World Navy, and their vessels are capable, and flexible. Combined with the fearless brawlers of the Medushaan, they can be extremely formidable. For physiological reasons, the Nashani do not provide any ground troops to the Free Worlds Confederation, allowing them to specialize in naval warfare, and there are many excellent naval
As the home system of the Nashani, Nashan has seen the greatest amount of development, growth and change of any system controlled by the Confederacy. During the years before hyperspace travel was possible, the Nashani spread throughout their home system exploring the worlds to be found and exploiting the resources available. In time, the majority of all Nashani would live in the off-world colonies, factories and asteroid mining stations. After unlocking the secrets of jump gate technology, the Nashani began to spread to other stars, and fewer and fewer called Nashan their home. Industry and research moved to more suitable locales, and orbital cities which once housed thousands went silent, and were dismantled for their systems. Today, the Nashan system remains the cultural and political heart of the Nashani. The skies over the home world are now speckled with the magnificent manors of powerful clans, and the seat of the unified government, a huge facility known simply as Council House. The permanent population of the entire system is still significant, but no where near those of some of the important colony worlds, and is composed primarily of the "elite" of Nashani society. The home-world itself has barely any full time inhabitants, and has become something of a tourist attraction. Nashani from other systems visit
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their ancestral home to view the lands where their clans-folk once called their own and to visit locations of historic importance. Those few that choose to live upon the surface of the world throughout their lives are known as the "Tree Keepers", and it is likely that they could become their own distinct clan some day.
Because of the political significance of the Nashan system, there is a large military presence in system, and a formidable defensive network. The system's defenses are controlled from the massive command center, built into Nashan's sole natural satellite. Once the base was the headquarters of the Confederacy's Navy, but with the formation of the Free Worlds, a joint command was established in the Ushtal system. Though it would seem that there are too few ships to protect the system, the truth is that the ships of the Free Worlds navy would be augmented by the potent forces operating under the clans which make here home at Nashan.
Ushtal
If Nashan is the cultural heart of the Nashani Confederacy, Ushtal is the economic nerve center. The oldest colony of the Nashani, Ushtal is nearly as heavily developed as Nashan was during its peak. During the early years of colonization, industries were built to take advantage of the plentiful resources, and around those industries the clans would construct business interests of every type to support the sudden population surge. In time most of the clans would relocate their business operations from the home-world to Ushtal for the sake of efficiency. Today, Ushtal is a constant bustle of activity as ships carrying raw materials come in, and manufactured goods are shipped out.
Ushtal is also important as it is the capital of the Free Worlds Confederation. As such, the system represents one of the truly unique amalgamations of two races to be found. See the comments in the section on the Worlds of the Free worlds for details on the capital.
Voshtal
The second system colonized by the Nashani. Voshtal was once considered of value only as a defensive bulwark protecting the direct route to
Nashan. That changed as spinward exploration located several systems rich in resources. Constructing new industrial facilities along the lengthening route was deemed to great a risk. Such expansion would require stretching the regional defenses very thin, and would require a huge movement of personnel and materials. It was decided to make use of the already well protected and nearby Voshtal system.
Today Voshtal is a very busy system, home to the bulk of Nashani heavy industry as well as the Confederacy's major shipbuilding facilities. As has already been noted, the Voshtal system is well defended, though it is no longer as heavily fortified as it once was. This is because the borders of the Confederacy have expanded, and it is no longer on the "front lines".
Rentamn
During the years preceding the Centauri-Orieni war the Nashani invested heavily in spinward exploration. The goal was to establish population and industrial centers well away from the probable war-zone, which was expected to extend into Nashani territory. The first of these "fallback colonies" would be Rentamn. Though it was not particularly well suited to colonization, it had the advantage of being close to the Nashani heartland while being away from any likely invasion route.
A great deal of capital and effort were expended to develop the system, and the Confederacy had to justify its expense. To help maker the colony viable the Nashani moved most of their government research facilities from Nashan to Rentamn. As the threat of invasion passed, and few new worlds of value were located spinward, Rentamn continued to grow. As a result, Rentamn has become the center of Nashani research and technical advancement, and important beyond the initial expectations of the Nashani.
Rentamn is not as heavily fortified as Nashan or Ushtal, but given its significance it is heavily patrolled by local forces and those of the Nashani Central Fleet. Rentamn is still the stepping off point for clan funded expeditions spinward, though the region has yet to yield truly useful discoveries.
Apsan
Like Rentamn, Apsan is the result of Nashani exploration in the years prior to the Centauri-Orieni
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war. Spinward from Voshtal, Apsan has proven a modestly successful if unspectacular colony. With a reasonable amount of resources available, the colony at Apsan exports a fair amount to the industrial centers of Voshtal, and provides support for the exploration and colony efforts spinward. In fact, most of what comes to the Apsan system is merely passing through en route to its final destination.
Because of its proximity to the strategically important Voshtal system, Apsan is provided with decent defenses, and is the home port for many Nashani warships. Apsan can be considered the last large population center along the spinward route from Voshtal.
Cashital
This colony is spinward of Apsan and is home to abundant resources. The colonists in residence here are charged with the collection of these raw materials, and preparing them for shipment. The colony is actually a sprawling mass of smaller habitats which are dotted throughout the system at mining sites and other key places.
Cashital is fairly well patrolled by the Nashani, but lacks true "fixed" defenses. This is because of the nature of the settlement, which is widely dispersed throughout the system. It should be noted that most of the stations in the system, "civilian" or not, are armed for self-defense, and many clan operated warships are around to protect convoys as the depart the system.
Jenan
The most "spinward" of the Nashani colonies, Jenan is a trading post and a launching point for further explorations. A relatively minor settlement with few of its own resources, Jenan exists as a bridge to the few species the Nashani have contacted spinward of their territory. An austere but busy port facility near the system's single gas giant world is the only civilian settlement within the system. Because of it's exposure as a border world, the Nashani maintain a fairly sizable force of patrol vessels and fighters in the system, based from one of the gas giant's moons, which has been well fortified. These forces are often augmented by clan vessels which are escorting valuable merchant vessels to and through the system. Main fleet elements also make patrol sweeps of the system, "showing the flag" for the alien races that might be in-system on business.
Nashani Vessels
The Nashani are not weak. Strength of will is a weapon as true as strength of arms. -Regna Tarl Padra (2078-2153)
Ana-Shi-Class Command Cruiser
There is one addition interesting fact about the Cashital system, one known to very few within the Confederacy. During the initial surveys of the system an ancient, derelict vessel built by an unknown race was discovered on one of the system's worlds. The vessel had many systems on board that were well in advance of anything the Nashani had yet built, or in some cases encountered. Very quietly the vessel was disassembled and moved to government research facilities. Recently, the Nashani have made several advances in gravitic and materials technology as a direct result of researching the systems found on the mysterious ship. Even today, Nashani scientific and archeological teams scour the Cashital system under the guise of mining operations, hoping to discover yet more that may have been left behind.
The largest dedicated warship operated by the Nashani, and the rarest. The Ana-Shi represents the best technology available to the Nashani. Armed with an array of attack lasers, ballistic lasers, and defense lasers, the command cruiser is also equipped with the new laser combiner, as well as gravitic shielding (also a new Nashani advancement). In addition to its fixed weapons, the command cruiser carries a squadron of interceptors for its defense. The Command cruiser is not intended to be risked in direct combat. Rather, it is to act a a fleet/task force command ship both for Nashani and mixed Nashani/ Medushaan forces. The command cruiser is equipped with a jump drive.
Deesh-Ra-Class Exploratory
Cruiser (Rare Ana-Shi Variant)
By the 2240s it had become apparent to Nashani leaders that their old survey cruisers were
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no longer effective long range explorers. However, none among the clans were willing to fund a new design or give up construction space to build it. A comprimise was reached in the mid 2250s. Several of the new command cruiser hulls then under construction would be completed as exploration vessels. The basic design seemed well-suited to the role with its large size, advanced syatems and integral jump drive.
Since the Deesh-Ra-class has entered service, it has provided the Nashani with a vastly improved initial survey capability. On the down side, the Deesh-Ra-class does not carry components for jump gate construction, and does have a very high operational cost. Many believe that the in the event of a conflict, the ships of the Deesh-Ra-class would be used as command and control vessels, for which they would seem well suited.
Otani-Class Battlecruiser
A pure fire support platform, the Otani is typically only encounted in large formations, and is not intended for solo actions. A long-range sniper, the battlecruiser mounts six attack lasers and 2 laser combiners, all of which are in the forward arc. For close in defense, the battlecruiser also has 8 defense lasers, and they are arranged so that several may be fired through a combiner to add to the forward offensive firepower if desired.
Ten-Sha-Class Combat Cruiser
Another new(er) design currently deployed in relatively small numbers. A very aggressive ship by Nashani terms, the combat cruiser mounts attack lasers and ballistic laser launchers to pack a good offensive punch. The primary armament is supplimented by 2 gauss snipers. The Ten-Sha also features a single laser combiner in the forward arc, and 6 defense lasers. Intended to be the new "ship of the line" for the Nashani fleet, it is unlikely that the Ten-Sha will reach such widespread service soon.
Keewa-Class Escort Cruiser (Base Hull)
The most commonly seen Nashani warship (but not the most numerous). Typically used to protect convoys and to patrol Nashani controlled space, the escort cruiser is a fair combatant, though not up to the standards of most galactic power's cruisers. Like most ships, the Keewa is at its best at long range with its armament of attack lasers, though it lacks the ballistic lasers and laser combiners of larger ships. The escort cruiser somewhat makes up for this as it carries 12 interceptors for fleet/convoy defense, and as a result is often deployed much like a light carrier when operating in larger formations.
Algawa-Class Strike Cruiser (Keewa Variant)
An attempt by some to get greater combat capability from the Keewa hull. Though a potent offensive warship, the design was doomed by high costs and lack of need for such a ship. It turned out that the standard escort cruiser was more cost effective and efficient for peacetime activities such as patrol of shipping lanes and convoy protection. As a result, the Algawa was produced in relatively small numbers. Those that were built are generally held in reserve by the confederacy in case they should be needed.
Teg-Sha-Class Scout Cruiser (Keewa Variant)
Using the same hull as the escort cruiser, it is very difficult for a foe to pick the Teg-Sha out of patrol or screening formations until they actively use ELINT capabilities. A fair if somewhat limited scout, the Teg-Sha retains the attack laser armament of the escort cruiser which do make it useful if forced to fight. To make room for the specialized ELINT gear and a jump drive, the scout cruiser does have to sacrifice the ability to carry fighters, but this is considered a reasonable tradeoff. Scout cruisers are surprisingly numerous in Nashani service. The Teg-Sha is equipped with a jump drive.
Shokkani-Class Heavy Frigate (Base Hull)
Somewhat smaller than the Keewa, the Shokkani actually boasts greater firepower, at the cost of the cruiser's ability to carry fighters and any jump capability. The Nashani employ the Shokkani as their main "Ship-Of-The-Line" and it is the backbone of any Nashani force. Because it lacks the ability to make its own jumps, and the somewhat austere crew accomodations, the
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Shokkani is rarly seen outside of Nashani space unless part of a larger strike force. Like all Nashani designs, it favors long-range weaponry.
Nehann-Class Escort Frigate
An older ship used by the Confederacy for convoy defense and system defense/patrol. Though not very useful against modern warships, it remains effective against typical raider-type forces. The greatest drawbacks of the Neehan are its thin skin and relative lack of mobility. The type remains in service primarily because the clans have a lot of them.
No-Las-Class Fighter-Killer
The Nashani have always had great difficulty defending against enemy fighter attacks. Many solutions had been tried over the years with mixed results, but none had been truly satisfactory. The aging Nehann-class escorts were well past their prime by the 22240's, and the ill-conceived Hatogaclass corvettes never approached the capabilities the Nashani had hoped for. In the late 2240's, Nashani engineers had developed an advanced version of the standard defense laser. While the weapon was a true generation beyond of its predecessor, the Nashani had no ships on which it could be mounted. Hefty power consumption meant that small ships could mount too few, and large ships would have to sacrifice offensive firepower for defense.
At this time the Nashani rediscovered a failed design from a decade earlier, the No-Las. Intended to be an attack MCV much like those operated by the Medushaan, the No-Las featured a powerful reactor for its offensive weaponry, and better agility than most Nashani vessels. At the time of its initial trials, the No-Las had been determined to be impractical, but fitted with the new Advanced Defensive Laser, it showed tremendous potential as an anti-fighter escort. Impressed, the Confederacy ordered the new type into production, and since that time, the No-Las has continued to impress as the Nashani's best anti-fighter platform to date.
Despite its capabilities, the No-Las remains in somewhat limited service. This is because of the expense to build and maintain the complicated ADL's, and the specialized nature of the class. Typically, the No-Las will be deployed in the
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screening elements of priority capital ships such as command cruisers and battlecruiser. Experiments have continued on the advanced defensive laser, but for the time being the No-Las remains the only ship to feature the weapon.
Shol-Ani System Defense Ship
The Shol-Ani is a relatively modern vessel, originally designed to serve in the Nashani fleet as a multi-role fleet support vessel. It was quickly spurned by the Nashani Military as a muddled compromise, only a few were ever built by the government before the program was cancelled. The ships that had been built languished in the fleet docks for several years until a few clans were able to purchase the hulls. Deploying them as system patrol ships, these clans quickly recognized the possible uses for this "jack of all trades". Soon, individual clans had procured construction rights from the military, and the design went back into production.
The clans have added several design features, such as the capacity to carry a small amount of cargo or extra supplies for patrols, or VIP accommodations. In some cases, the atmospheric capability of the design allows it to double as a ground to space transport/hauler for high priority cargos. Used extensively by local mining consortiums, these ships bring in the personnel and equipment and then defend the site while it is being constructed. Though useful against most raider forces, the nature of the design is such that it is of little value against competent military adversaries.
Hatoga-Class Patrol Corvette
A newer vessel designed to replace the aging and limited Nehann Based primarily on the Centauri Haven patrol ship, the Hatoga is small, relatively mobile and inexpensive, while carrying a useful armament. Many believe that it is too fragile, and because it is not as agile as its Centauri inspiration, unable to effective avaoid enemy fire. As a result, the Hatoga has seen limited service in somewhat smaller numbers, primarily with smaller clans.
Ha-Nito-Class Courier
(Hatoga Variant)
Considerably more successful than the Hatoga on which it is based. Since the Nashani prefer face to face interaction to long-range communications, couriers are a common means of transporting individuals to meetings. By removing the majority of the weapon systems from the patrol corvette hull, the interior of the courier is surprisingly comfortable, particularly for Nashani taste.
Ka-Tann-Class Diplomatic Transport
Used by the clans to ferry important individuals and items throughout the confederacy. The KaTann has a comfortable interior, powerful drives and basic defenses to insure that emissaries arrive to their location safely. Diplomatic transports are commonly used to carry clan representatives to meetings in other systems. Clan elders rarely travel, and typically only do so on board armed warships modified with comfortable quarters.
Hat-Tagi-Class Commerce Freighter
A bulk freighter used extensively by the Nashani to carry everything from raw ores, to foodstuffs to manufactured goods. A solid and reliable vessel, the Ha-Tagi class is also well armed for a "civilian" vessel, making it a difficult target for raiders and privateers.
A less common version of the commerce freighter is the Kalwa-class colonial transport, used by the confederacy to carry large numbers of colonists and their basic necessities to new star systems. Comfortable by Nashani standards, the Kalwa is capable of very long journeys, and will typically serve as the home for the colonists while they work to construct a new orbital habitat.
Game statistics are the same for both ships.
Yaron-Class Civilian Transport
A simple, reliable civilian liner used throughout the confederacy. While the majority are used as passenger transports, a sizable number are used as light cargo vessels. The standard civilian transport is considered a short-haul vessel, and does not have stores or facilities for long-range travel.
Wen-Shar-Class Light Fighter
Because of their somewhat frail physiology, Nashani do not make very good fighter pilots, and as a result they do not deploy a sizable fighter
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A Ka-Tann Diplomatic Transport and Escorts
force. The Nashani are smart enough to recognize though, that the fighter is the best defense against other fighters. As a result, the Nashani only operate one fighter, and it specializes in the role of Interceptor. Armed with fast firing lasers, fast and nimble, the only drawbacks to the design are its lack of durability (it's a light fighter) and the lack of durability of the pilots (resulting in poor drop out ratings).
the heart of a clan's business. Each manor is unique in its architecture and its aesthetics, but all are roughly similar for game purposes. All orbital manors are well protected and well armed, and often have one or more warships in attendence. The skies over Nashan itself are home to many orbital manors although they are also found in other Nashani controlled systems. The manor depicted here is that of the Shen-Ra clan.
Malara-Class Orbital Habitat
The Nashani are rare in their tolerance, indeed their preference, for weightless living conditions. As a result, they only rarely build ground-based colonial facilities. Instead, they construct large orbital habitats where colonists live and work in comfort. Huge stations encompassing living quarters, industries, and even agriculture, these cities in space are common throughout Nashani territories. Even if the colonization effort is centered on a planetary body with minimal gravity, the Nashani will generally construct an orbital habitat to act as the colonial center.
Shen-Ra-Class Clan Orbital Manor
Ha-Gonan-Class Orbital Commercial Station
These huge constructs are the main ports of any Nashani controlled system. Capable of housing thousands of permenant residents and visitors, these stations teem with activity non-stop. Though nominally "civilian" facilities, the value of each commercial station means that they are always well defended. Most commercial stations are actually multi-clan investments, and it is not unusual for such stations to act as a base for clan warships alongside civilian freighters and transports.
Teshera-Class Defense Fortress
These are the private residences maintained by individual Nashani clans. Usually an orbital manor will be the permenant home of the clan's elders, and
These stations act as the anchors within any Nashani planet's defensive network. Always independent of individual clan control, these stations coordinate osats, mines and mobile forces
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against any threat. Very well armed and armored, a planetary defense fortress is always attended by some number of warships and/or patrol craft directly tasked to system defense. Generally only one such fortress would be located orbiting any world, though a particularly important world could be home to more as necessary.
Bahani OSAT
The Bahani osat is the standard orbital defense platform in use through nashani controlled space. A compact and reliable design which can mount either a single gauss sniper cannon or a single attack laser. Area defense is provided by a pair of defense lasers.
Shinara Advanced OSAT
This new defensive system has recently begun to appear in high priority positions within confederacy space. The features a single attack laser as its main armament along with a pair of advanced defense lasers. Coupled with superior sensors, the Sinara is far more effective than the Bahani.
Mines
The nashani use primarily DEW-type mines throughout their defensive networks. The Standard Nashani mine is the Deman-class DEW mine which is used by both governement and clan entities.
Experts and Elite Officers
As has been noted, the Nashani possess an excellent and well-trained naval establishment. It is not surprising then that the service has a wealth of expert officers serving throughout the ranks. In addition to the experts commonly available to other races, the unique Nashani makeup has given rise to an elite officer of their own, the Expert Negotiator.
Nashani Expert Negotiator
The Nashani have rightfully earned a reputation as some of the best negotiators in known space, and have on more than one occasion put their talents to use in space combat. Historically the Nashani have sometimes been able to avoid direct confrontation when such action did not suit their strategic goals, even if they might hold some tactical advantage over their foe. Less often, the Nashani have used negotiations to gain just such a tactical advantage over their enemy. While all Nashani are excellent negotiators, Experts specialize in the field and are far more influential than even the average Nashani. Expert Negotiators are most often found on board specialized exploration craft where their superior talents can be beneficial in "First Contact" scenarios, though a surprising number can be found within the independent clan fleets seeing to the business concerns of their own families.
Location: C&C
Cost: 40% of Ship's Base Cost
Availability: HCV or larger vessels only. Not available to Non-Nashani.
Once per scenario, before initiative is determined, the Expert Negotiator may attempt to communicate with an enemy vessel. If successful, the Negotiator will attempt to use his formidable powers of persuasion to influence the enemy's thinking. By distracting or causing hesitation, the Negotiator can win a valuable advantage.
If the Expert Negotiator successfully initiates contact with an enemy vessel (Roll 1d10; successful on a roll of 4 or better), the enemy vessel suffers -2 to its initiative on that turn. Additionally, if the target vessel normally grants an initiative bonus to other ships, that bonus is lost for the remainder of the turn. Each additional turn that the communication is continued, apply an additional -1 penalty to the target ship's initiative (up to a maximum penalty of -5). Any vessel firing on the ship carrying the Expert Negotiator incurs a -1 modifier to the chance to hit.
At the end of each turn, roll 1d10 to determine if the negotiator is able to keep the comm lines open for an
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additional turn. A "4" or better is still required for success, and for each turn following the initial contact apply a -1 modifier to the chance of success.
Weapon Systems
Attack Laser
The main Nashani offensive weapon. Developed from examples of both Centauri and Orieni technology acquired over many years. The attack laser is similar to the commonly seen heavy laser devoped by the Narn, with the exception that the Nashani preferred to go for longer range over sheer power. The lower damage potential is not seen as a shortcoming by the Nashani as they are more comfortable with finesse over brute strength.
Defense Laser
A short range, rapid fire laser primarily intended for defense against fighters, ballistics, and matter weapons. The defense laser can fire offensively, but its low damage yield and short range (tradeoffs for its high rate of fire) means that it is generally better served as a defensive system.
Advanced Defense Laser (A.D.L.)
three functions happening simultaneously. This has severely limited the usefulness of the weapon, and to date it is deployed aboard only one hull, the purpose built anti-fighter No-Las escort.
Laser Combiner
A dynamic new system developed to grant much greater flexibility and effectiveness to Nashani laser weapons. This is a very new system and is seen on only a few hulls at this time. Basically, the laser combiner is a gravitic focusing device which literally pulls together 2 or more laser beams creating a single, powerful shot. The system is far from perfected, and the Nashani are working to work out the bugs before the system even as they put into widespread use. The laser combiner is effective with both attack and defense lasers. When using the Combiner with attack lasers, no more more than 3 beams may be combined.
Gauss Sniper
Developed by the Nashani from the Orieni Gauss Cannon, the Gauss Sniper has much greater range than the orieni weapon, or even the centauri Matter Cannon. The Gauss Sniper is not as accurate as the Matter Cannon, but it gives even smaller Nashani vessels the ability to hit targets at long range.
The Nashani have long had difficulties dealing with attacking fighters, even though their ships mount many defensive lasers. Though an accurate and efficient system, the standard defensive laser lacks the punch to deal with heavier fighters, and has range sufficient for close in defense only. Many experiments had been conducted over the years to improve the abilities of the defense laser, but none bore fruit until the introduction of a few alien technologies recently discovered. The Advanced Defense Laser was developed from the same research that would later produce the impressive laser combiner. Like the combiner, the system merges laser beams (in this case two) into a single beam with greater range and power. Unlike the more powerful combiner system, the ADL cannot be switched between merged and unmerged beams, nor can addition beams be added to the two already combined within the system. This makes the whole assembly much less bulky and complex than the combiner. On the down side, the system is very power hungry as there are essentially
Ballistic Laser
The ballistic laser is the Nashani answer to the ballistic weapons employed by other races. Though not as powerful or as flexible as some weapons, the ballistic laser relies on components which are tried and true, and the Nashani are comfortable using without fear that they can be "cooked-off" in their launcher by a single (un)lucky shot. The Nashani ballistic laser is identical in function to the weapon developed and used by other races, though the parallel development is merely coincidental.
Gravitic Shields
The Nashani have recently discovered and replicated gravitic shield technology from an unknown source. To date, the system is very rare as it is power hungry and complex. Undaunted, the Nashani are agressively developing the technolgy and hope to field an improved version fleet wide within decades.
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Chapter 3: The Medushaans
Medushaan Physiology
"In the Age when time had no meaning, there were born seven sisters. All grew in peace under the ever-watching Eye of She that was their Mother. Through the Ages that followed, one Sister grew stronger and more beautiful than the others. Jealousy brought the Six others to move away, and for the first time since her Birth, Medusha stood alone. The pain of loneliness at first brought despair, but Medusha was strong and the pain brought resolve. Medusha sought out others that were not her Sisters, and came upon Forge. Forge could not be what Medusha sought, but Forge was wise and taught her to create those that would love her, for all time. Forge built many vessels from pieces of Medusha's body, into which she placed a spark of her fiery Soul. So it was that Medusha became a Mother herself, her children growing strong, fueled by the fire within. Though strong, her children could not hold Her Essence within forever, and in time their bodies grew weak, and they crumbled. At first the Mother was saddened, but then she learned that if the Spark of Life was returned to her womb it would join with her being once again, and then could be passed to the next generation of her children. The return of each of her children became Medusaha's greatest joy as they brought with them all of their experiences, everything that they had grown to become, and all of their Love."
The Medushaan are a race of powerful mammal analogues originating from a harsh world covered in active volcanoes and sulphurous seas. The average adult female stands roughly 7-8 feet tall and is powerfully muscled. Males of the species are slightly smaller, topping out at about 6 feet and are far less bulky, though they are still much heavier than the average human. The skulls of females are extremely heavy and as they age they often feature projections above the skin. The skulls of males tend to be thinner and smoother. The skin of both sexes is mottled gray, and extremely thick, though more pronounced in females. Medushaan eyes are covered by a protective membrane that gives them an unsettling, luminescent blue coloration.
-Excerpt from the Medushaan Creation Story, told as part of the Traditional Funeral Ceremony.
Because of the difficulty of surviving the environment of their home-world, Medushaan evolution has taken some interesting steps to ensure the continuation of the species. First of all, the birth rate for females is much higher than that of males, on the order of 10 to 1. Females also have greater physical strength and protection than males, helping more to survive to sexual maturity. Pregnancies are relatively short, after which the
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female lays 1 or 2 leathery eggs. The final weeks of development for the embryonic Medushaan takes place within the egg. This evolutionary trait frees the female to continue on with her duties, whatever they may be, from conception to birth with little or no impact physically, making her far less vulnerable.
For their part, the males of the species also feature several interesting characteristics. Males reach sexual maturity at a younger age than females, and are able to impregnate an almost limitless number of females during their breeding years. Males of sexual maturity are driven by the single minded pursuit of copulation, giving rise to the common Medushaan phrase which, loosely translated states, "males are only good for breeding and eating". Males remain sexually active for roughly 20 Terran years, after which they undergo a dramatic change. Freed from the genetic imperative to breed, these "neuter males" develop a sharp mind, and a deep curiosity. Early Medushaans would often force these "useless" males out of the tribe as they were a drain on resources, and could cause all sorts of trouble. In the wilderness, these males would be forced to survive by their wits, and many died shortly after being turned out. Those that did survive would in time be regarded as something like legendary wizards or shaman to the tribes that had abandoned them. These tribal Medushaans would eventually find themselves seeking out these hardy, wise-males for all types of knowledge and advice. In this way the "neuter-male" found his way back into society. Today, non-breeder males are a kind of eunuch class; trusted councilors, scientists, and explorers to the ruling females, held in high regard throughout the society.
Medushaan Homeworld
Medusha is an earth-sized moon in orbit around a gas giant in the Tsiph system. The gas giant provides its warmth and light to the nearby moon which would otherwise likely be too distant from the systems primary to develop life. Medusha is tidally locked with the gas giant meaning that the moon has a hot side facing the gas giant and a cold side facing away. In between there is a narrow twillight band which is less extreme than the to opposing faces. The world is very active techtonicly and volcanic and geothermal energy add to the warmth of the world. Earthquakes and active volcanoes are fairly common on Medusha. The atmosphere of Medusha is thick with particulate matter such as volcanic ash and has a definate sulfer smell, but is breathable by humans so long as they provide some form of filter to avoid breathing the choking dust. Plant life on medusha is largely dependent on geothermal energy rather than light, and grows low to the ground over wide areas. Though the volcanic soil is rich in mineral nuitrients, until modern times it has been difficult to cultivate large crops as the necessary heat energy is not terrifically widespread in the habitable regions of the moon. Animal life on medusha is composed mainly of sturdy plant eaters that can go for long periods of time between meals, with many well adapted t othe more extreme climates of the hot and cold sides of the moon. Higher predators are likewise rugged, and are often very specialized ambush killers, setting up near feeding gorunds where they can catch prey with a minimum of effort. Interestingly the vast majority of living species on medusha have evolved in the deep seas on medusha's cold side. Though covered in ice for the most part, deep sea vents warm the seas from below and provide a nutriant rich environment which sutains all manner of interesting species. This dicovery by the Medushaans provided them with an almost limitless supply of food once they had developed technology to a point where they were able to safely harvest the bounty.
Today, Medushaans live across the entire face of their homeworld relying on artificial means to protect them from the extreme environments. The hot side is covered with power stations, old mines and industrial plants, while the cold side is scattered with "fisheries", geothermal power plants, and plants which treat and ship water throughout the moon to support the needs of the inhabitants
Medushaan Government
The Medushaan government is a loose Republic composed of many semi-autonomous states which are subordinate to the central government. Each of these states is ruled by a Regnar, or "Queen" and her daughters, known for our purposes as "Princesses". The Queens rule in a fairly autocratic manner with control over
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military and civilian affairs within their domains. The position of Queen is heriditary with the reigning Queen choosing her heir from among her daughters. The head of the central government is an individual best discribed of as the "Empress". Called the Regnar Sulam , which means "Great Mother", the position of Empress is not hereditary like the Queens, but is chosen from among the ranks of the rulers by majority vote following the death or removal of the old Empress. While she is the head of state for the Medushaan, the Empress must abdicate the thrown of her realm to her heir, and may not, by custom and law, retain any territory besides that of her current position. The Empress controls the military aspects of the governement through a staff of career military officers sworn to the throne. The beauracracy is composed largely of neuter males whom are likewise sworn to the office, rather than the individual. The central government enforces its will through a combination of quid pro quo, threat of violence, and threat of economic isolation. The Empress reigns for life unless she renounces her position for reasons of her own.
Within the court of each Queen and the Empress, there are many "neuter males" known as Duro, which literally translated mean "wise" or "wiley". These Duro form a kind of eunich class within the courts and serve the rulers as councillors and aides. Duro are all extremely knowledgable on a wide variety of subjects and they provide their matrons with the information they need to make informed judgements on matters of state. Since the Duro owe their position to a particular ruler, there are typically loyal without question, and are generally considered among the most trusted members of a royal court. Duro are very often disliked by the majority of the Medushaan around them as they are seen to have achieved high status without the risks associated with the lifestyles of female Medushaan, but they are tolerated because they serve a role which no female would willingly accept.
Medushaan Military
Few Queens maintain a sizable force of warships mainly for reasons of cost. Generally, each Queen does posses a small number of ships for patrol/ police/customs duty. The equipment of the guards (number and quality) varies from ruler to ruler, but they universally maintain an extremely high level of training and troop quality. Regular competitions between royal guard units are help with a great deal of pride and bragging rights at stake.
The military forces of the Central Government are under the direct control of the Empress and are commanded by a professional and dedicated officer corps. The bulk of the forces are conscripts serving a 5 year minimum term of service, though a great many medushaan take pride in military service taking it as a life-long career. The head of the Medushaan ground forces holds the rank of Xandar Tas, roughly translated as "warleader-forall", a rank more or less equivilent to Marshal. The Xandar Tas answers directly for the Empress , and her orders are considered as directly from the Empress herself. Command of troops in the field is typically done by a Xander, or "Warleader", who would be the equivilent of a general.
The head of the naval forces for the gynocracy is the Itar Raeph, whose title literally means "Great Star". The Itar Raeph generally advises the Empress in naval matters, and assists in developing strategy, but has little to do with mission planning and other details. Operational details are handled at the Fleet level by the Alis Raeph, or "Fleet Shipmother", who is given a great deal of authority in doing what it takes to achieve the goals set out by the Empress.
The remaining Medushaan ranks are as follow:
Ground Forces
Xandar Tas: "warleader-for-all", Commander all governement ground forces.
Xandar: "Warleader", "general" of a medushaan "army", roughly 16,000-40,000 troops.
Each Queen maintains a personal paramilitary force composed primarily of ground troops. These Royal Guards act not only as the Queen's personal body guard, but as secret police, and as reserve forces for the military of the central government.
Xandar Nor: "Lesser Warleader", commander of a medushaan legion of roughly 4,00010,000 troops.
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Ato Lasaph: "Elder Warrior", a veteran warrior placed in command of a medushaan "troop" of roughly 500 troops. More a warrant officer rank than a comissioned grade.
Pedara: "Blade Carrier(?)", an accomplished warrior placed in command of a group of warriors numbering anywhere from 50 to 250 depending on the mission and specialty of the unit. The term can also mean a warrior with special skills or training, with small units of Pedaras acting as a sort of special forces in a variety of roles.
Lasaph: "Warrior", the common foot soldier of the gynocracy.
Naval Forces
Itar Raeph: "Great Star", Commander in Chief of Medushaan Naval forces.
Alis Raeph: "High Star", a medushaan "admiral" commanding a fleet, or task force of warships.
Raeph: "Star", the equivilent of a capatain commanding a squadron or two of warships.
Raeph Nor: "Lesser Star" more common ship commander, possibly commanding a squadron, especial of small ships.
Ato Luco: "Elder Spacer" a warrant rank, often in command of a small warship, or sometimes acting as the captain of a larger warship which is the flagship of a squadron or task force.
Ato Naras: "Elder Pilot" a warrant rank, typically the commander of a squadron of fighters.
Luco: "Spacer", common ship's crewmwmber, usaully with a prefix describing shipboard duties.
Naras: "Pilot", the common rank of medushaan fighter pilots. The pilots known well the seniority within their ranks, and there has never been a need to add additional ranks. If the Ato Naras of a squadron is killed or becomes incapcitated, the next most senior pilot simply steps in to take her place.
Medushaan Religion
The Medushaan have a very ancient religious system centered around the belief that their homeworld is a living being and is the mother of all Medushaan life. This Goddess is known as the Fiery Mother. The Medushaan are a supersticious lot and they believe that their soul will be re-born so long as it is returned to the Fiery Mother. In ordinary circumstances this means an elaborate funeral that culminates with the body of the deceased being lowered ino a river of lava, or some form of volcanic fissure. In the early days of spaceflight, Medushaan leaving the homeworld would ritualistically remove a body part, such as a finger, which was in turn preserved so that if the rest of the body was lost off-world, the remaining piece could be given a proper funeral so that the soul could return home. This actually developed from an ancient tradition in which warriors leaving their homes to do battle in a distant land would conduct similar rituals, fearing that if they died in enemy lands, their bodies would not be returned to the Fiery Mother's womb.
The Medushaan have a great many rituals and ceremonies that often include ritual combat, feasting, and the recounting of ancient myths. In fact, the closest thing in Medushaan society to clergy are the males known as Marras, or LoreTellers. the Marra has committed to memory a vast number of stories and myths and during every ceremony, a Marra will recount a tale relavent to the occasion. The Marra is perhaps the most respected male member of medushaan society.
Medushaan Fashion
For ceremonies and other dress occasions, the medushaan wear colorful, layered robes that border on flamboyant. To accent these robes, individuals will wear an assortment of gems and precious metal ornaments along with jeweled (but functional) weapons.
For everday wear, the medushaan do prefer utilitarian garb made of durable synthetics and
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featuring many pockets and pouches. Even then, medushaan of importance such as military officers or governemnt officials will wear a jewelled gorget as a symbol of rank, and even lesser personel will sometimes work in a splash of color or jewelry.
An ever present part of medushaan dress is the "Erta", or "dueling blade". This long and razor sharp weapon was used in ancient times to settle disputes, conduct trial by combat, and for general self-defense. Though many medushaan wear the Erta as a purely ornamental piece, every adult female is well trained in how to handle the blade, and though archaic, it remains a deadly addition to their dress. Of particular note are the blades carried by the empress' personal bodyguard. These spectacularly ornate blades are composed of specially developed synthetic obsidian and are deadly as they are beautiful. In fact, this signature weapon has given the name to the Empress' guards, the "Terlam", which literally means, "Black Blade".
Medushaan Technology
Though they have been a star-faring race for many hundreds of years, the technology of the Medushaan can be considered average among the younger races. There are several reason for this. The most important reason is that the Medushaans do not carry out research for the sake of research believing that if a system works, don't mess with it. This is not to say that the Medushaans are stupid or lazy, quite the contrary in fact. Advances are typically brought on in response to a particular problem which crops up, a weakness an enemy exploits, or a weakness identified which can be exploited in an enemy. In this framework, the Medushaans are extremely capable of developing a solution to a problem, but they will rarely if ever go beyond the practical application to advance a system's capabilities.
led to many Medushaan advances particularly in weapons technology, one area where the Medushaans are quite advanced.
Medushaan History
Early Medushaan
The Medushaan were originally organized into loose tribal bands of hunter-gatherers. Tribes would battle each other whenever they came into contact, raiding supplies, resources, and breeding males. The basic necessities of existence were in short supply in the narrow habitable areas of Medusha, and coupled with the harsh environment, the scattered tribes barely avoided extinction. Only their biological adaptations and a tenacity borne of desperation kept them alive during some very desperate times.
During this time, many tribes would force a male out of the group when he could no longer fertilize the females of the tribe. This was a practice based on the fact that non-productive males consumed resources for no perceived benefit. The males were ineffective fighters when compared to females, and could be troublesome. In more desperate circumstances males that were no longer useful as breeders would be killed and eaten. These practices were carried out for generations as the Medushaan clung to life.
In a few certain circumstances the Medushaans have received technology from other races which they have found useful, and this is particularly true in their relationship with the nashani. In fact, many medushaan are very happy to let their allies spend their time effort and treasury on developing systems which they can then decide if they are worth pursuing. The Medushaans have also received a graet deal of technology over the years from the centauri, in the form of salvage. This has
Stories began to be told among the tribes of the Medushaan versions of wizards or shaman that survived in the wilderness without the support or protection of a tribe. These individuals were seldom seen, but the wild tales were told that these wizards sometimes saved the lives of tribal members through the use of potions or provided some oracle-like wisdom. It would take some time for these legends to gain some level of acceptance, but the real shock would come when it was discovered that these near mythical entities were actually Medushaan males that had learned to survive their hostile home-world by their wits alone. As it turned out, males freed from the biological imperative to breed were as intelligent as any female, and had greater patience and a very inquisitive nature. At first, the leaders of the tribes viewed these males as a direct threat, but it soon became apparent that these neuter males had no intention of challenging the rule of the females.
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Soon Medushaan males would come to be an important though subordinate part of the developing culture of the Medushaan. In fact, it would be the males that would show the wisdom of creating permanent settlements, and how to cultivate the few available edible plant-forms. This would prove to be a key turning point in Medushaan history. During the ensuing decades villages would grow to towns and towns to cities as the Medushaan people refined the crude ways of their nomadic ancestors into the trappings of early civilization. Tribal leaders that had been known as Roshan, a title that literally translated meant "warleader", began to see themselves in a new way. With greater responsibilities and an increased personal importance, the Medushaan leaders began to call themselves by a new name, Regnar, a form of "mother".
Harnessing the Elements
By the 1200's the habitable regions of Medusha were speckled with cities. Power was never a problem for these city-states as the Medushaan had early on developed simple but effective means for exploiting the plentiful geothermal energy. These growing population centers required ever increasing natural resources and raw materials to continue to thrive. Unlike the power resources, there could still be continuing problems in providing the necessities of life such as adequate food and building materials. Sometimes, wars would occur between neighboring cities as one would try to acquire what it needed by plunder. Researchers worked tirelessly to develop new solutions to the shortages, and with equal vigor, to create new weapons of war. Leaders kept large stables of dedicated neuter-male scientists, whom were always hard at work to fulfill the wishes of their matrons. The competition between rulers to gain and keep the upper hand would ultimately drive a "scientific revolution" within Medushaan culture. Some of the more impressive accomplishments would include the first expeditions well onto the hot and cold sides of Medusha, the introduction of more efficient and effective methods of agriculture and medicine, and the first crude attempts at spaceflight. These forays were primarily conducted for matters of prestige or for military advantage, but they marked a significant step forward in many aspects of technology.
As a direct effect of many of the above factors, the Medushaan people began to live longer, and more survived to adulthood. Despite the ongoing and often bloody wars, the Medushaan population continued to grow ever larger, and it was not long before the population pressures began to outstrip the ability of the new capabilities and technologies to provide for them. In particularly overcrowded regions, some would return to the old ways of fighting for the simple necessities of existence
The Great Killing
Matters on Medusha had reached a terrible precipice; technology and society had led to an explosion in population that the narrow habitable band of the moon could not support. Some would begin to build colonies on the hot and cold sides, but these were costly and difficult endeavors, and could not make meaningful contributions to their parent states. An air of desperation gripped many of the city-states as they faced the terrible prospects of overpopulation. In this environment, small skirmishes and old rivalries would explode into full fledged war. Over the course of two decades, many of the leading nations of Medusha would become embroiled in ongoing wars, not for conquest, but for survival. In their shadows, many lesser states would simply cease to exist, either absorbed or destroyed by more powerful neighbors.
Just when it seemed that matters could get no worse for her people, the global wars of Medusha were ended in the blink of an eye with the sunbright flashes of thermonuclear weapons. It was the final, spiteful act of dying nation, and it would very nearly destroy the race. Once unleashed by one nation, the survivors would respond in kind, and the devastation was beyond all comprehension. In a matter of weeks, 70% of the world's population would die from the bombs, fallout, disease, and famine. Simultaneously all wars everywhere stopped as civilization crumbled. What would follow would be a return by most to the ancient ways of surviving by any means, no matter how brutal or barbaric.
The Peace of the Dead
Across the face of Medusha, the far flung tribes struggled for survival. Most of those that had not died in the cataclysm had little chance of living
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more than a few years longer. There would emerge a few beacons of hope to which the Medushaan people would turn to. At the very edges of the once civilized world, there were a few small nations that had survived the holocaust with some form of order. These would be the keystone to rebuilding the world, though it would be a long and hard process. The small survivor states knew that they could not continue to battle each other, lest they lose what little there was left for any of them to have a future. In short order, the divisions between the survivors would begin to disappear as they grew closer and closer, eventually merging in all ways. From the ranks of the survivor states there would emerge a mere handful of cities that maintained any semblance there former society. Many more would fail, and disappear forever.
Another consequence of the Great Killing would be a great deal of anti-male backlash. Many needed scapegoats as to explain how such a horror to have occurred, and many eyes turned to the males that had developed such destructive weapons. It did not matter that they were only doing the bidding of their rulers, and many remaining rulers culled the ranks of the males in their court, and repressed those that were retained to quiet those that felt they were to blame. For centuries to come, the roles of males throughout Medusha would remain diminished, with their only official duties limited to the harems. Of course, shrewd rulers quietly maintained a stock of neuter males to carry out the tedium and bureaucracy of the rebuilding of their states and of their world.
To aid in the reconstruction, and with the heartlands all but destroyed, the Medushaan made a great effort to develop the largely intact colony facilities on the hot and cold sides of the moon. From these, the survivor states would begin to extract important raw materials and foodstuffs key to their survival. These rough, dangerous outposts were the depositing place for most of the "troublesome" males, those no longer capable of breeding.
The Gathering
The "survivor" states of Medusha had little true contact during what they called the "Years of Silence". This was mainly caused by the fact that they were in most cases separated by radioactive wastelands, and the simple fact that they had turned all of their attention inward. As the years past, and the radioactivity moderated, the scattered Medushaan peoples began to have greater contact, though none at the highest levels. Several rulers of city-states decided that the time had come for official communication between the remaining states and sent emissaries to the others with invitations. When it became obvious that most of the rulers did not trust their peers enough to trek to their domains, it was agreed that all of the rulers that chose to do so would meet on neutral territory, in the heart of the wasteland. Each would bring with them supplies and servants for an extended stay. At the appointed time, great caravans converged on the location chosen for the meeting, and a great tent city blossomed in the wastes. Though there would be a great deal of tension among the rulers and their followers as each sought primacy over the others. There would be several incidents, and more than one duel, but overall the meeting was considered a great success by the rulers. Though the talks yielded little, this first meeting was a chance for the Medushaan rulers to meet, and the fact that they left in peace could be considered a test passed. At the conclusion of the gathering, it was agreed that the rulers would return to that spot at an appointed time to renew their face to face discussions, and to work for the future of the race.
Over the course of time the meeting, known simply as "the Gathering", would be held at regular intervals as had been decided. The spot that had once been home to a tent city grew to be a formidable edifice as each successive group constructed permanent buildings for their liege, and her court. In fact, the complex would grow become a year round facility where the various states maintained quarters, and allowed for more constant contact between the nations of Medusha.
During one Gathering, the rulers of Medusha declared the Commonwealth. Though largely symbolic, it would be the first step toward a unified world government. These rulers did not relinquish any of their personal power, but agreed to work together to advance a unified set of goals for their race. Some of these goals included the reconstruction of the heartlands of Medusha, the expansion of the hot and cold-side colonies, and the dedication to resurrecting some of the beneficial technologies lost in the great killing. Though intentionally lofty and ambiguous, these
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goals were the unifying force behind the Commonwealth, and the first species wide effort that had ever been attempted.
Off World Riches and Risks
Probes sent throughout the space around Medusha revealed the presence of raw materials beyond the wildest dreams of those that sent the missions. Medusha was in close proximity to a mineral rich asteroid field and several sister moons orbiting the gas giant around which the home-world itself was located. As the discoveries continued to mount, the member states of the commonwealth publicly and with great fanfare announced that they would cooperate in an effort to gain a permanent foothold off-world. The proximity of destinations and the experience of the Medushaan in hostile environments would serve them well in the efforts to come.
Even as the first off-world settlement was being planned and then constructed, several members of the commonwealth began to plan their own independent colonies. They reasoned that to gain any advantage over potential rivals, a ruler would have to have a supply of materials in excess of those that any joint operation would provide. Some lesser members of the Commonwealth recognized the potential power this would bring those able to mount their own space programs, and attempted to block them from operating outside of commonwealth supervision. Ultimately, the attempt would fail, and with it would crumble the foundation of the commonwealth. Members that felt "left out" or threatened by the exploitation of of-world resources would pull out of the commonwealth, and the more powerful states would be all too happy to dissolve the remnants as the organization, loose as it was, seemed to serve no purpose any longer.
and their vessels for "self-defense". The entire situation threatened to spiral out of control as the rivalries in space spread to the surface of Medusha. The Medushaan seemed to be doomed to repeat the tragedy that nearly destroyed their race centuries before.
Not Alone Anymore
As tensions rose among the ranks of Medusha's nations, their mining operations continued to scour the region of space around their home-world for resources. Rulers protected these off-world investments with ever larger national space navies. Merchant ships were organized into convoys and placed under heavy escort. Incidents between rival navies grew increasingly common and alarmingly violent. During this period of mistrust and armed paranoia, the Medushaan would encounter an alien species for the first time, with unfortunate results for those peaceful explorers.
In 1581, a pair of vessels emerged from hyperspace almost directly in the path of a heavily guarded convoy. The alien's attempts to communicate were answered by a hailstorm of kinetic projectiles and a fusillade of rockets. Though more primitive than the alien vessels, the point-blank salvos of the Medushaan warships were devastating. One ship was destroyed outright and the other was quickly an air-streaming cripple. Boarders seized the surviving ship, over-running the remaining crew before they could do more than purge the vessel's central computers. Among the technological treasures captured was the alien craft's jump engine, fully intact and operable.
Without the oversight of their peers, each ruler threw the full weight of her capabilities into development of her nation's space program. In short order scores of nationalistic colonies sprung up throughout the local region of Medushaan space. Particularly rich regions would become contested as several nations would attempt to "stake their claim", and tensions would run high. It would not be long before the first blood was spilled by colonists, and every space-faring nation used the incidents as an excuse to arm their citizens
At first, the government that had sent the mission tried to cover-up the discovery, with some limited success. Soon however, other nations grew suspicious of the sudden activity centered on the previously quiet region. Most figured that the discovery was more than likely an asteroid composed of rare minerals or some such thing, but soon stories began to circulate that what had really been discovered was something far more fantastic and dangerous. Feeling they could not hope to examine the vessel without other nations finding out, the capturing nation quietly shared the truth with the others. As in all things, it did not take long for the truth to leak to the populace. An attempt was made to cover up and then deny the
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facts, but the genie was already out of the bottle. No longer were they alone in the universe, and fear and anger gripped the very core of Medushaan society. Many were angry that the truth had been hidden from them, but many, many more were terrified that an alien race had come so close to their world. Some feared that the vessel was actually a scout for a race preparing to destroy them. Others theorized that it was a spy ship used to gather information for an attack should the Medushaan ever grow strong enough to be a threat. A kind of hysteria blazed through the Medushaan as they struggled to come to grips with the new reality of their universe. The reality was a simple one; whatever the mission of the ship, it was proof that a vastly superior alien race had been on their very doorstep, and that was a threat to the very existence of the Medushaan themselves. To this day it is unknown what race crewed the vessel, or where it came from, and the vessel itself was never seen publicly except in artist renderings.
For the first time in a generation, the rulers of Medusha's nations would come together en masse to decide what to do next. The result of that meeting would be one of the most stunning and historic events in modern Medushaan history. During one of the heated debates between the national rulers the ruler of the most powerful nation suddenly stood and demanded the undivided attention of the assembly. With the eyes of the most powerful members of society focused upon her, she calmly stated that she would immediately abdicate her throne and with her personal army and any that would follow her, begin to prepare full time to defend Medushaa from the alien menace. From that moment on she would hold the title of "Roshan" which was an ancient term for Medushaan rulers that meant not only "warleader", but "protector". With her announcement made, the Roshan strode from the meeting hall followed by her closest followers and advisors, stopping only momentarily to face her stunned peers. In that moment, so the story goes, she said in a near whisper, "My sisters, I will need you all, for failure means death for us all." Later, there were those that would question that she ever uttered these words, but there was no denying the effect of the action.
side wastes. Some rulers sent along material support and troops, but most did so in a merely symbolic fashion. They reasoned that if they were seen to be doing something, the populace would be calmed, at least to some degree, and they were largely correct.
In sharp contrast, there were those rulers that believed that the Roshan was attempting to parlay the fears of the masses into a position of military supremacy over the rest of the world, with the ultimate goal being to become the sole ruler of the world. These rulers pointed to the fact that although the Roshan had publicly abdicated her throne and lands, her daughter, the new ruler, was the single greatest supporter of the new "independent" force in both materials and technical aspects. Convinced that this was the reality, they began to work together behind closed doors to oppose the efforts of their new "protector".
Walking a Fine Line
Things began to shift in new directions for the Medushaan. The Roshan completely altered the composition of her military away from the combined-arms planetary army to a space based force capable of defensive and offensive actions. The transition was not an easy one, but the warleader worked tirelessly to shape the new force. The infant space navy became the de facto keepers of the new technology, and though she controlled the vessel, the Roshan demanded that all of the nations of Medusha take part in researching its secrets. Her detractors claimed that the Roshan kept the tech under her control by keeping it under the guns of her new navy, but no one could claim that they were kept from studying its wondrous systems.
In short order, the new Roshan vacated her domain with her military forces to establish an independent base in the center of the planet's cold-
Still not convinced of the sincerity of their "Protector's" intentions, those that opposed her apparent ambitions began to plan more drastic actions to remove the warleader, and the threat she posed to the sovereignty of the Medushaan nations. It was at this juncture that an amazing series of events would unfold, not only cementing the position of the Roshan as the protector of Medusha, but elevating her to the position of leadership that others had so greatly feared. During a secret planning session among the opposition leaders, a massive quake rocked the ancient fortress that housed the assembly,
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crushing the conspirators within the toppled ruins. Not only were the leaders of the opposition killed in one sudden moment, but their actions were revealed to the eyes of the world. Superstitious people in the best of times, many saw this as a sign that the Roshan held the favor of their goddess. This would utterly break any organized opposition to the Roshan, and more support than ever was sent to the world's self-proclaimed protector.
Bold Actions
Years would pass and the Roshan would continue to build and prepare her force, maintaining her distance from the affairs of the others and keeping her promise to not interfere with their domains. During these years the best minds of the Medushaan have been pouring over and through the alien technology and believe they have unlocked many the secrets of how to operate it, including the device which they believed was the way to open a doorway to a transit system to cross the stars. Laboriously the vessel was replicated, and the facsimile towed to the reaches of the star-system and fitted a massive nuclear device before the order was given to power it up for the first time. By that time, researchers were still unclear as to many of the specifics of the vessel's operation, though they were convinced that it was capable of interstellar travel. So it was with great trepidation that the jump drive was activated for the first time in 1612. To the relief of all, and the surprise of more than a few, the activated system did open a doorway to the swirling void known as hyperspace.
worked. In but a decade, the Medushaan had built a small network of gates within their home system which allowed them almost instantaneous travel to and from important locations therein. Though an impressive achievement, a significant effort was made to refine the ship-based system into a reliable and useful way to gain access to another star system.
Finally, Comes the Enemy
By 1732 the Medushaan had completed their first home-designed jump-capable vessel. A massive, unwieldy thing, this "gate-ship" was designed to not only travel to another star-system, but to carry the components of a Medushaan jump gate as well. The entire mission carried considerable risk as the loss of this single ship would mean the loss of not only one of the few jump-capable vessels available to Medushaan, but one of their few complete jump gates. So great was the concern that many of the leading figures within the Medushaan hierarchy stalled the launch of the vessel rather than possibly lose their investment. The debate raged within the highest levels of leadership until the fateful day in late 1756, when a jump point formed very near Tsiph, and for the first time, Medushaan warships were scrambled to intercept the alien invader.
Immediately, the Medushaan began a series of expeditions into hyperspace. These missions were short, and fraught with danger, but they believed that understanding hyperspace meant they could strip an invader of such a great advantage. Some researchers noted that the ship based system, though useful in the extreme, was also very inefficient and easily lost if built into a ship. Thus they proposed the possibility of a fixed Jump Gate. With such a device they could open the door to hyperspace for a vessel without risk of losing the sophisticated system to the whims of hyperspace. Building on their experience with the alien jump drive this first attempt to create a jump gate was a massive and crude device, but it
. The alien vessel, there was but one, kept well away from the fixed defenses of the system and moved away from the warships sent after it. Every vessel capable of doing so pursued the invader firing salvo after salvo of the most sophisticated weapons available to the defenders, mostly small high velocity rockets and powerful nukes. Again and again, the alien ship simply moved away and using sophisticated energy based weapons destroyed any weapons that threatened to strike it. After a short, anti-climatic engagement, the invader formed a jump point and vanished from the system. In a matter of mere hours the incident would be over, but it would open a new chapter in Medushaan history.
Once again the spectre of an advanced alien menace was rekindled among the Medushaan, and this time it was no longer purely academic; the cradle of life had been invaded, and the best its people had to offer had been powerless to stop it. Unlike the panic that had followed the discovery of the first survey ship, the fear of the Medushaan
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people was focused on the singular principle of building the most advanced defensive force possible, at any cost. The equivalent of martial law was invoked and new powers were granted to the Roshan, making her for all purposes the dictator of the Medushaan people. The aging protector accepted the mantle of leadership under the condition that the day to day management of the race would remain with the Regnars, but they would swear allegiance to the Roshan. The Regnars would also turn over the majority of their military machinery and troops to the control of the Roshan, retaining only a much reduced force that would serve as their personal body-guard.
So it was that a single exploratory vessel from a neighboring species unified the children of Medusha for the first time. In the mere minutes that the contact had lasted, the fires that had threatened to consume the Medushaan people at one time in their violent history were given a new focus. From that point on the fears and insecurities of what was a powerful race in their own right was externalized. No longer could other Medushaan be the enemy. Now the enemy was not born of the fires of the Great Mother, but those that walked among the stars, threatening the existence of Medusha's people.
Beating against the Wall
In the immediate aftermath of the "invasion" incident, the Medushaan engaged in what can only be called a crusade. Every effort was made to construct and launch new jump equipped vessels at a frenetic, reckless pace. Defenses around the home system were further increased and technological advancement was demanded by the ruling powers. Even as the experts came to realize that the "invaders" could not be those that built the first survey craft, their technology was simply too different from their observations of the captured craft, they were still seen as a great threat
Though a terrible defeat, it only bolstered the Medushaan belief that they had to greatly improve their capabilities, and enhanced their fears of the aliens that had proven to be generations ahead of their own technology.
In the ensuing years, the Medushaan learned from their defeats, and changed their tactics. When a probing force located an occupied system, it would attempt to gather as much intelligence as possible before being driven off. In addition, small groups of ships would conduct raids to test defenses or attempt to capture ships in hopes of acquiring new technologies, with limited success. These operations would lead to some technical advances, and would give name to their nemesis, the Nashani. In the end the probing attacks would define the border between the Medushaan and the Nashani, a region the Medushaan would come to simply call "The Wall". The leaders publicly resolved that one day they would topple The Wall and eradicate the threat to their existence. Privately, the military minds of the Medushaan could not conceive of how they might accomplish such a goal, particularly against a foe that seemed content to sit behind their defenses and let attack after attack impale itself for no appreciable gain. Still they would attack, hoping each raid might bring home some new bit of technology, or expose some hitherto unknown weakness. This pattern would continue for decades.
The Universe Comes to Call
After a series of disastrous losses of survey missions, and others that returned with little or nothing of value, a force finally located a system inhabited by the enemy. Immediately an attack was mounted, with disastrous results. Even though the force greatly outnumbered the system's defenders, they were totally outclassed in every aspect. Only the fact that the defenders did not pursue the survivors allowed any of the force to escape.
Even as the Medushaan found themselves frustrated by The Wall, they continued to build up their own defenses, always expecting a counterattack from the Nashani. Away from The Wall, the Medushaan had also become more cautious with their explorations, stopping to build at least some defenses in each new system they discovered. This practice would save them when they met up with yet another alien race; one that embodied everything the Medushaan had ever feared an alien invader could be, the Centauri. Like the Nashani, the Centauri completely outclassed the Medushaan in every aspect of technological development. Unlike the Nashani, the Centauri meant to use these advantages to conquer and enslave.
The first, early scouting missions into Medushaan space led the Centauri to believe that
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the backwards natives would be an easy conquest. What the careless and arrogant Centauri had missed were the well-placed, dispersed, and cunningly hidden defenses. Roused by the scouting forces, the Medushaan braced for what they thought was the opening of a new front in their ongoing conflict with the Nashani. Medushaan rulers were extremely tense, but their generals were pleased to have the opportunity to fight on their own terms for the first time. When the assault did come, needless to say, they were surprised to find themselves facing yet another alien species! However, they did not change their plans, and found that their defenses were just as effective against the Centauri as they had hoped they would be against the Nashani. The new technologies they had deployed, particularly their first operational starfighters operating from hidden bases, proved themselves against the superior foe. Where the Medushaan lacked in technology, they balanced with numbers, cunning traps, and sheer ferocity. Although the losses among the defenders were not insignificant, they had turned back the attack. They had held, learned from the attack what had worked and what hadn't, and captured more precious technologies. It would just be the first, minor push by the Centauri, and there were many more bloody battles, and several setbacks in the coming years, but every time the Medushaan held. They had become a people besieged, trapped between the Centauri Hammer, and the Nashani Wall.
A Strange Turn
By the 1950's, the continued Medushaan presence on the along the border of the Republic had grown to a concern among Centauri military planners that wished to secure that flank. It was decided that a full scale offensive would be launched with the ultimate goal being the nothing less than the final eradication of the nuisance. Unlike previous prior Centauri attacks mounted by House forces, this assault would be carried out by the cream of the Republic's Navy. The Centauri admiralty was trying to kill two birds with one stone, namely the destruction of a potential problem, and the opportunity to "blood" their forces before the possible battles to come against the Orieni.
changed for the worse. Their outer perimeter crumbled and was breeched despite the heroic efforts of every defender. Every vessel able to move rushed to form a new defensive line. The Medushaan leaders hoped that if they threw everything they had at the Centauri, they could break the resolve of the attacking force and they would withdraw. This was precisely what the Centauri wanted as it would allow them to defeat the entire Medushaan fleet by committing the heavy reserve force they had yet to reveal.
The two forces met head-on in the outskirts of the Medushaan home system, well away from the support of the home-world's fixed defenses. The defenders threw themselves at the Centauri hoping to take advantage of their sheer numbers, and a brutal melee ensued. Though their losses were terrible, the ferocity and self-sacrifice of the defenders staggered the Centauri fleet. Commanders just began to feel that they would win the day when a series of jump points formed and fresh Centauri forces poured forth to fill the ranks. Knowing that they could no longer turn back the attack, the Medushaan force regrouped for a final, grim stand. As the two fleets approached, yet more jump points formed in the Centauri rear, and the Medushaan surged forward before the Centauri could bring even more reinforcements into the battle. To the utter astonishment of the combatants, the new arrivals did not rush to form ranks with the Centauri armada, but rather began to pour fire into their rear! The Medushaan were still not sure what was going on, but their commanders quickly seized upon the confusion spreading throughout the Centauri fleet as some squadrons wheeled to meet their new foe. Ships hurled themselves at the Centauri, every tiny attack ship trying to take a Centauri battlecruiser with it into oblivion. A few Centauri ships battled until destruction, but many more were destroyed trying to jump out of the Hell that the Tsiph system had become; only a very few succeeded in escaping.
The attack was launched in 1955, and from the start, the Medushaan knew that things had
As the fight wound down, the Medushaan became aware that their saviors were in fact their oldest enemy, the Nashani. With the last of the Centauri ships gone, the shattered defense force reformed once again to stand against the Nashani who had no doubt come in their moment of greatest weakness to smash them once and for all. Though the Nashani had received a great deal of damage of their own in the fight, there was no
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doubt that if they pressed the attack, they would likely brush the remnants of the Medushaan fleet aside. Yet they did not move to attack, and instead sent a simple hail in a halting, synthesized version of the Medushaan language. The last surviving "flag" commander of the Medushaan fleet was a grizzled, weary veteran of many battles against the Nashani, but one that possessed a tremendous amount of personal honor and racial pride. In accordance with custom she responded with thanks for timely aid, and a request of what she could do to repay them for their courage. The transmission sent shockwaves throughout the survivors of the Medushaan fleet. Never before had there been any communication with their old enemy, never mind the pledge of debt to a warriorcomrade! As if they had awaited just such a reply, the Nashani fleet signaled that all they wished was to send a delegation to meet with the Medushaan leaders to discuss an end to the hostilities between the races. The Medushaan were dumbstruck, and some even believed that the offer was an attempt to stall while the Nashani brought in more forces. Ignoring the arguments of her subordinates the commander remained true to her oath and signaled that the delegation would be allowed aboard her vessel for a face to face meeting. She knew that no Nashani party could overwhelm her crew, and reasoned that the Nashani could in fact be physically intimidated in the tight confines of the vessel filled with warriors. Besides, if her old enemies did choose to start shooting at them, she would enjoy seeing a few of them die right before her eyes.
have a grudging respect for them.
Upon the first meeting by the two species, the Medushaan were surprised by a great many things. The Nashani proved to be unshakable, and retained a sense of dignity and grace even with a warrior looming over each shoulder. Over the course of extensive negotiations, the Nashani made it clear that they were not the enemy of the Medushaan, but they could actually help them if they could speak with their leaders. Eventually the Medushaan would agree to bring the delegation to meet with representatives of the government, and the embassy was transported to the homeworld. There, in obvious discomfort, the Nashani conducted themselves with unflinching courage and conducted their audience with the Regnar Sulam with deference, and respect. Many still harbored a distrust of their "guests" but came to
In their meetings with the Medushaan leaders, the Nashani representatives had some very interesting things to say. Rather than coming with a list of demands of the weakened Medushaan, they came with offers to help defend their territory, provide technical assistance, open trade relations, and demilitarize their shared borders. In return, the Nashani asked that if they were attacked, the Medushaan would help defend their territory as well. The stunned and wary Medushaan could not believe the "generosity" of the offer, and the ensuing talks would drag on for months. Eventually, the Medushaan would win several other concessions from the Nashani, such as astrogation data and favorable trade terms. The proud warriors of the Medushaan would also not accept the stationing of Nashani ships in their space, but were all too happy to receive technical data and a mountain of intelligence information on the Centauri and other regional races. Even the most hawkish among the military establishment was forced to admit that the Nashani had never attacked them. The present situation only supported the probability that these aliens were dealing honorably with them. In the end it would be the Medushaan leadership's view that while Nashani certainly could not be fully trusted in all things, particularly if they could assist them in fighting the Centauri, they would likewise be treated honorably. In their final estimation, they came to believe that they had far more to gain from a treaty with the Nashani, than they surely had to lose. Most felt they had gotten the better of the deal, and it was only a few that wondered aloud what would be the long-term cost of the agreement.
Weathering the Storm
In the years following the defense pact with the Nashani, the Medushaan did indeed rebuild and refit their forces, making them much more formidable than ever before. The Nashani had stayed true to their agreements, and had in fact provided more in the way of technological and material assistance than the Medushaan had believed they would. The tech that they received was largely that of the Centauri, and Orieni and even when a system could not be integrated into their own vessels, possession of an example
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helped develop tactics to fight an enemy that did use it. The Medushaan economy also blossomed, as for the first time they were able to trade what they had in surplus for what they had little of.
It would not be long before the new association was put to the test.
In 2001 the long simmering rivalry between the Centauri and Orieni boiled over into open war. Both Empires warned the Nashani and Medushaan not to assist their enemy, and not to interfere with their forces. Though the Medushaan at first believed that the threats were largely bravado, they soon learned the truth of the matter. When the conflict exploded in earnest, they learned for the first time that their prior conflicts with the Centauri were little more than skirmishes to the mighty empire. To see the claws of the Lion of Galaxy bared in full resurrected the old fears and feeling of inadequacy among the Medushaan. The realization that if the fleets of either Empire turned their full attention towards the Medushaan would mean total extinction of the race was shocking, and quite sobering. With no reasonable alternative the Medushaan joined the Nashani in declaring neutrality for the duration of hostilities. This did not mean that they were totally cowed however. When the peril of the situation became apparent, the entire race mobilized to prepare for the possibility that the war might come to them one day. If one of the mighty powers wished to come to Medusha, they would pay a toll in blood.
As the war dragged on, the combatants found their normal trade routes in the region blocked by the advances of their foe. To get around these blockades they simply sent armed convoys through space controlled by the Nashani and Medushaan. The Medushaan were displeased in the extreme to have the foreign vessels violating their space, but did little more than harass any convoys that they could locate. So it was that the Medushaan became involved in a sort of lowintensity conflict within their borders. Since neither side wanted the other to know that it was using the region for their convoys, they avoided being dragged into the larger conflict. Then the Nashani did something that confused the Medushaan at first.
A Nashani envoy arrived and declared that their space would be considered "free worlds" for the duration of the conflict, and that any ship from any nation wished to seek safe harbor, they could do so under certain conditions. The Nashani representative worked tirelessly to convince the Medushaan to join them in the declaration, reasoning that since they could not keep the superpowers from violating their space anyway, they might as well make it seem as though they were actually inviting them in! The logic was lost on the Medushaan for some time, for their perception of the situation did not allow for the possibility of actually profiting from the situation. In the end they grudgingly agreed to join with the Nashani in opening their space, up until then an act completely unthinkable, when they came to understand that neither power would willingly accept the terms imposed by the declaration. In this way, they along with their Nashani allies maintained their neutrality while gaining the perception of sovereignty. Neither the Centauri nor the Orieni would ever avail themselves of a Medushaan port, but the situation did allow the Medushaan to "confiscate" a few ships from each power that did not abide by the terms of the neutrality. Though they were "Free Worlds" in name only, the Medushaan space lanes did remain quiet for the remainder of the war.
Tightening the Alliance, at a Price
With the conclusion of the Centauri-Orieni war in 2010, the Medushaan found themselves in perhaps the most secure position they had ever held since they had first traveled to the stars. The Centauri Republic, while still formidable, could not mount any serious attack on them. The Nashani remained loyal allies, and no other nation was in any position to threaten them. The historically insecure Medushaan had what they had always wanted, or so it seemed. Early in their space explorations, they had focused on finding and attacking their then enemy, the Nashani. The generations since had seen them either embroiled in conflict of one sort or another or under the threat of conflict. As a result, many of their early explorations were never followed up. Potentially, some argued, those unexplored regions could hold the next enemy waiting for the Medushaan to become weak. Even in their period of greatest security, the Medushaan managed enough paranoia to not only maintain their military buildup, but begin to explore the regions spin ward and
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core ward of their space. The less militant favored the exploration in hopes of locating new resources while the more insecure and militant members of their society felt it was necessary to "find' the borders of Medushaan space and defend them.
For a century following the end of the CentauriOrieni war, the Medushaan experienced a period of unprecedented peace and prosperity. All the while, the working relationship between themselves and the Nashani grew, with the strengths of each race complimenting the other. The Nashani opened new markets to Medushaan goods and acted as intermediaries between them and other races. The Medushaan in turn helped the Nashani to defend their borders and assist with the acquisition of raw materials. The Medushaan were particularly impressed that the Nashani would allow the Medushaan to simply "move in" to planetary systems within Nashani space, with the only condition being that the Medushaan share some of the raw materials that they harvested. In this era of incredible cooperation a few Nashani and Medushaan leaders began to quietly contemplate the possibility of a proper political union between the two races. By 2094, the talk had grown more public and even outlined the possible structure of a combined government. Even though many of both races believed in the benefits of such a marriage, there were some that were vehemently opposed it, particularly among the Medushaan.
mattered not that they were using diplomacy rather than force of arms, the end result would be the subjugation of the Medushaan. She knew that she would find little new support in such an act, as the lines had already been drawn between the factions among the Queens. Instead, she hoped that her very public plea would gain her the support among the masses to make the move untenable for their rulers. To drive home her point, she declared that she would assume the mantle of Roshan for the rest of the Medushaan people, whom were being betrayed by their leaders. With that Malas and her supporters left the great meeting, and soon after that their forces pulled out to the fringes of Medushaan space to plan their next move. Though startled by the abrupt action, the other queens were not taken completely by surprise, and simply moved to blockade those worlds which might support the actions of the rogue faction. In truth, neither side wanted to see the political fight result in blood, but neither could they back down in dishonor.
Among the Medushaan there had long been a vocal minority that disliked the relationship with the Nashani. They felt that they were being treated at best as junior partners, and at worst, were being manipulated at every turn. When leaders began to talk openly of a combined government, the minority became even more assured of their convictions, and made outraged, impassioned speeches, to no avail. It became obvious that the most powerful members of each race was bent on a political union, and those that held that this was a betrayal of the race felt that they had no alternative than to do whatever it might take to stop the process. In 2095, on the Anniversary of the first "Gathering" on Medusha, the debate was finally over and the Civil War begun. The most influential of the dissenters, Regnar Rana Malas, took the floor in front of all of the other rulers of the Medushaan people and passionately argued that the Nashani were conquering her people. It
Over the course of the next two years, Malas and her supporters would operate from prearranged secret bases in an insurrection that continued to stress propaganda over military might. They struck symbolic targets and Nashani vessels whenever they were able, constantly trying to drum up popular support for their revolt. They painted the establishment as the "Central Order", and demonized them as corrupt pawns of the Nashani. Unfortunately for them, their pleas fell mainly on deaf ears, and by 2098, their support had dwindled and their supplies grew short. Malas learned that the Nashani were refitting a number of Medushaan warships of the Central Order at Rentamn. Desperation overcame the normally cautious separatists and they hatched a bold plan to capture both the advanced warships and the supplies they needed from the facilities. What they didn't know was that the whole thing was a trap, and there were no Medushaan ships being refitted, but there was the combined battle fleet of Medushaan and Nashani warships lying in wait. Thus deceived, the "False Roshan" refused surrender, and declared her spite for those traitors to her race that would chose to side with the aliens over their kin while ordering her forces to attack. To the astonishment of the separatists, the Nashani ships began to move away from the fight, towards Rentamn Station, while the Central Order Forces charged
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forward to meet the rebels. The advantage in numbers was in favor of the Central Order, but the separatists fought with desperation and the ensuing battle was savage, and brutal. In but a short time the two forces virtually obliterated each other, with the tide turning against the separatists with the death of Regnar Malas. Neither side had little fight left, with most of the surviving ships being little more than hulks, when a broadcast ended all of the fighting. Throughout both Medushaan forces was seen the image of the bloodied Regnar Sulam, the ruler of all of the Medushaan people, appealing for the carnage to end. She had led the forces of the Central Order in a daring gamble, and it would pay off as even the most ardent separatist lost heart for the fight. Soon, the Nashani vessels returned to the battle. Some feared that they were returning for the coup de grace, to put an end once and for all to the dissenters. Instead, they moved through the devastation and rescued the survivors of the battle, treating them without regard for which faction they had come with. This act of compassion, coupled with the general amnesty granted by the Regnar Sulam broke the separatist cause completely.
The last stumbling blocks removed, the Free Worlds Confederation was created by joint decree in 2102, with its capital in the Ushtal system. Though there would always be those that felt that it was wrong for one reason or another, never again would any faction take up arms against the new government.
The Wars of the Confederation
2120-2121 would see the first major test of the now Free Worlds Confederation. Several powerful Centauri houses sought to reclaim interests that they had lost in the border regions of the Free Worlds in the previous century. They would launch a series of assaults along the Free Worlds border, particularly in Medushaan controlled areas. Well fortified defenses and the first coordinated fleet actions of the Nashani with the Medushaan turned back these attacks, but neither race could mass enough forces without weakening their other frontiers to strike back at the Centauri. Then the Centauri Royal Navy decided to make a show of force in the border regions. Fearing an escalation to all out war, and well aware of what that had meant to even the once mighty Orieni, the Nashani brokered a cease fire agreement with the Centauri. No territory was lost, but some Medushaan were angry at making any conciliatory gesture. The Medushaan were no fools however, and were forced to admit that the cease fire, no matter how repugnant, would allow them to bolster there forces for the next time the shooting started. They did not have long to wait.
The Second War of the Confederation would be fought between 2126 and 2130. This time, the Centauri would mount a major assault along the entire Free Worlds border with the Republic. Spearheaded by the Royal Navy and supported by numerous powerful houses, the attacks tore through the forward elements of the Free Worlds forces, decimating their ranks. The blitzkrieg attack caught even the Medushaan completely off-guard, and though they and the Nashani fought gallantly in defense of their territories, they were repeatedly forced back. Within a year 7 border colonies and outposts would be lost to the Centauri, with the Medushaan losing many more lives as a result of their planet-side populations. When the Centauri attacks finally ground to a halt along the powerfully defended inner systems of the Free Worlds, the Medushaan pressed for an immediate counter offensive. With much of their mobile forces smashed, there was little they could accomplish, and eventually the listened to reason and abandoned these plans, with the promise from the Nashani that one day they would return with the Medushaan to reclaim the lost worlds once their fleets were rebuilt.
For nearly two decades they two allies rebuilt, upgraded and drilled their fleets for that day to come. They watched as the Centauri pulled back some of the forces from the region, confident that they would handle whatever the Free Worlds could throw at them. To feed the confidence of the Centauri, the Medushaan regularly launched "psychological operations" raids into the Centauri held systems. These raids were carried out by older Medushaan craft with volunteer crews that "tested" the Centauri defenses, and almost never survived. It was not long before the Centauri felt they had absolutely nothing to fear from the Medushaan. They would be proven dead wrong when the Nashani and Medushaan finally unleashed their most advanced forces upon the Centauri in 2148.
Called by the Medushaan the "War of
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Liberation", the Third War of the Confederation began cautiously with the Free Worlds forces using hit and run attacks, and precision strikes to weaken the Centauri forces all along the border. When it became obvious that the remaining Centauri fleets were crewed by relatively poor hose forces, the allies became emboldened. Free World forces struck hard, fast and at random along the Centauri frontier. They had prepared well for the campaign and the constantly kept the Centauri off-balance and out of position. Unwilling to die for "wilderness' posts, many Centauri house fleets would simply abandon their bases in several of the contested Systems and concentrate their forces for the counterblow. In 2152 they launched their retributive strike aimed at forcing the Free Worlds fleet into the type of set-piece battle that they had avoided for several years. Confident in the sheer firepower of their force, the Centauri allowed themselves to be sucked into a trop in the Essekyre system where their fleet became englobed by not only an Advanced Nashani force using weapons that very nearly matched their own, but a huge fleet of Medushaan vessels which employed the most advanced weapons ever fielded by that race. Coupled with poor coordination between the house forces, and the tactical mistakes of the Centauri command, the mighty fleet was all but obliterated. While the Free Worlds forces sustained heavy damage, they retired from the action still a potent and powerful force in their own right. In the matter of a few hours, the combined fleet had managed to do what neither could have accomplished alone, and the day would mark the final attempt by the Centauri to conquer the region.
Another Enemy Comes
In the 2230's another power staked its claim throughout much of the region's former Centauri space. Moving into the area from their core-ward empire, the Shatu Imperium was technologically advanced and ruthlessly efficient. Rapidly they set about sweeping up the broken pieces of the former Centauri subject worlds, and with frightening speed had become a major player in the region. Though the Medushaan had few interests outside of their own territory, the aggressive push by the Shatu alarmed the security minded leaders of the Gynocracy. The rapid progress of the Shatu and the direction of their advance pointed to an inevitable collision between the two. Preparations were started throughout Medushaan space to go to war for the first time in over a generation.
In late 2234, the Shatu began a series of hitand-run attacks along the old Centauri-Medushaan border. There had been cross border skirmishes between the bellicose neighbors for several years, but the tenor of the attacks was different this time. Rather than the typical quick and dirty, small unit actions of the past, these incursions were disciplined and formidable. It was obvious to both the Nashani and Medushaan military establishments that they were testing the frontier defenses. The Medushaan would launch several spoiling raids into Shatu space, and they were all badly mauled for little return. Still, the Medushaan believed that they held an edge in numbers, and their government politely, but firmly, refused the offer to place a Free Worlds fleet along their border. While the Nashani believed that it was a mistake, but the Medushaan felt confident that they were able to see to their own borders.
Early in 2235 the expected thrust exploded into Medushaan space. The defenders had been forced to place their forces at several key locations, and the lack of concentration was telling as the Shatu brought the full weight of their strike force to bear on the most heavily defended Medushaan border system. Brilliantly planned and flawlessly executed, the plan was simple; defeat each of the Medushaan fleets in detail before they could link up, and gain an overwhelming advantage in numbers. While the Shatu easily outmatched the individual Medushaan warships, they quickly found that they had miscalculated the sheer number of fighters that were available to the Medushaan garrisons. What they had not known was that the Medushaan had stripped every fighter, from every outpost not immediately threatened by the possibility of Shatu advance. Those fighters were staged not only from ground bases, orbital facilities and carriers, but from hastily converted freighters and transports.
The massed fighter strikes from the Medushaan forces came at a staggering price to the defenders, but they blunted the advance of the invaders. Even as the assault fleet passed through the first shattered system en route to their next target they found their fleet train besieged by a surprise strike which served to slow them further, and more importantly spread their escorts
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dangerously thin. The Imperium's planned blitzkrieg through the Medushaan defenders was in serious jeopardy if they could not maintain the tempo, but by striking the very center of the Medushaan lines, they kept them from knowing where the next hammer blow would fall.
The Nashani delegation to the Medushaan home-world offered again to intervene, and this time the Medushaan leaders relented, slightly. They agreed to allow a Free Worlds fleet, which meant primarily the Nashani contingent, into Medushaan space, but only to secure the coreward flank of the Gynocracy so that the ships there could be pulled to the front lines. The move would take some time however, and the Shatu would not allow the allies much breathing room, striking again just days after their initial assault. The second battle was even more in the Shatu favor in terms of ships destroyed versus those lost, but they had been forced to a more conservative battle plan to guard against the Medushaan fighter swarms. The running battle lasted far longer than the Shatu had hoped, as the cagy Medushaan commander fought a brilliant fighting withdrawal. More important, she was able to send a warning along the now apparent axis of advance.
The Shatu still held the advantage in warships, what hurt them the most now was their lack of intelligence regarding the interior of Medushaan space. As their scouts fanned out to determine the best route of advance, precious time was being lost. Although the Shatu Fleet used the brief respite to consolidate their gains and effect repairs, they had lost the initiative, and with it the possibility of matching numbers against the Medushaan. But the Shatu had one more ace to play. When their scouts located the next target the force lingered just long enough to dispatch a courier to the second prong of their attack, from the core-ward side of Medushaan space. They gambled on the fact that the courier would arrive at its location, on time, and the second force would immediately jump to their target, and timed their advance accordingly. Though the second force was smaller, it should, they reasoned, face little opposition as it ran down the defensive frontier of the Medushaan to catch their fleet in between. It was a risky plan that depended on perfect timing and execution, but the Shatu were a very confident lot.
slowly, taking full measure of the defenders, and inviting them to come out to meet their doom. The Medushaan had made the best of the time afforded them, and had massed a huge force, much larger than Shatu intelligence had thought possible. The two fleets collided headlong and the cold vacuum of space became a furnace of destruction. The longer range weapons and better defenses of the Shatu fleet gave them the early edge, but the Medushaan forces pressed hard, using their advantage in speed and fighters. Though they hardly went alone, Imperium ships began to die. Even the most confident Shatu commander soon knew that any victory won that day would have been pyrrhic, and a withdrawal order was sent through the fleet. Besides, they reasoned, the Medushaan force would soon find itself cut off by the second prong of the Shatu attack, surely slashing through nearly undefended systems.
What the Shatu did not know, and would not find out until much later, was that the second prong of their attack had jumped into the teeth of a Free Worlds Battle group composed of Nashani main combatants that had arrived just hours ahead to secure the Medushaan flank. Though the Shatu did hold a tech advantage over the Nashani, the margin was narrower than that with the Medushaan. Worse still, the flaking force was composed primarily of the lighter and faster units in Shatu service, and found itself at a severe disadvantage in pure firepower. Outgunned, but unwilling or unable to abandon their plan, the Shatu attempted to break through the Nashani. They would inflict heavy damage, but eventually they would succumb to the heavier force. With the destruction of this force, the Imperium lost all hope of a quick success.
After just 3 weeks of operations the Shat assault fleet emerged from hyperspace and advanced
The situation devolved into a stalemate with the Shatu battering any Medushaan attempt to dislodge them from the systems they had taken. No matter how powerful their fleet was, the Shatu learned that their supply lines were increasingly vulnerable, and protecting both their convoys and their conquests from the constant Medushaan raids was a severe drain on resources. In effect, they were unable to profit from their gains because of the effort required to maintain them. The Imperium needed to breakout or they would have to withdraw completely, which was an unacceptable outcome.
Many in the Free Worlds wondered where the
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Shatu would attempt to strike. None expected the deft diplomatic maneuver that came next. A Shatu ship carrying a diplomatic mission jumped into Nashani space and announced that it carried the authority to negotiate a cease fire, but that it would do so only with the Free Worlds government. The Shatu had rightly recognized that the Medushaan would not negotiate any settlement, directly. Though the Nashani maintained that the Free Worlds Confederation could not impose terms on the Medushaan government, they agreed to take the matter to the Confederation for consideration. Initially the Medushaan members of the Free Worlds government vehemently opposed the proposed negotiation, but they were won over by the Nashani who maintained that the Confederation would act only as the conduit for the negotiations, and that the Gynocracy would have the final say in any agreement. The Confederation would respect whatever the Medushaan leaders decided.
The following negotiations were relatively straight forward, as befit the natures of the belligerent races. The Medushaan demand was simple, the complete withdrawal of the Shatu from the worlds seized. The Imperium for its part demanded that the Medushaan abandon several outposts throughout the border regions which were little more than listening posts and staging areas for nuisance raids. Though the points seemed simple ones, it took months of wrangling with the Nashani acting as the mediators under the banner of the Free Worlds. In the end, the borders were set and an uneasy peace was reached. Thus far the peace has held, and the Medushaan have used the time well to prepare the strongest, and most advanced military that they have ever had. Considering the history of the Medushaan, that is quite a statement indeed.
Worlds of the Medushaan Gynocracy
Tisiph
The Medushaan home system, Tisiph retains a position of tremendous importance to the Medushaan people. Tisiph is quite literally the center of the Medushaan universe. Medushaan government, trade, culture and religion are all centered on the system and the small moon of the race's birth in particular. The Medushaan religion holds that the home-world is actually a living being, and the mother of all the Medushaan, and the other moons and planets of the system are literally members of their extended family. As a consequence, Tisiph is the most heavily fortified, intensely defended systems under Medushaan control. So important is the system, and the homeworld in particular, that the system is constantly filled with pilgrims from other Medushaan worlds. Ultimately, all respectable Medushaan, no matter the individual world of their birth, make a final trip to Medusha to be returned to the Mother's embrace.
Garra
The oldest of the Medushaan extra-solar colonies, Garra-4 is hardly a garden world by any standard, even those of the hearty Medushaan. Only through the extensive use of hostile environment habitats can colonists hope to survive for long. The colony continues to be a major supplier of minerals and exotic natural compounds even after centuries of development. In addition, Garra is home to the largest shipyard facilities in the Medushaan sphere, with facilities for both the central government and several individual rulers.
Life on Garra is not easy, but it is very profitable and at least tolerable. Much of the planet is dedicated to the acquisition and processing of raw materials, but the workers of Garra are well treated and well paid, and have some of the highest standards of living among the Medushaan.
Lecto
Unlike many of the systems occupied by the Medushaan, Lecto boasts as true garden world. Consequently, Lecto has the largest population of any Medushaan world, far exceeding even the home world. With other sources of mineral resources available, the Medushaan have never had to subject Lecto to the kind of massive industrialization seen elsewhere. Lecto has become the "breadbasket" of the Gynocracy with several transplanted species of livestock and vegetation produced for consumption throughout their space. Because much of the world remains largely undeveloped, Lecto has become home to
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the Headquarters and primary training facility of the Gynocracy's standing army.
Sivorn
The Sivorn system is a heavily defended border system, and seen by some as a valuable position against any advance into the Medushaan "heartland". The small civilian populace of the system is there simply to support the military establishment. Sivorn is a favorite place for the Medushaan military to conduct exercises to "flex their muscles" for the benefit of their neighbors.
Sivorn was home to an early space age race when the Centauri first arrived centuries ago. During the early days of the war with the Orieni, that world attempted to break free from Centauri control. The crater-pocked surface of their homeworld is now a constant reminder to the Medushaan of Centauri evil. Radiation levels have returned to normal, and the dust clouds have dissipated, but it is not believed that any of the original inhabitants survived.
Raphas
Located core-ward of Lecto, Raphas is the last of the three major Medushaan colonial systems, and the smallest. Explorations core-ward from Raphas have been thus-far fruitless, though the government and some individual queens continue to make periodic attempts. Additionally, the Gynocracy maintains a defensive patrol of several desolate systems core-ward of Raphas as a preventative measure. Since the appearance of the Shatu, these patrols have been of increased frequency and firepower.
The colony is constructed upon Raphas-2, which lies in close proximity to the system primary, and like the Medushaan home-world, is tidally locked. Drawing on their centuries of experience, the Medushaan have colonized the "cold side" of the Raphas-2, a colony that forms an important piece of the Medushaan industrial base. Expeditions from the cold side regularly brave the hot side of the world to collect exotic materials available almost no where else. This includes a sizable reserve of Q-40, which is quite possibly the largest in Medushaan space.
ground facilities only hinting at the extent of the effort present. The largest surface facility is the large starport, which is also the headquarters for the sizable military presence in-system. Unlike most Medushaan systems, Raphas does not feature a large orbital defensive fortress ring, though there is still a respectable OSAT network. Most of Raphas' defenses are based from surface facilities and any threat will bring up an angry swarm of fighters and attack LCV/MCV craft.
Turga
Turga is a fortified system which is the primary bulwark protecting Raphas. There are no habitable planets in the system, but the Medushaan have built a naval outpost on the system's one stable Planet. The icy-cored rock of Turga-6 has only minor fixed defenses, but features a sizable force of fighters and attack craft. Typically the Medushaan high command keeps a patrol task force within the system, though these ships are not permanently stationed in Turga.
Medushaan Vessels
Parga-Class Attack Ship (Base Hull)
The Parga represents the latest generation of Medushaan fast attack MCV. Like its predecessors the Parga is fast, nimble and lightly armored. Where the Parga sets itself apart is in its superior firepower, sensor capabilities, and survivability. Despite being a fairly recent addition to the fleet, the mass production of the Parga has made it one of the most common ships in Medushaan service.
Darra-Class Attack Leader (Rare Parga Variant)
Unlike Medusha, there is no habitable "twilight zone" on Raphas-2. The colony facilities "on" Raphas are primarily "in" Raphas, with the above
The Darra was developed to give a Pargabased attack squadron even more close-in firepower, at the cost of flexible attack options. While it was designed as a support craft, the raw power of the Darra's main armament has made it a favorite among Medushaan squadron leaders. As a result, the Darra is now employed primarily as an attack leader, though its numbers are still too few in number to provide one for each squadron deployed.
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Scind-Class Attack Ship (Base Hull)
This older MCV was once the mainstay of the Medushaan fleet. Now replaced as the primary attack ship by the Parga, the Scind is still in widespread use, and will likely remain so for many years to come. Built to be an inexpensive attrition unit the Scind packs a respectable punch but is has several shortcomings including limited sensors and a thin skin. It is likely that the Scinds that remain in service will be converted to either the Vasta or Gula types as more Pargas reach service.
Vasta-Class Torpedo Boat (Uncommon Scind Variant)
The Vasta is a variant of the Scind which mounts a single kinetic torpedo launcher as its primary armament. Though incapable of stand-off bombardment, the raw damage potential of the kinetic torpedo makes the Vasta a welcome addition to any attack formation. Some have proposed converting all remaining Scind-class attack ships to Vastas, though this seems unlikely.
Gula-Class Screening Vessel (Uncommon Scind Variant)
The Gula was developed to provide Medushaan MCV attack squadron a greater ability to deal with enemy fighters without tying up friendly fighters in the escort role. By simply fitting the Scind hull with 4 Twin Ultra Light Plasma cannons and a single Gauss Accelerator, the Medushaan had a low-cost way to add fighter defense to attack squadrons without weakening the attack ability of the formation to any great measure.
Rixa-Class Heavy Warship (Base Hull)
The Rixa is designed to get in close and kill enemy warships, and trades defensive systems for offensive firepower. The Rixa is a common sight among Medushaan forces and provides heavy fire support for their attack MCVs. To fulfill its intended role, the Rixa is one of the faster vessels of its size. The Achilles heel of the Rixa is its poor antifighter/interception capability, though this is mitigated somewhat by Medushaan deployment doctrine.
Gann-Class Torpedo Warship
(Rare Rixa Variant)
This Rixa variant mounts a pair of kinetic torpedo launchers as its primary armament. This gives the Gann a tremendous anti-ship capacity but restricts the overall usefulness of an already limited hull. As a result, the Gann has never been widely deployed by the Medushaan.
Malor-Class Medium Carrier
The Malor began its existence as a prototype assault transport in the 2220's. Quickly it was adapted to fill the need for a carrier that could embark a useful number of fighters along with the munitions that made them even more deadly. Originally seen as a stop-gap measure until a true heavy carrier could be deployed, the Malor has proven to be a capable and economical design likely to remain in service for a very long time to come.
Motas-Class Strike Carrier (Uncommon Malor variant)
A "modernized" version of the Malor, the Motas is the current production model of that line. The main distinction of the Motas is its ability to embark the Rava-class heavy fighter. In addition, the Motas features updated sensors and weapons systems. The Motas is likely to replace the Aging Malor as the primary medium carrier in the next decade.
Thax-Class Collier (Uncommon Malor Variant)
The Thax was developed to help ease the logistic strain of operating fighters and warships that expend large amounts of munitions in battle, making replenishment a key to maintaining their effectiveness. The Thax quite simply trades the large hanger space of the Malor for cargo holds and additional shuttles for transferring weapons to other ships. The Thax is a common sight among the ships of larger battle groups, or long-range patrols.
Larco-Class Destroyer (Base Hull)
An older but still useful hull, the Larco is a multimission destroyer with decent weapons and the ability to carry a flight of medium fighters. Originally
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a purely offensive warship, the Larco is now best suited to escort and patrol missions in which its armament and fighters can counter a wide variety of threats.
Vena-Class Light Carrier (Larco Variant)
Based on the Larco Hull, the Vena features an enlarged hanger which can embark 12 medium fighters. The Vena is still one of the most common carrier hulls seen in Medushaan service serving in a wide variety of roles from escort, strike, and planetary assault support.
Occar-Class Jamming Destroyer (Rare Larco Variant)
The Occar trades the hanger space of the Larco hull for a limited ELINT system. This system is capable of using only defensive ELINT abilities with designers hoping that it could provide a low-cost way to better protect assault echelons against foes with long ranged-weaponry. The Occar is not intended for scouting duties, and is never seen outside of a larger force to which it is providing its specialized support.
Nocto-Class Heavy Cruiser
The Nocto is a multi-mission platform equipped with a variety of weapons, and embarks a squadron of medium fighters for defense or strike missions. Designed for the classic cruiser roles of long range patrol, heavy assault and "showing the flag" the Nocto is a very flexible unit capable of independent or fleet operations. The Nocto is one of the few Medushaan vessels constructed with a gravity positive section for crew comfort on long duration missions, a reflection of the intended uses of the design.
Culsh-Class Assault Cruiser
(Nocto Variant)
The Culsh is the premier assault ship of the Medushaan fleet. The hangers have been modified to carry both assault shuttles and breeching pods, and the hull features an enlarged rotating section to house the compliment of embarked troops.
Keder-Class Battle Scout (Nocto Variant)
The Keder is the only dedicated scout vessel employed by the Medushaan and serves both as a survey and fleet support vessel. By removing some of the heavy weapons of the Nocto, Medushaan engineers were able to include both ELINT gear and a jump drive in the design. Because of its lineage the Keder is an extremely robust design, but the production costs of such a ship have severely limited the ability of the Medushaan to deploy the class in useful numbers.
Prada-Class Heavy Carrier
A purpose-built ship, the Prada is the most capable fighter carrier in Medushaan service. The load-out of the Prada is more than respectable with the main hangers capable of carrying 12 heavy fighters and each of the outer hangers holding 6 medium fighters each. The Medushaan hope to have a modified version in service within a few years that will be able to carry heavy fighters in the outer hangers as well. Obviously, this will greatly increase the already impressive strike capability of the Medushaan fleet.
Konar-Class Jumpcruiser
Because the Medushaan do not have large Q40 reserves, they have long preferred to build noncombat jump-ships to support the strategic movement of their fleets. Though they have always had a small number of jump capable warships, particularly scouts, the Konar has been a true workhorse since its introduction. The Konar is a Spartan design even by Medushaan standards, though there is a gravity positive section for crews on long duration missions. The Konar conducts the vast majority of jump missions required by the Medushaan navy, though it is never risked in assault type missions.
Grumm-Class Battlecruiser
The Grumm is a fast battlecruiser designed to flank enemy forces and provide heavy support to Medushaan attack vessels. The Grumm has a potent anti-ship armament, and carries a squadron of medium fighters for area defense and strike missions. The greatest shortcoming of the Grumm is its poor armor protection as designers traded
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protection for speed and maneuverability. Despite this, the Grumm is a popular choice of Medushaan commanders who favor the design's aggressive attributes.
Roshan-Class Dreadnaught
Strag-Class Cattle Carrier (Grumm Variant)
A relatively new but well-received variant of the Grumm, the Strag trades some of the firepower of the battlecruiser for increased fighter capacity. The enlarged hanger facilities can embark 12 heavy and 12 medium fighters, making the Strag one of the most powerful Medushaan warships in terms of strike potential. Coupled with the hull's mobility and still useful offensive armament, the Strag is likely to become as common as the Grumm in years to come.
A pure firepower platform, the Roshan is the most heavily armed warship in Medushaan service, literally built around two massive plasma decimators. Despite its raw power the Roshan is not very popular with many commanders who find the ship to be too slow and too vulnerable to enemy fire. Adding to this is the fact that the Roshan carries no fighters, something that most Medushaan commanders despise. Still, the Medushaan navy has a few of these beasts, primarily for the prestige that they bring.
Tarla-Class Heavy Transport
Most of Medushaan commercial material transport is handled by Nashani hulls. This arrangement suits the Medushaan just fine as it allows them to focus on supporting warships, but they do have a fleet of military support vessels
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which are used to carry troops, munitions, foodstuffs, and all of the other items needed for sustained operations. The largest and most capable of these vessels is the Tarla, a big slabsided beast of burden.
Tarx-Class Bomber
The Tarx is the last remaining LCV design in Medushaan service, ending a long line of light attack and support vessels. The Tarx was designed from the outset to be a bomber capable of carrying a payload of Blaze/Starfire bombs to help suppress enemy fighters, and soften up screening elements. In service the Tarx proved that it was too flimsy to survive in large scale fleet engagements, and too costly to throw away recklessly. In the end the Tarx was removed from fleet service, with those that survived transferred to garrison and patrol stations where they have fared better against raider type forces. Today, most remaining Tarx "bombers" have had their bomb racks removed in favor of an additional fixed weapon system, though there is no standard modification.
Rava-Class Heavy FighterBomber
The Rava is the newest fighter deployed by the Medushaan and is a sturdy, non-atmospheric design which specializes in killing ships. The Rava is quite impressive in its intended role, though it is a limited dogfighter meaning that it is generally well escorted by other fighters. In addition to fixed weapons the Rava features a weapon's bay which can carry a variety of weapons tailored to the intended mission with which the fighter is tasked. At present, the Rava is deployed in far fewer numbers than the older Tulas-class medium fighter, and those pilots that are selected to serve in Rava squadrons can be considered the best strike fighter pilots that the Medushaan have to offer.
Xad-Class Interceptor
of Tulas in service, its potential was not lost on the Medushaan engineers. Rather than supplant the older fighter, they decided to develop the fighter to fill specialized roles that the utilitarian Tula just could not. Freed from the earlier restrictions the initial design quickly became two; a dedicated heavy assault fighter, a sleek interceptor. Unfortunately for the Xad, the Medushaan believe that the fighter is best employed against enemy warships, and have focused on production of the Rava. The Few Xads that have been produced are deployed in special squadrons that defend highly valuable assets.
Tulas-Class Medium Fighter
The standard Medushaan fighter for many years, the Tulas remains an important part of the Medushaan military machine. Though it has been replaced by the Rava as the primary assault fighter, the Tulas continues to serve the fleet in the escort and interceptor roles. In addition, it is an atmospheric design which is used extensively to support Medushaan ground forces as needed. The Medushaan navy hopes to deploy a new interceptor design within the next few years, at which point the Tulas will begin to be phased-out of front-line service.
Magla-Class Transfer Station
The largest orbital facility operated by the Medushaan the Magla are used as trade stations in Medushaan controlled systems. Because of the relationship between the Nashani and Medushaan, the Magla features a sizable zero gravity section for a resident Nashani population as well as transients. This arrangement gives the Magla a distinctive double ring configuration with the larger, rotating section being the Medushaan habitat, and the smaller non-rotating section reserved for the Nashani. Like all Medushaan facilities, the Magla features heavy defenses and armament.
Posta-Class Defense Station
The Xad interceptor is the half-sister of the Rava heavy fighter-bomber. Both specialized fighter designs came from a single "jack-of-alltrades" design originally intended to replace the Tulas in the 2240's. While the original design was shelved as being too costly to replace the hordes
A Posta is always the core of any Medushaan system defensive network. These powerful bases have replaced all of the older orbital fortifications in recent years and are potent forces to be reckoned with. The Posta features the most powerful weapons available to the Medushaan and carry a great many fighters. There is generally just
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one of these bases present in a Medushaan controlled system.
Marsa-Class Heavy OSAT
This old design is only marginally effective in a modern context, but remain in service due to their reliability and availability. The Marsa is no longer in production and is being phased out as more modern designs become available.
Falk-Class OSAT
The most common OSAT in Medushaan service. A simple, rugged design with proven firepower the Falk forms the bulk of Medushaan OSATs in service. The inexpensive nature of the Falk allows forlarge numbers to be deployed in defensive networks.
Trada-Class OSAT
A very new design in limited service in a few key Medushaan positions. The Trada is the first unit in Medushaan service to feature the heavy plasma repeater. The Trada also benefits from an advanced power system that allows the satellite to mount a greater armament than ever possible before. The high unit cost of this OSAT is its single greatest drawback.
Mines
Obsessed with strong defenses, it is not surprising that the Medushaan make lavish use of mines to defend important places throughout their space. Several types of mines are in use, but the most common are the Lasha-Class Captor mines.
Experts and Elite Officers
Medushaan Expert Strike Tactician
What the Medushaan lack in strategic sense is amply compensated by their tactical genius. No race is quite so quick to exploit a weakness, to recognize their own, and to profit from both circumstances.
-Shol Der-Vor Otani
The Medushaan are completely dedicated to the fighter as an offensive, anti-warship weapon. In addition to having some of the most tenacious pilots in known space, the Gynocracy has also produced some of the best Strike-Fighter tacticians ever seen. Veteran pilots all, many have crippling injuries that prevent them from flying. While they have all earned their reputations in the cockpit, they continue to serve the fleet by mentoring younger pilots. More importantly these experts plan and coordinate the strike missions of a ships fighter compliment, seeing to the details and adjusting the plan on the fly in way that would be impossible to do from the cockpit when under fire. The Medushaan view the destruction of enemy warships to be the primary use of their fighters, and the destruction of enemy fighters as secondary to that goal. As a result, the narrow focus of the Expert Strike Tactician means that the bonuses gained by her fighters only apply when they are assigned to attack enemy ships, and do not gain bonuses when on escort or interception missions. If the Expert Strike Tactician is lost due to destruction of the ship or C&C from which she is operating, the fighters from that ship lose the bonuses associated with the Strike Tactician following the completion of the current turn.
The militant outlook of the Medushaan people has led to a great many individuals choosing the military as a lifelong devotion. As a result each branch of the Medushaan military is a veteran organization, and experts are widespread and respected. In addition to the more common expert officers available to Medushaan and other races, the Medushaan focus on fighter warfare has led to another officer unique to their military, the Strike Coordinator.
Location: C&C
Cost: 25% Base cost of fighters embarked.
Availability: Other races may have as experienced strike tacticians, but the Medushaan have established a doctrine for their employment, so the cost for the purchase for another race would be double (50% base cost of fighters)
Bonuses of Having an Expert Strike Tactician: These bonuses apply to all of the ship's fighters
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currently assigned to attack enemy warships.
+1 to Offensive Bonus
Jinking: The ship's fighters can use one level of Jinking without paying the thrust cost as normal. Additional levels of Jinking require the standard amount of thrust (calculated as though this "free" level were not being used). This bonus level does not count against the jinking limits for that fighter class.
+1 damage from all weapons "hits" on targeted warship. This bonus reflects the precise aim and guidance of the attacks.
Medushaan Weapons
Plasma Bolt Gun
The main anti-fighter weapon system used by the Medushaan fleet from 2189 until its replacement by the Twin Ultra-Light Plasma Cannon in 2236. Still used by some older designs, and in a new fighter mounted version, the plasma bolt gun is accurate and fast firing but suffers for an inability to intercept enemy fire, and from relatively limited damage potential.
Plasma Bolt Cannon
A somewhat successful attempt to increase the range and accuracy of the plasma cannon. Though not a great system, Medushaan builders used the design to replace the stalwart medium plasma cannon, preferring the "home-grown" system over those of alien powers. The technology was never fully developed into a large line of weapons as other areas of development eventually eclipsed the Bolt Cannon.
Twin Ultra Light Plasma Cannon
The Medushaan have always been impressed by the Centauri twin array, but have never been able to effectively replicate the system. In order to provide their forces with a similar system, the Medushaan developed a twin mounting for a scaled-down version of the light plasma cannon. Though the resulting weapon cannot match the performance of the twin array, it is a great improvement over older light weapons and is now found on nearly every Medushaan warship design.
Plasma Cutter
Based on captured examples of the Centauri plasma streamer, the plasma cutter has been refined for maximum damage potential. A very potent weapon, the cutter is hampered by very short range and high power consumption, limiting the usefulness of the design.
Plasma Accelerator
This weapon is simply a copy of the Centauri system and has been in widespread service with the Medushaan since the late 2100s. Becoming less common in modern Medushaan designs.
Plasma Decimator
An immensely powerful weapon designed with some assistance from the Nashani who provided key focusing systems. The Plasma Decimator is a huge weapon designed as a maximum damage, alpha strike weapon, found only on the largest Medushaan warships.
Plasma Repeater
The plasma repeater is a newer weapon becoming popular with the Medushaan. The plasma repeater can "store" several shots, releasing them in rapid succession. This suits the Medushaan particularly well as they allow the repeater to build a charge as their ships close to short range with an enemy, releasing a hail of plasma fire that is very difficult to defend against. When fired, each stored shot rolls to hit independently.
Heavy Plasma Repeater
This up-scaled version of the plasma repeater has impressive potential, but has only appeared on the new Trada OSAT. It is possible that future designs may be equipped with this system, though cost and maintenance are concerns.
Light Dual Plasma Cannon
A refinement of the basic light plasma cannon which has a pair of weapons in a single mounting. The system can be fired in a synchronized fashion do greater damage in one shot, or each emitter may fire as a single light plasma cannon. This weapon replaced the light plasma cannon in
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Medushaan service in the 2220s.
Dual Plasma Cannon
A larger version of the Light dual plasma cannon comprised of two medium plasma cannon equivalent weapons in a single mounting. The dual plasma cannon replaced the medium plasma cannon in Medushaan service by the 2230s.
Heavy Dual Plasma Cannon
A larger version of the dual plasma cannon comprised of two heavy plasma cannon equivalent weapons in a single mounting. The heavy dual plasma cannon replaced the heavy plasma cannon in Medushaan service by the 2230s.
Gauss Accelerator
A refinement of the Orieni Gauss Cannon which the Medushaan have had for many years. Through a series of refinements they have been able to combine the best qualities of the gauss cannon with weapons like the blast cannon. In effect, the gauss accelerator can be fired with a "full charge" that has similar characteristics to the standard gauss cannon. In addition, the weapon features a "rapid-fire" mode in which the cannon splits its charge to fire several rounds in succession. These rounds have much less velocity than a full charge shot, and therefore do less damage (and do not gain the benefits of matter weapons), but gain the ability to strike a target several times, more effectively deal with fighters, and intercept ballistic weapons.
The gauss accelerator is therefore a very useful weapon system, but is more costly and maintenance intensive than the gauss cannon. There is also a delay when switching modes, making the system somewhat tricky to employ at times.
Dual Gauss Cannon
Like the Dual plasma cannon, the dual gauss cannon is simply a pair of refined gauss cannons in a single mounting. Unlike the plasma weapon, the dual gauss cannon always fires both barrels in tandem. The System proved costly and less effective than hoped, and as a consequence appeared on few ships.
Heavy Gauss Cannon
A scaled-up version of the Gauss Cannon. Bulky and ammunition dependent, the weapon never saw much use on Medushaan ship designs. The system was widely employed in Medushaan OSAT designs of the 2100s and early 2200s where its relative simplicity and ease of maintenance were prized, and its bulk was less of an issue.
Kinetic Torpedo
The Medushaan answer to the ballistic weapons used by other races, replacing their rocket/missile weapons in the late 2100s. The weapon is simply a powerful plasma drive that rapidly accelerates an armored shell. The Torpedo carries no warhead as the heavy, fast moving projectile does ample damage when it strikes a target. The resulting weapon is simple, inexpensive and has no explosive that can be "cooked-off" in its launcher. On the down side, the Kinetic torpedo has little ability to make course corrections to track a target, and is very bulky, limiting the number of rounds that can be carried by a warship.
Light Kinetic Torpedo
A smaller version of the Kinetic Torpedo that is employed as a fighter carried weapon.
Starfire Bomb
Like its precursor, the Blaze Bomb, the Starfire Bomb is used by the Medushaan primarily as a deterrent to enemy fighters and to occupy the defensive for of an enemy force. The Starfire Bomb is a cheap, but potent plasma flash weapon that can force an enemy to evade it, intercept it, or run the risk of losing fighters or taking damage to their ships. Though the Medushaan have attempted to produce both LCV and MCV craft dedicated to carrying these bombs, they have found that their fighters remain the best deployment option being both evasive and individually inexpensive. Starfire Bombs are considered "Slow Ballistics".
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Acknowledgements
First of all we would like to thank Tyrel for putting the pieces of this puzzle together. We would also like to say a hearty thanks to Charles Haught who created the SCSs for the project and was instrumental in creating playable designs from our ideas. Thanks also to Madoka from the B5Wars.Net forum for his playtest comments.
Author's Note
This project represents our idea of what the Nashani and Medushaan could be, and is not meant to conflict with anyone else's vision of those races. Throughout the project we felt that we were better off creatively if we did not try to work within the context of other fan-created works. If the material within offends anyone who feels that we did not stay true to other, previously published works, we are sorry. We are both huge fans of the works of others that have kept this game alive, and hope that others will enjoy our contribution as well. Our hope is that even if you don't think this is how these races should be portrayed, you will "file off the serial numbers" and use them somewhere else in your personal universe.
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|
Plea Bargaining in Juvenile Court
BY ROBERT E. SHEPHERD, JR.
Although the appropriateness of plea bargaining has long been controversial in the juvenile justice system, the IJA-ABA Juvenile Justice Standards Relating to Adjudication released in 1980 recognize the practice, legitimize it, and urge that it be conducted pursuant to strict guidelines. (Standards 3.3, 3.4, 3.8) Likewise, the IJA-ABA Juvenile Justice Standards Relating to Counsel for Private Parties caution defense counsel to be careful in engaging in plea negotiations. (Standard 7.1) Historically, plea bargaining was frowned upon because the customary use of indeterminate commitments to youth correctional agencies was not as dependent on the gravity or number of the charges as it was on the characteristics of the youth. Indeed, the three earliest sets of standards concerning the juvenile justice system all opposed the use of plea bargaining in the court. (See Robert E. Shepherd, Jr., Juvenile Justice: Pleading Guilty in Delinquency Cases, 16:3 Crim. Just. 46 (Fall 2001).) However, as the gap between the juvenile system and the adult criminal process has narrowed, the use of determinate commitments has become more common; transfers of juvenile to adult courts has increased; there is greater access of the public and outside agencies to juveniles court records; and there is a growing use of juvenile adjudications as predicates for adult sentences or other collateral consequences. Consequently, plea bargaining has become ever more important. The growth in caseloads for juvenile public defenders and prosecutors has also contributed to the increasing number of plea bargains.
Investigating and Analyzing the Case
The starting point for any effective representation of a juvenile client is to conduct a thorough and timely investigation of the case, beginning with the initial interview of the young person. (Robert E. Shepherd,
ROBERT E. SHEPHERD, JR. is emeritus professor of law at the University of Richmond School of Law in Richmond, Virginia. He is a former chair and current member of the Section's Juvenile Justice Committee, and a contributing editor to Criminal Justice magazine.
Jr., Establishing the Attorney-Client Relationship with the Juvenile Client: Part I," 4:1 Crim. Just. 26 (Spring 1989), Part II, 4:2 Crim. Just. 31 (Summer 1989), Part III, 4:3 Crim. Just. 33 (Fall 1989).) All the possible witnesses should be interviewed, including the known prosecution witnesses, possible defense witnesses, and any independent witnesses. The existence of any client statements to the police should be explored and the presence of any evidence in the hands of the police and prosecution ascertained, through discovery if necessary. Defense counsel should review the statutory elements of the crimes alleged and any law applicable to the offenses. All possible defenses should be examined and researched thoroughly, including the possibility of suppressing any of the evidence the prosecution might introduce at trial. After a thorough investigation, counsel should assess the strengths and weaknesses of both the juvenile's case and the prosecution's case, including the availability and credibility of witnesses, the viability of any affirmative defenses, and the likely success of any defense motions you might credibly make. (Robert E. Shepherd, Jr., Juvenile Justice: Pretrial Strategy and Motion Practice, 3:1 Crim. Just. 29 (Spring 1988).) What is the client's prior record, the harm caused by the alleged offense, and the status of any codefendant's cases, including whether they are also juveniles or adults? The defense lawyer also needs to assess the skills and tendencies of the prosecutor handling the case and the history of the judge assigned to it. How has the juvenile's family reacted to the arrest and charging and how available is favorable evidence regarding the juvenile's conduct in school and the community? In other words, how would the case likely play out if it were contested zealously and effectively in court? An excellent primer for the role of the defense lawyer in plea negotiations may be found in Chapter 9 of the invaluable publication Juvenile Defender Delinquency Notebook (2d ed. 2006) by Elizabeth Calvin, Sarah Marcus, George Oleyer, and Mary Ann Scali and available from the National Juvenile Defender Center in Washington, D.C.
Counseling the Client
Regardless how counsel might assess the case, the decision about the plea to be entered is solely the client's. During the investigation there should have been ongoing discussion with the client and her or his family. After the completion of the investigation and the candid assessment of the case, there should be an equally honest conversation with the client focused on whether to initiate plea discussions with the prosecutor. Whenever the prosecution extends a plea offer to defense counsel, that offer must be communicated to the client regardless of counsel's judgment regarding the sufficiency of the offer. The conversation with the client should be thorough, and it should be conducted in terms clearly understandable by the juvenile. The youth should be asked to restate what you have communicated in her or his own words so that you can judge whether the client completely comprehends what you have said. The lawyer should review all the factors she or he considered in assessing the case with the client and explain in age-appropriate language the pluses and minuses of entering into a plea agreement. Any concerns the client has should be thoroughly addressed, along with counsel's judgment about whether the youth will be better off after successful plea negotiations or adjudication following a trial. The client must know what rights are surrendered by entering a plea and what the implications are for waiving those rights. The client also needs to know what her or his obligations will be if the plea offer is accepted and what the collateral consequences will be from the bargained adjudication and disposition.
Negotiating the Plea
If the client is amenable to the initiation of plea negotiations, defense counsel should have a clear plan in place for approaching the prosecutor. The lawyer must be prepared to advocate for the best possible deal consistent with the juvenile's goals and within the parameters of the authority the client has given her or him. Counsel must be thoroughly familiar with the local ethical and legal rules for the conduct of plea negotiations and the entry of guilty pleas, and she or he should continue to prepare the case for trial in case that becomes necessary. The defense lawyer should try to step into the shoes of the prosecutor and consider what reasons exist for accepting a guilty plea and agreeing to a more benign disposition or backing away from seeking transfer of the case to adult court. A guilty plea might very well be in the best interests of the state as well as the juvenile. Counsel should consider the value to the prosecutor of a willing client testifying against codefendants, especially adults or older juveniles who might be more culpable. Negotiating with the prosecutor is much like making your strongest possible argument to the judge during both adjudication and disposition. Without giving away the defense that would be offered in a contested case, counsel should
Editor's Note: After 21 years as author of Criminal Justice magazine's Juvenile Justice column, Professor Shepherd has decided to retire as a regular contributor. This marks his last column for the magazine. The editorial board of Criminal Justice expresses its appreciation for his excellent service to the Section and to the magazine in keeping its readers up-to-date on the important issues in the juvenile justice community.
emphasize the strengths in the defense case and the weaknesses in the state's case. Counsel should also emphasize the client's strongest points, including the lesser degree of culpability than the codefendants, school strengths, athletic accomplishments, church and community involvement, and any discipline that the parents have administered, including curfews and limitations on activities awaiting trial. The lawyer may need to remind the prosecutor of the rehabilitative nature of the juvenile court and the underlying goals of the juvenile justice system. Counsel should be creative and try to address the prosecutor's legitimate concerns by agreeing to community service or some other form of restorative justice.
The Prosecutor's Role
The National District Attorneys Association Prosecution Standard 19.2 Juvenile Delinquency, paragraph D, defines the prosecutor's role in plea negotiations in juvenile court as being "governed by both the interests of the state and those of the juvenile, although the primary concern of the prosecutor should be protection of the public interest as determined in the exercise of traditional prosecutorial discretion." (James Shine & Dwight Price, Prosecutors and Juvenile Justice: New Roles and Perspectives, in Ira M. Schwartz, ed., Juvenile Justice and Public Policy: Toward a National Agenda 129-30 (1992).) This statement largely tracks Standard 5.1 of the IJA-ABA Juvenile Justice Standards, Standards Relating to Prosecution, although the commentary accompanying the ABA Standard expresses concern about plea bargaining giving prosecutors an incentive to "overcharge."
Entering the Plea
Any plea agreement should be memorialized in writing like any other important contract, and the defense lawyer should begin to prepare the client for entering the plea and engaging in the plea colloquy
that will take place at trial. Both the prosecution and the defense should be thoroughly familiar with the statutes, rules, and practices of the jurisdiction for presenting the plea agreement to the judge in court, and with the structure of the colloquy the judge will conduct in determining the voluntariness and intelligence of the plea. Many jurisdictions utilize a standardized plea colloquy that may be found in a judicial bench book, and that should be consulted when preparing the juvenile for court. Hopefully, the client has been kept informed throughout the plea negotiations and is fully prepared for the guilty plea. The court should engage in a meaningful dialogue with the juvenile and not simply ask leading questions or those that can be simply answered "yes" or "no."
Evaluating the Consequences of the Plea
One effect of the toughening of the juvenile justice process over the past two decades has been a significant increase in the collateral consequences of a juvenile adjudication, and these consequences must be thoroughly evaluated by defense counsel and discussed in full with the client and the client's parents. Some jurisdictions have extended "three strikes" legislation to juvenile court or to include juvenile adjudications, and juvenile records are now more widely available to the public and to governmental and private agencies. A juvenile adjudication is now widely utilized in criminal sentencing guidelines and an adjudication for a sex offense may compel sex offender registration under the federal Adam Walsh Act or its state counterparts. If the youth is an immigrant, the juvenile conviction may lead to deportation, and a juvenile adjudication may result in the taking of a DNA sample and in a prohibition against possession of a firearm. Other collateral consequences may also exist in a particular jurisdiction. ( See Robert E. Shepherd, Jr., Juvenile Justice: Collateral Consequences of Juvenile Proceedings: Part I , 15:2 C rim . J ust . 59 (Summer 2000); Part II, 15:3 C rim . J ust . 47 (Fall 2000).) All these consequences need to be considered in entering the plea negotiations and in discussing any possible agreement with the client and the client's parents.
Enforcing the Agreement
If there is any problem created by the prosecutor reneging on the agreement, defense counsel should be prepared to enforce the agreement, which should be in writing. The lawyer needs to be familiar with Santobello v. New York, 404 U.S. 257 (1971), and comparable state cases that address the enforcement of plea agreements. Both the defense lawyer and the prosecutor should be prepared to address what they will do if the judge is unwilling to accept either the plea or the proposed disposition that will accompany the plea. n
|
TYPE B EQUIPMENT: Equipment providing a particular degree of protec- tion against electric shock, particularly regarding—
* allowable LEAKAGE CURRENT
* Reliability of the protective earth connection (if present).
i
COPYRIGHT © 1996 TELEDYNE ELECTRONIC TECHNOLOGIES – ANALYTICAL I
NSTRUMENTS
All Rights Reserved
No part of this manual may be reproduced, transmitted, transcribed, stored in a retrieval system, or translated into any other language or computer language in whole or in part, in any form or by any means, whether it be electronic, mechanical, manual, or otherwise, without the prior written consent of Teledyne Electronic Technologies Analytical Instruments, 16830 Chestnut Street, City of Industry, CA 91749-1580
Phone (626) 934-1500
FAX (626) 961-2538
Technical Support: (626) 934-1673
TWX (910) 584-1887 TDYANLY COID
or your local representative.
WARRANTY STATEMENT
The electronic control and display components of the TED 191 Portable Oxygen Monitor are warranted against defective workmanship and materials for 24 months from date of shipment from Teledyne.
The class T-7 Micro-Fuel Cell is warranted for one year from the date of shipment from Teledyne.
The liability of Teledyne, if any, shall be limited solely to the replacement and repair of the goods, and shall not include shipping costs or other incidental damages as defined in Section 2-715 of the U.S Uniform Commercial Code.
This warranty is null and void if any goods are subjected to misuse, negligence, accident or repairs other than those performed by Teledyne or an authorized service center.
Caution:
Federal Law restricts this device to sale by or on the order of a physician.
TELEDYNE ELECTRONIC TECHNOLOGIES Analytical Instruments
TABLE OF CONTENTS
INTRODUCTION
The TED 191 Portable Oxygen Monitor is an easy-to-use, portable instrument that provides fast and accurate oxygen monitoring and audio-visual alarm capability. The TED 191 is designed to monitor concentrations of up to 100% oxygen in medical gas mixtures.
The TED 191 Portable Oxygen Monitor is designed and manufactured in accordance with strict performance and quality protocols and subject to ISO 9002 Quality System protocols. When used correctly, this instrument will provide you with many years of trouble free service.
The TED 191 Portable Oxygen Monitor is a compact, self-contained unit, which is battery powered by four (4) dry cell batteries (size AA/penlight).
APPLICATIONS
The instrument is designed for the measurement of oxygen concentrations in a variety of medical gas mixtures. It is recommended that the instrument be used only as a secondary measuring device to verify the concentration of oxygen in gas mixtures prepared using a gas blender or similar apparatus. The use of this monitor as a primary or only means of preparing gas mixtures is not advised.
The monitor is capable of verifying oxygen concentrations in gas mixtures used in:
* Anesthesia
* Neonatal Intensive care
* Adult Intensive care
* Respiratory / Oxygen Therapy
DESCRIPTION OF FUNCTIONAL ZONES
FRONT PANEL
DESCRIPTION OF FUNCTIONAL ZONES
REAR PANEL
Battery Drawer
Sensor Cable Connector Plug
Battery Drawer
The Battery Drawer contains 4 x AA (Penlight) batteries required to power the instrument.
Sensor Cable Connector Plug
The Oxygen Sensor Connector Cable is plugged into this "one way" socket.
SECTION ONE
OPERATIONS
Note : Upon receipt, inspect the entire unit and accompanying accessories for damage or broken or loose parts. If damaged, do not use. Notify the Shipper, and consult Teledyne Electronic Technologies Analytical Instruments
1.1 SET-UP
To set-up your TED 191 Portable Oxygen Monitor :
1.1.1 Install the Batteries
See 1.2 below for procedure
1.1.2 Install the Sensor
See 1.3 below for procedure
1.1.3 Calibrate the Instrument
See 1.4 below for procedure
1.1.4 Normal Operation
See 1.5 below for procedure
1.1.5 Set the Alarms
See 1.6 below for procedure
OPERATIONS
1.2 INSTALLING THE BATTERIES
Withdraw the battery drawer from the monitor casing, by grasping the side lugs located on either side of the battery drawer, and, firmly pinching them inwards, simultaneously pull the drawer outwards. When new, this action can be somewhat stiff and difficult to execute. Care should be taken not to damage either the drawer or the casing of the monitor when executing this procedure.
Fresh batteries must be inserted into the four battery recepticles located within the battery drawer assembly. Care should be taken to ensure that the correct battery polarity is maintained.
Caution :
Improper installation of the batteries may result in heat damage to the batteries.
Re-insert the battery drawer into the monitor casing, and close.
TELEDYNE ELECTRONIC TECHNOLOGIES Analytical Instruments
OPERATIONS
1.3 INSTALLING THE OXYGEN SENSOR
The T-7 Oxygen Sensor must be installed before the instrument can be used.
Ensure that the monitor is switched off.
Remove the sensor from its protective bag. Inspect the sensor for damage or electrolyte leakage. If the sensor is damaged obtain a replacement. Do not use the defective sensor as it may be damaged.
Caution: the sensor electrolyte is caustic. Do not let it come into contact with skin. If it does, immediately flush the affective area with water. Consult the Emergency First Aid procedures as set out in the Material Safety Data Sheet for the sensor. Do not attempt to open or repair the sensor. Leaking or exhausted sensors should be disposed of in accordance with local regulations. Consult the Material safety Data Sheet supplied with the sensor.
Plug one end of the coiled cable into the telephone jack receptacle on the end of the sensor. The jack will only fit one way, so if it does not fit, rotate it until it slides in easily.
Plug the other end of the coiled cable into the receptacle located on the right hand side of the rear panel of the instrument. This jack will only fit one way, so do not force it.
Note : For sterilization procedures on the Oxygen Cell, see Section 3 on Page 15 below.
Caution :
Do NOT autoclave the oxygen sensor
TELEDYNE ELECTRONIC TECHNOLOGIES Analytical Instruments
OPERATIONS
1.4 CALIBRATE THE INSTRUMENT
Calibration should be effected at least once per shift, and always prior to the use of the instrument.
Note: Never expose the sensor to varying temperatures while calibrating (i.e never hold the sensor in your hand)
Ensure that the instrument is switched on, and that the oxygen sensor is connected to the instrument via the coiled cable. Expose the sensor tip to pure (100%) free flowing oxygen (a flow rate of approximately 6 to 8 litres per minute is recommended).
Tip:
For best calibration results, use a T-adapter and flow diverter within a flow circuit, with the flow diverter attached to the sensor, allowing pure dry oxygen to flow past the sensor assembly.
Allow the displayed value to stabilize.
Pull out the Calibration Control Knob and rotate until the displayed value is stable at 100%. At this point, push the Calibration Control Knob back into its locked position.
Turn off oxygen supply and place sensor in ambient air. Remove the flow diverter from the Sensor, if one was used during the calibration process, Observe that the displayed value falls to 21% (±2%). Calibration has been successful.
In the event that the displayed value does not reflect 21% (±2%), initiate a re-calibration (following the steps outlined above).
In the event that calibration is once more unsuccessful, check that the purity of the calibration gas being used is valid. If the quality of the oxygen being used in the calibration process is acceptable, and calibration is still impossible, replace the oxygen sensing cell.
Note:
The calibration process should always be executed in dry, non-humidified oxygen. Water vapour dilutes the oxygen concentration which can produce errors in the calibration. The accuracy of the instrument is only as good as the quality of the calibration process.
Note:
It is not uncommon for the ambient air in hospital wards to be as high as 23%. If the unit fails the 21% calibration reading move the instrument to a location where oxygen contamination is unlikely.
TELEDYNE ELECTRONIC TECHNOLOGIES Analytical Instruments
1.5 NORMAL OPERATION
Switch the instrument on using the On–Off Switch.
Validate the calibration of the instrument by exposing the oxygen sensor to room air, and verifying that the display on the instrument reads 100% (± 2 %). A further check can be carried out by exposing the sensor to a stream of 21% oxygen, and verifying that the display on the instrument reads 100% (± 2 %).
Should this validation procedure indicate that the instrument is out of calibration, follow the calibration procedures set out in 1.4 above.
Once the calibration of the instrument has been verified, place the sensor tip within the stream of gas (e.g. breathing circuits) or the localised environment (e.g. incubators or oxygen tents) that requires to be monitored.
It is highly recommended that a flow diverter be used when monitoring a dynamic gas stream. This will prevent sample stagnation, and create a vortex effect that will facilitate a more accurate continuous assessment of the gas stream being monitored. The flow diverter should be plugged into a T-adapter, which must be located in line.
Note:
Check the breathing circuit for leaks. Ensure that the circuit downstream of the sensor does not produce any back-pressure or restrictions of the gas flow, or errors in the readings will result.
When using the instrument in a static environment, such as in an incubator, the flow diverter should be removed so that it does not interfere with the rapid exchange of gases through the gas permeable membrane of the sensor cell. When it is necessary to thread the cable through a small hole in order to gain access to the inside of the chamber, the instrument should be switched off, the cable should be disconnected at the sensor, threaded through the hole, and reconnected inside the chamber (see1.3 above), before commencing as described above.
Note:
Failure to remove the flow diverter will result in the marked slowing of the sensor response time.
The instrument will display the measured oxygen concentration. The high and low alarms should be set as detailed in 1.6 below.
When using the instrument in the presence of anaesthetic agents, it is possible for the measured value to reflect a fall. The magnitude of this fall is related to the level of oxygen concentration and the duration of the exposure to the anaesthetic agent. See 1.7 below for further details.
TELEDYNE ELECTRONIC TECHNOLOGIES Analytical Instruments
OPERATIONS
OPERATIONS
1.6 SET THE ALARMS
The lines indicating the 100% graduations around the High and Low Alarm Settings Knobs are only intended as guides, and not as precise settings.
Once the desired oxygen concentration has been set, bring the high alarm setting down, by turning the High Alarm Setting Knob anti-clockwise, until the alarm is triggered, and then take the high alarm setting up by approximately 5%. Bring the low alarm setting up, by turning the Low Alarm Setting Knob clockwise, until the alarm is triggered, then take the setting down by approximately 5%. These settings will create a "window" of approximately 10%, within which the set oxygen concentration will now be measured. This window can be increased or decreased, according to the users requirements. Any deviation from this set window will trigger the alarm.
The graph alarm is accurate at 100% and within ±8% at 21%, and the low alarm is most accurate at 21%, and within ±8% at 100%. This is depicted in the graph below.
The instrument will alarm at any oxygen concentration below 18%.
In the event of a violation of the pre-set alarm limits, the instrument will provide both an audible and a visual alarm signal. Under these conditions, it is possible to "mute" or temporarily silence the audible alarm tone for about 60 seconds to allow corrective action to be taken. If the condition is not rectified within this time, then the audible alarm tone will be automatically reinstated. Audible alarm signals are tonally matched to the type of threshold violations i.e. low alarm violations are signalled via a lower pitched audible signal, while high alarm violations are signalled via a higher pitched audible signal.
SECTION TWO
A
NAESTHETIC AGENTS
2. ANAESTHETIC AGENTS
The anaesthetic agents listed in the following table (Halothane, Enflurane, Isoflurane Sevoflurane, and Desflurane) were vaporised into a stream of 30%oxygen / 70% nitrous oxide. The resultant drops in displayed oxygen concentration after a 2 hour exposure period were observed. Exposurers in excess of 2 hours will provide marginally greater errors. The errors listed are typical for all gas permeable membrane oxygen sensors.
Exposure of the sensor to gas, free from any anaesthetic contamination, for a period of equal or greater than the exposure period, will eliminate the measurement error in most instances.
Gas or Vapor Level (Balance : Mixture of 30% O2 / 70% N2O, except where noted)
| Helium | 50%, balance O 2 | 0% |
|---|---|---|
| Nitrous Oxide | 80%, balance O 2 | 0% |
| Carbon Dioxide | 10%, balance O 2 | 0% |
| Halothane | 4% | < -1.5% O * 2 |
| Enflurane | 5% | < -1.5% O * 2 |
| Isoflurane | 5% | < -1.5% O * 2 |
| Sevoflurane | 5% | < -1.5% O * 2 |
| Desflurane | 15% | < -1.5% O * 2 |
* Errors are approximate and may vary based on exposure times and concentrations. These performances meet or exceed the requirements of ISO 7767: 1997 (E)
Caution:
The TED 191 Portable Oxygen Monitor should not be used in the presence of flammable anaesthetics such as diethal ether or cyclpropane.
The T-7 oxygen sensor should not be left in nitrous oxide mixtures any longer than absolutely necessary. After exposure to nitrous oxide mixtures, the sensor should be left in 100% oxygen overnight (e.g. left in a breathing circuit that has been flushed with pure oxygen). If the oxygen reading continues to drop after each use in nitrous oxide, the sensor should be removed from service. If the sensor can no longer be calibrated, or if there is any sign of electrolyte leakage, the sensor should be disposed of in accordance with local regulations and the specific guidelines as given in the Material Safety Data Sheet of the sensor.
SECTION THREE
CLEANING AND STERILISATION
3.1 CLEANING THE TED 191 PORTABLE OXYGEN MONITOR
The instrument itself should be cleaned using a damp cloth. In the event of an excessive build-up of dirt, a mild alcohol solution (isopropyl) may be used to wipe over the instrument, which should be allowed to air-dry afterwards. In extreme cases, the monitor casing may be cleaned using a mild detergent.
Note:
The Accurox Oxygen monitor cannot be liquid sterilised or autoclaved – irreparable damage may result.
3.2 STERILISING THE T-7 OXYGEN SENSOR AND CONNECTING CABLE
The T-7 oxygen sensors and connecting cables used on the instrument may be gas sterilised using low temperature ethylene oxide. A vacuum must not be drawn on the sensor during the sterilisation process.
TELEDYNE ELECTRONIC TECHNOLOGIES Analytical Instruments
SECTION FOUR
DO'S AND DON'TS
DO'S
Read the Operators Manual thoroughly before using the instrument.
Calibrate once per shift, and prior to each and every use.
Check the high and low alarm threshold settings prior to use.
Replace the batteries immediately when required.
Keep the instrument, cable and sensor dry at all times.
Re-calibrate after changing the sensor or batteries.
Visually inspect the whole instrument prior to use.
Check the integrity of all cable connections routinely.
Remove and carefully store the "flow diverter" when using the instrument in "static" environments such as incubators, oxygen hoods etc.
Perform an alarm functionality test prior to each use.
Remove batteries if the instrument is not to be used for a month plus
DON'TS
Use the Accurox Oxygen Monitor if you suspect any malfunction.
Use the monitor in the presence of flammable anaesthetics.
Autoclave the instrument and/or the sensor.
Submerge the instrument and/or sensor in water or any other liquid.
Expose instrument to other equipment with high levels of RFI emission.
Place the instrument itself in a water vapour saturated environment.
Expose the LCD to excessive direct sunlight
Dispose of the sensor cell in fire, or place in an incinerator.
TELEDYNE ELECTRONIC TECHNOLOGIES Analytical Instruments
SECTION FIVE
ROUTINE MAINTENANCE
5.1 ROUTINE VISUAL INSPECTION
Always inspect the instrument prior to use for obvious damage or for parts or components missing. Make a point of checking the oxygen sensor cell for signs of electrolyte leakage, water condensation on the sensing surface. Also check the integrity of the cable and all cable connections.
5.2 CHANGING BATTERIES
From time to time the 4 x AA (penlight) dry cell batteries that power the instrument will require replacement. This requirement will be indicated via a "LO BAT" alarm message located in the top left hand corner of the LCD display. It is also possible, if the instrument has not been used for sometime, that the batteries will be depleted to the extent that the instrument will not power up when switched on. In both instances, the batteries must be replaced.
To change the batteries, follow the procedures set out in 1.2 above.
Initiate a calibration once the new batteries are installed prior to using the instrument.
5.3 CHANGING THE OXYGEN SENSOR CELL
From time-to-time the oxygen sensor cell, being a consumptive electro-chemical device, will require replacement. This requirement will be indicated via an inability to achieve calibration i.e the range provided by the Calibration Control Knob will not be sufficient to achieve the setting of 100% on the LCD display when exposing the sensor tip to 100% pure oxygen.
To change the oxygen sensor, follow the procedures set out in 1.3 above.
Initiate a calibration once the new sensor has been installed prior to using the instrument.
A Sensor Cell Replacement Log has been provided for the reference of the users, and is located at the back of this Instruction Manual. The details of the replacement sensor should be entered into this log at the time of changing.
SECTION SIX
T
ROUBLESHOOTING
| SYMPTOM | CURE / REMARK |
|---|---|
| No numeric display on the LCD when powered on | 1) Check battery drawer is properly located. 2) Check battery polarity . 3) Check batteries for replacement 4) External power : check polarity and voltage of supply; : check if functional on batteries. |
| Inability to achieve calibration | 1) Check calibration process (as described in section 1.4). 2) Check flow rate of calibrating gas (6 – 8 lpm) 3) Check sensor cell connection. 4) Check sensor cable connection. 5) Check quality of calibration gas. 6) Check that the calibration gas is dry (not humidified). 7) Wait for 1 or 2 minutes, then attempt a re-calibration. 8) Check sensor cell for damage or electrolyte leaks. 9) Return monitor to authorized service agent for repair. |
| Constant non-mutable alarm condition | 1) Check high and low alarm settings for possible “crossed” settings i.e. high threshold value is set lower than low threshold value. |
| Drift is displayed readings whilst calibrating or immediately thereafter | 1) Do not hold the sensor whilst calibrating, as the warmth from your hand may cause the ambient temperature compensation circuit to activate, resulting in unstable displayed values. 2) Try calibrating a known “good” sensor. 3) Repeat calibration. 4) Replace the sensor cell. |
TROUBLESHOOTING
SECTION SEVEN
TECHNICAL SPECIFICATIONS
TECHNICAL SPECIFICATIONS
SECTION EIGHT
E
FFECT OF PRESSURE
Virtually all gas sensors and analysers measure the partial pressure, not the percentage, of the gas that they sense. The only time that these instruments can accurately read percentages is when the total pressure does not vary over time between calibration and use. This is why it is important to calibrate the TED 191 Portable Oxygen Monitor at regular intervals.
It is recommended that the instrument be calibrated prior to each use or every 8 hours.
When the sensor is connected to a ventilator circuit, the alternating "breathing" pressure cycles generated by the ventilator will be sensed as an increase in the oxygen percentage (especially if the sensor is fast enough to sense the changes). In reality, the percentage of oxygen is not changing; it is the total pressure that is increasing, producing a corresponding increase in the partial pressure of oxygen. A hundred-centimeter water pressure pulse will produce a .11 atmosphere, or an 11% increase in the total and therefore partial pressure of oxygen. Assuming that the sensor is fast enough to track this pressure pulse, an unpressurised reading of 50% oxygen will increase to 55.3% if the sensor is subjected to a pressure cycle of 100cm H2O. The reading will rise proportionally less for smaller pressures.
SECTION NINE HUMIDITY
E
FFECT OF
Humidity does not directly affect the accuracy of the sensor's measurement. However, when a nebuliser or other device is used to increase moisture levels in gas mixtures, the moisture actually dilutes the mixture. This dilution effect decreases the oxygen concentration.
For example, if an 80% oxygen gas mixture is humidified to saturation at room temperature, the resulting gas mixture will contain only 77.5% oxygen. Your TED 191 Portable Oxygen Monitor accurately measures decreases in the oxygen concentration due to the dilution effects of moisture added to gas mixtures.
As with all oxygen sensors, excessive condensation on the sensing surface will block the diffusion of oxygen to the sensor, rendering it inoperative. It is recommended that the sensor be installed on the dry side of the breathing circuit at all times.
Water condensate on the exposed cable contacts at the rear of the sensor may affect the oxygen reading and should be removed by shaking out the condensed water and allowing the sensor to air dry.
SECTION TEN TEMPERATURE
E
FFECT OF
The Teledyne Electronic Technologies Analytical Intruments sensors adjust for ambient temperature changes in the range of 0 - 40ºC (32 - 106ºF). Since the thermistor that compensates for these changes is located in the rear of the sensor assembly, it is important that gas mixtures, flowing over the front of the sensor, be at room temperature. Reading errors may occur if hot gases from a heated humidifier are directed past a sensor teed into a breathing circuit.
A small thermal tracking error may be encountered in applications where the entire sensor assembly is placed in the gas mixture to be analysed (e.g incubators). No adjustments should be made during this period (about 1 to 2 hours), since this error will be eliminated when both the thermistor and sensing electrode have had sufficient time to come to thermal equilibrium.
SECTION ELEVEN READINGS
D
ISCREPANCY IN
The TED 191 is intended to be used as a secondary oxygen monitor, meaning that it is intended to verify the accuracy of and check the oxygen concentration leaving another oxygen mixing device or primary life support system (i.e a blender or anaesthesia machine). Whenever there is a significant difference in the oxygen readings between the primary and secondary monitors, the discrepancy must be resolved immediately. The information obtained from the TED 191 should never be used to make adjustments to the primary life-support system, but should only be used as an indication that the primary device may require service and/or calibration.
The "LO BAT" message immediately tells you if the batteries need replacing. The TED 191 should momentarily be removed from the application area and the batteries replaced. If the TED 191 can be calibrated, the unit can be assumed to be in good working order and capable of providing readings to specification. If after re-installing the TED 191, the discrepancy in oxygen readings persists, the problem is most likely elsewhere (i.e flow blockage, primary device error, etc.). Further investigation should be made until the discrepancy in readings is resolved.
If it is found that replacing the sensor and/or batteries does not give proper calibration results, the troubleshooting section of this manual should be consulted.
SECTION TWELVE SERVICE
R
EPAIR
In the event that your TED 191 Portable Oxygen Monitor requires service, the following steps will help to ensure that the repair request is processed promptly :
Contact your authorised Teledyne Electronic Technologies Analytical Instruments distributor or factory for return instructions. Do not ship your monitor without first obtaining authorisation.
Include a copy of the sales invoice or other proof of purchase date. Warranty service may be denied if no proof of purchase is included.
It is your responsibility to pay shipping charges to Teledyne Analytical Instruments. If the unit is under warranty, the serviced or replaced monitor will be returned to you postage prepaid.
Monitors and sensors damaged by accident or misuse are not covered by the warranty. In these cases, service charges will be based on time and materials.
S
ENSOR CELL
REPLACEMENT LOG
| DATE | WARRANTY? | SERIAL NUMBER |
|---|---|---|
| | N/A | |
TELEDYNE ELECTRONIC TECHNOLOGIES Analytical Instruments
TECHNICAL SERVICE LOG
| DATE | WARRANTY? | DETAILS |
|---|---|---|
GENERAL NOTES
LIST
SPARE PARTS
OPTIONAL ACCESSORIES
| PART NUMBER | DESCRIPTION |
|---|---|
| B34102 | Mounting Clamp |
| C53790 | Calibration Assembly |
| A284 | Universal adapter set for paediatric circuits (15mm) |
| A274 | Tee adapter, autoclaveable |
| A283 | Tee adapter, metal |
A minimum charge of US$20.00 is applicable to spare parts orders.
Important :
Orders for spare parts should include the model number, serial number, and range of the analyzer for which the parts are intended.
Orders should be sent to :
Teledyne Electronic Technologies Analytical Instruments 16830 Chestnut Street City of Industry, CA 91749-1580
Phone : (626) 934-1500
Fax :
(626) 961-2538
TWX : (910) 584-1887 TDYANLY COID
Web: www.teledyne-ai.com
or your local representative
S
PARE PARTS
|
Wellesley College
Wellesley College Digital Scholarship and Archive
Faculty Research and Scholarship
10-29-2015
Gamete donor anonymity and limits on numbers of offspring: the views of three stakeholders
Margaret K. Nelson
Rosanna Hertz email@example.com
Follow this and additional works at: http://repository.wellesley.edu/scholarship
Version: Publisher's version
Recommended Citation
Nelson, M. K., Hertz, R., & Kramer, W. (2015). Gamete donor anonymity and limits on numbers of offspring: the views of three stakeholders. Journal of Law and the Biosciences, 1–29 doi:10.1093/jlb/lsv045
This Article is brought to you for free and open access by Wellesley College Digital Scholarship and Archive. It has been accepted for inclusion in Faculty Research and Scholarship by an authorized administrator of Wellesley College Digital Scholarship and Archive. For more information, please contact firstname.lastname@example.org.
Gamete donor anonymity and limits on numbers of offspring: the views of three stakeholders
1,
∗
,
†
2,
‡
3
Margaret K. Nelson
, Rosanna Hertz and Wendy Kramer,
§
1. Department of Sociology, Middlebury College, Middlebury, VT 05753, USA
2. Departments of Sociology and Women's and Gender Studies, Wellesley College, Wellesley, MA 02481, USA 3. Donor Sibling Registry, Nederland, CO 80466, USA
Corresponding author. E-mail:
∗
email@example.com
ABSTRACT
This paper discusses the attitudes of three groups of stakeholders in the world of assisted reproduction gamete donors, parents who use donated gamete, and offspring conceived with donated gametes with respect to the two issues of donor anonymity and limits on the number of offspring a single donor can produce. The data are drawn from on-line surveys which were made available between May 12, 2104 and August 15, 2014 to gamete donors, donor-conceived offspring, and parents who used donated gametes to conceive. A total of 325 donors (176 egg donors; 149 sperm donors) responded to the survey as did 2134 parents and 419 offspring. The data show that offspring are more opposed to donor anonymity than are parents and donors. Among offspring opposition to anonymity grows as they age. On the other hand, parents are most in favor of limits on numbers of offspring produced by a single donor. Parents worry about health and accidental contact between people conceived from the same donor.
KEYWORDS: anonymity, assisted reproduction technology, gamete donors, limits
† Margaret K. Nelson is the A. Barton Hepburn Professor in the Department of Sociology and Anthropology at Middlebury College.
§ Wendy Kramer is the Director and founder of the Donor Sibling Registry.
‡ Rosanna Hertz is the Classes of 1919–50 Reunion Professor of Sociology and Women's and Gender Studies at Wellesley College.
C ⃝ The Author 2015. Published by Oxford University Press on behalf of Duke University School of Law, Harvard Law School, Oxford University Press, and Stanford Law School. This is an Open Access article distributed under the terms of the Creative Commons Attribution-NonCommercial-NoDerivs licence (http://creativecommons.org/licenses/by-nc-nd/4.0/), which permits non-commercial reproduction and distribution of the work, in any medium, provided the original work is not altered or transformed in any way, and that the work is properly cited. For commercial re-use, please contact firstname.lastname@example.org
INTRODUCTION
A variety of issues are at the heart of concerns about anonymity. The presumed right of donor-conceived individuals to know their origins is central to one side of these debates. 5 Cahn's 6 arguments about this issue stem from a broader concern with legal regulation of donor gametes. Indeed, she calls for a paradigmatic legal shift from an emphasis on medicine and technology to family law, which she believes, would better serve the interests of donor-conceived 'family's communities'. 7 She points out that regulation 'need not mandate conformity', such as requiring contacts between donorshared siblings, but that those who form these networks and develop intimate and emotional ties should have legal recognition. 8 In short, she argues that if these networks of individuals 'function' like a family, they should be given a normative standing similar to that accorded 'traditional' nuclear families. 9 As part of this system of
Attitudes toward donor conception have changed dramatically since the use of donor gametes became a common medical approach to infertility in the last quarter of the 20th century. 1 What was once usually kept a secret by heterosexual couples who conceived via sperm donation has become more public. Indeed, disclosure of donor conception to the children is now recommended by many psychologists and social workers who advise parents about these issues. 2 Moreover, as family diversity became more accepted,singlewomenandlesbianandgaycouplescouldmoreeasilyacquiregametes, whichtheyrequiredforreproduction. 3 Theseintendedparents,whoarenotnecessarily medically infertile, make it less likely that the reliance on donor gametes can be totally concealed either inside or outside the family. Now that disclosure has become more common, more people want to know about the donor and about any individuals to whom they might be related through a common donor. Two issues related to these questshavebecomewidelydebatedindiscussionsofgametedonations:therightofoffspring (and parents raising those offspring) to know the identity of the donor and the possibility of limiting the number of offspring who can be born from the gametes provided by any single donor. Ethicists, legal scholars, and social scientists all debate these issues. 4
1 Throughout the paper we use the terms 'donor' and 'donor gametes' although the individuals providing these gametes are usually paid to participate in a market transaction. The use of the language of 'donor' represents the idealized notion that the provision of gametes is an altruistic act of gift-giving.
3 Laura Mamo, Queering the Fertility Clinic, 34 J. MED. HUMANITY 227 (2013).
2 Joan Arehart-Treichel, Should Children Be Told They Are 'Test-Tube' Babies?, http://psychnews. psychiatryonline.org/doi/10.1176/pn.45.8.psychnews 45 8 013 (accessed Dec. 10, 2014); Morton B. Brown et al., Cumulative Birth Rates with Linked Assisted Reproductive Technology Cycles, 366 N. ENGL. J. MED. 2483 (2012).
4 Brigitte Clark, A Balancing Act? The Rights of Donor-Conceived Children to Know Their Biological Origins, 40 GA. J. INT. COMP. LAW 2 (2013).
6 Naomi Cahn, The New Kinship, 100 GEORGETOWN LAW J. 367 (2012).
5 Theresa Glennon, Legal Regulations of Family Creation Through Game Donation: Access, Identity and Parentage, in REGULATING REPRODUCTIVE DONATION CHAPTER 3 (Susan Golombok et al., eds., in press); ELIZABETH MARQUARDT, NORVAL D. GLENN & KAREN CLARK, MY DADDY'S NAME IS DONOR: A NEW STUDY OF YOUNG ADULTS CONCEIVED THROUGH SPERM DONATION (2010); Inmaculada De Melo-Mart´ın, The Ethics of Anonymous Gamete Donation: Is There a Right to Know One's Genetic Origins?, 44 HASTINGS CENT. REP. 28 (2014).
7 Id. at 413.
9 On this point, see also Martha Minow, Redefining Families: Who's In and Who's Out, in FAMILIES IN THE U.S.: KINSHIP AND DOMESTIC POLITICS 7 (Karen V. Hansen & Anita Ilta Garey eds., 1998).
8 Id. at 404.
3
regulation, Cahn argues that the law should clarify the legal relationship between donors, parents, and offspring and that donors must be 'assured that they have no parental rights or obligations'. 10 Most importantly, she argues for a mandatory identification system of all donors, at least going forward. Her analysis focuses only on the resulting legal rights and obligations, but not necessarily the moral or ethical ones that might exist in a society where all gamete providers are required to be known to their offspring.
In opposition to arguments about mandatory identification systems for sperm donors (such as that suggested by Cahn), Cohen 15 argues that a market system, where intending parents can select the type of donor they want, and donors can decide what kind of donor they want to be, 16 allows both stake holders more options, maximizes 'their own welfare and life plans' and furthers the interest of both parties. 17 Further, Cohen argues that if a central organizing principle of family law is children's welfare or best interests, a 'prohibition on sperm-donor anonymity cannot be justified simply by concerns of "harm" to children because the regulation would "protect" these particular children out of existence'. 18 In effect, Cohen argues that regulations would constrain the range of possibilities for reproduction by limiting who provides gametes and excluding intending parents who might not be willing to reproduce if donor identity were mandated. 19 Finally, Cohen argues that if donor-conceived children have the right to
Other opponents argue against anonymity on other grounds. Cahn and Kramer, for example, assert that it is quite simply not 'fair to deny children the knowledge of their genetic origins'. 11 Issues of identity are central to some of these discussions of the 'right to know one's origins, including the identity of their donor'. 12 Another key issue relevant to the broader issue of anonymity is that of health. Advocates for providing informationaboutthedonor'sidentityhavearguedthatmedicaltreatmentandotherhealthrelated concerns may depend on knowing one's genetic heritage. 13 Finally,manyworry about accidental incest between offspring who do not know that they are genetically related to each other, an issue raised as early as 1984 by the Warnock Committee in the UK. 14
10 Cahn, supra note 6, at 408.
12 Glennon, supra note 5.
11 Naomi Cahn & Wendy Kramer, Sperm Donors Should Not Be Anonymous, NEW YORK TIMES, http://www. nytimes.com/roomfordebate/2011/09/13/making-laws-about-making-babies/sperm-donors-should-notbe-anonymous (accessed Sept. 13, 2011).
13
14 Naomi Cahn, Accidental Incest: Drawing the Line—Or the Curtain?—For Reproductive Technology, 32 HARV. J. GEND. LAW 59 (2009), Jenni Millbank, Numerical Limits In Donor Conception Regimes: Genetic Links And
Id.
'Extended Family' In The Era Of Identity Disclosure, 22 MED. LAW REV. 325 (2014).
,
16 In addition to donors who are known by the recipients from conception, the two options offered are identityrelease when the offspring turn 18 and anonymous. For a description of identity-release, see Joanna E. Scheib, Maura Riordan & Susan Rubin, Choosing Identity-Release Sperm Donors: The Parents' Perspective 13–18 Years Later, 18 HUM. REPROD. 1115 (2003).
15 I. Glenn Cohen, Rethinking Sperm-Donor Anonymity: Of Changed Selves, Non-Identity, and One-Night Stands 100 GEORGETOWN LAW J. 431 (2012).
17 Cohen, supra note 15, at 434.
19 See also Gaia Bernstein, Regulating Reproductive Technologies: Timing, Uncertainty and Donor Anonymity, 90 BOSTON UNIV. LAW REV. 1189 (2010). Bernstein cautions that banning anonymous donors leads to increased inequalities and furthers commodification.
18 Id. at 436.
know their genetic origins, all children should be extended the same right rather than creating a 'reproductive-technology exceptionalism'. 20
Those who oppose a ban on anonymity make additional arguments as well. They express concern about the donors' rights to privacy, the donors' status as 'non-parents', and the human right of intended parents to form a family without excessive state intervention; they also express concern about whether there will be a sufficient number of donors if donors are required to register as is the case in the UK. 21 , 22 Further, they argue that the law adequately covers reproductive technology through federal and state provisions which focus on safety and other aspects of consumer protection. For example, the screening of donors for diseases such as HIV and genetic anomalies is routine practice. 23 In addition, fertility providers are required to report to the Centers for Disease Control, which publishes a yearly report about every clinic and their IVF success rates. 24 Furthermore, about two-thirds of states have adopted the Uniform Parentage Act (UPA), which establishes paternity and maternity of minor children born to married and unmarried couples. The 1973 version provided protection to sperm donors in cases where a mother sued them for child support by stating that any man that 'gives hisspermtoaphysicianforpurposesofartificiallyinseminatingsomeoneotherthanhis wife is not the legal father of the child borne out of that insemination'. 25 Some states have tailored the UPA to remove the requirement of physician involvement and to extend protection to women who are not married. Finally, Ertman 26 argues that case law generallyrecognizesfreedomofcontractforalternativeinseminationunlessthegenetic parentsconceivethroughcoitusorthegeneticfatherisbroughtintothepicturethrough some social practice. In short, those opposed to bans on anonymity argue from the position that suf cie n t regulations are in place to protect all three stakeholders.
20 Cohen, supra note 15, at 445.
22 To date the arguments for and against mandatory registries for donors rarely discuss these issues as they relate to egg- or embryo-conceived families and it is not clear whether these arguments can be extended to include these other gamete users or whether stakeholders feel the same way about egg and embryo donation as they do sperm donation. Virginia Bolton et al., A Comparative Study of Attitudes Towards Donor Insemination and Egg Donation in Recipients, Potential Donors and the Public, 12 J. PSYCHOSOM. OBSTET. GYNECOL. 217 (1991).
21 MARTHA M. ERTMAN, LOVE'S PROMISES: HOW FORMAL AND INFORMAL CONTRACTS SHAPE ALL KINDS OF FAMILIES (2015); Glennon, supra note 5; Peter Wardle, The Real Impact of the Removal of Donor Anonymity, 445 BIONEWS 1 (2008); Mathew J. Tomlinson et al., Sperm Donor Recruitment Within an NHS Fertility Service Since the Removal of Anonymity, 13 HUM. FERTIL. 159 (2010); Ken R. Daniels, Wendy Kramer & Maria V. Perez-y-Perez, Semen Donors Who Are Open to Contact with Their Offspring: Issues and Implications for Them and Their Families, 25 REPROD. BIOMED. ONLINE 670 (2012); Strategy and Information Directorate Human Fertilisation and Embryology Authority, NEW DONOR REGISTRATIONS, http://www.hfea.gov.uk/3411.html (accessed Dec. 17, 2014); Ken Daniels, Anonymity and Openness and the Recruitment of Gamete Donors. Part I: Semen Donors, 10 HUM. FERTIL. 151 (2007); Damien W. Riggs & Laura Russell, Characteristics of Men Willing to Act as Sperm Donors In the Context of Identity-Release Legislation, 26 HUM. REPROD. 266 (2011); Uschi Van den Broeck et al., A Systematic Review of Sperm Donors: Demographic Characteristics, Attitudes, Motives and Experiences of the Process of Sperm Donation, 19 HUM. REPROD. UPDATE 37 (2013); Jessica Elgot, UK Sperm Bank Has Just Nine Registered Donors, Boss Reveals, THE GUARDIAN, Aug. 31, 2015, http://www.theguardian.com/ science/2015/aug/31/britains-national-sperm-bank-wants-men-to-prove-their-manhood?CMP=share btn link (accessed Sept. 3, 2015).
23 Bebe J. Anderson, Lesbians, Gays, and People Living with HIV: Facing and Fighting Battiers to Assisted Reproduction, 15 CARDOZO J. LAW GEND. 455 (2009).
25 SpermDonorsandChildSupport,FREEADVICE, http://family-law.freeadvice.com/family-law/child support/ artificial insemination donor obligation.htm (accessed Sept. 4, 2015).
24 ERTMAN, supra note 21, at 39.
26 ERTMAN, supra note 21, at 48, 59.
5
The debate about anonymity has been resolved differently in different places. In some countries (Spain, France, and Denmark), the anonymity of donors is protected by law. 27 In other countries, laws have been enacted to allow children access to identifying information about gamete donors. Outside of North America, Sweden, Austria, the Australian state of Victoria, Switzerland, the Netherlands, Norway, the United Kingdom, New Zealand, Germany, Ireland, and Finland are countries that have mandates that donors be identifiable to their genetic offspring. 28 In North America, changes are minimal although donor anonymity has led to legal attempts to challenge anonymity. In 2011, the Supreme Court of British Columbia banned anonymous gamete donation; however, in 2012 the British Columbia decision was overturned and donor anonymity remains. 29 In the United States, some states have enacted new regulations about donor conception, and in 2011 Washington used its power to regulate anonymity in the gamete market although donors can still opt out of being identified. 30 The United States, however, does not have a uniform body of laws about this issue.
As is the case for anonymity, regulations vary by country. A number of countries including parts of Austria, Australia, Belgium, Canada, Denmark, France, Germany, Hong Kong, the Netherlands, New Zealand, Norway, Spain, Sweden, Switzerland, and the United Kingdom have limits that range from a low of 3 in Hong Kong to as many as 25intheNetherlands. 33 TheUSAisagainanoutlierherewithrecommendationsbythe
The debates about limits on the number of offspring who can be conceived or born from a single donor's gametes center around issues concerning the spread of genetic malformations, inadvertent incest, and the emotional distress for all parties (parents, donors, and offspring) of knowing that there are numerous people with shared genes (ie donor siblings or half siblings). This knowledge has become more common with the rise of informal registries that allow for contact among those individuals with the same donor. 31 Media attention to the issue of large numbers of offspring from a single donor suggests that the public at large is fascinated with (and even appalled by) the idea of a vast number of genetically related individuals. 32
27 Melo-Mart´ın, supra note 5.
29 Sperm Donor Identity Protected by B.C. Court Ruling, http://www.cbc.ca/news/canada/british-columbia/ sperm-donor-identity-protected-by-b-c-court-ruling-1.1132062 (accessed Sept. 18, 2015).
28 Millbank, supra note 14; Sperm Donation Laws by Country, WIKIPEDIA, THE FREE ENCYCLOPEDIA (2015), http://en.wikipedia.org/w/index.php?title=Sperm donation laws by country&oldid=654148051 (accessed Mar. 31, 2015).
30 Bonnie Rochman, Where Do (Some) Babies Come From? In Washington, a New Law Bans Anonymous Sperm and Egg Donors, TIME, http://healthland.time.com/2011/07/22/where-do-some-babies-come-fromin-washington-a-new-law-bans-anonymous-sperm-and-egg-donors/ (accessed Sept. 1, 2015).
note 14.
31
32 JacquelineMroz, OneSpermDonor,150SonsandDaughters,THE NEW YORK TIMES,Sept.5,2011, http://www. nytimes.com/2011/09/06/health/06donor.html (accessed Dec. 31, 2014); Tom Blackwell, Limit Pregnancies by Same Sperm Donor: Fertility Experts National Post (2011), http://news.nationalpost.com/2011/09/ 08/limit-pregnancies-by-same-sperm-donor-fertility-experts/ (accessed Jan. 2, 2015); NYU News: Sperm Donation Industry Needs Regulation 2013, http://www.nyunews.com/2013/12/04/rawley-7/ (accessed Jan. 1, 2015); Sperm Donor 'Super Dads'—Why It's Dangerous for One Donor to Sire Dozens, ABC NEWS BLOGS, 2011, http://abcnews.go.com/blogs/health/2011/09/06/sperm-donor-super-dads-why-its-dangerous-forone-donor-to-sire-dozens/ (accessed Jan. 2, 2015); Lindsey Porter, Why Limit Offspring Numbers in Sperm Donation? prezi.com (2013), https://prezi.com/qrkxf5klqbrb/why-limit-offspringnumbers-in-sperm-donation/ (accessed Jan. 2, 2015); Id.
Millbank, supra
33 Sperm Donation Laws by Country, supra note 28; Millbank, supra note 14.
AmericanSocietyofReproductiveMedicinebutnoenforcednationallimit.TheASRM recommends restricting conceptions by individual donors to 25 births per population of 800,000. 34
Researchondonor-conceived offspring hassuggestedthatthosewhocomefromheterosexual families are less comfortable altogether with the idea of donor conception than are those who come from lesbian families; 37 other research suggests that there is not a single idea about, or attitude toward, anonymity even for those from lesbian families. 38 Studies do suggest that offspring who find out late in life about their donor conception are particularly disturbed by that knowledge. 39 Recent research on offspring views them as key stakeholders who want to end anonymity. 40
The fertility industry is a big business 35 and it has a stake in both of these issues. Because of the profit they gain from providing gametes, the fertility industry is unlikely to push for regulations that go beyond those they already have in place. 36 In addition, three parties have an ongoing interest in the regulations concerning issues of gamete donations: donor-conceived offspring, parents who rely on donated gametes to conceive a child, and gamete donors themselves.
The research on parents who are raising children conceived with the use of donated gametes is even more diverse. VanFraussen et al. 41 found that the majority of lesbianparentswantedthedonortoremainanonymousandthattheyfeltthiswaymore strongly than did their children. In a study of 144 couples who received counseling about oocyte donation in Brussels, more than two-thirds preferred known donation, a response motivated by fears of the unknown origin of genetic material and the trust recipients had in the donor they had selected. 42 An interest in preserving sharp boundaries between the donors and the recipients was a primary motivation for wanting to maintain anonymity among those who preferred anonymity. One study has found that parents who have relied on sperm donations are more in favor of anonymity than are those who have relied on egg donations. 43
34 American Society for Reproductive Medicine and Society for Assisted Reproductive Technology, Birmingham, Alabama, Recommendations for Gamete and Embryo Donation: A Committee Opinion (2008), http://www.npg-asrm.org/uploadedFiles/ASRM Content/News and Publications/Practice Guidelines/ Guidelines and Minimum Standards/2008 Guidelines for gamete(1).pdf (accessed Mar. 13, 2015).
36 ASRM and SART Exert Pressure to Hinder Legislation in Several States, SURROGACY 101 (2012), http://infertilityanswers.typepad.com/surrogacy 101/2012/02/asrm-and-sart-exert-pressure-to-hinderlegislation-in-several-states.html (accessed Apr. 3, 2015).
35 DEBORAH L. SPAR, THE BABY BUSINESS: HOW MONEY, SCIENCE, AND POLITICS DRIVE THE COMMERCE OF CONCEPTION (2006).
37 Diane R. Beeson, Patricia K. Jennings & Wendy Kramer, Offspring Searching for Their Sperm Donors: How Family Type Shapes the Process, 26 HUM. REPROD. 2415 (2011).
39 Eric Blyth, Discovering the 'Facts of Life' Following Anonymous Donor Insemination , 26 I . J. L P F
38 KatrienVanfraussen,IngridPonjaert-Kristoffersen&AnneBrewaeys, WhatDoesitMeanforYoungsterstoGrow Up In a Lesbian Family Created by Means of Donor Insemination?, 20 J. REPROD. INFANT PSYCHOL. 237 (2002).
40 Anna Kalaitzidis & Paul Jewell, Got to Get You into My Life: Offspring of Donor Insemination Challenging Confidentiality Rules, 12 AUST. REV. PUBLIC AFF. 21 (2014).
NT AW OLICY AM . 143 (2012); Lucy Blake et al., 'I Was Quite Amazed': Donor Conception and Parent-Child Relationships from the Child's Perspective , 28 C HILD . S OC . 425 (2013).
41 Vanfraussen, Ponjaert-Kristoffersen & Brewaeys, supra note 38.
43 Bolton et al., supra note 22.
42 Patricia Baetens et al., Counselling-Couples-and-Donors-for-Oocyte-Donation-the-Decision-to-Use-Either-Knownor-Anonymous-Oocytes, 15 HUM. REPROD. 476 (2000).
7
Studies have also explored the attitudes of gamete donors. One study found that, although sperm donors generally support sharing non-identifying information, the majority of sperm donors would resist having their identity known to the recipient and, eventually, the child. 44 A study in Australia found that donors who were under 26 or over 46 years of age and who were either single or living in a same-sex relationship were most likely to be willing to be identified to their children. 45 With respect to the issue of limits, a study in Sweden found that half of both oocyte and sperm donors thought the number of offspring should be limited to no more than 10. 46 The study also found that oocyte donors were four times more likely than were sperm donors to support an even lower upper limit of five offspring.
Inspiteoftheseindicationsofattitudes,noresearchhasaskedthesamequestions(at essentially the same time) of all three stakeholders in order to provide a precise comparison of their orientations toward the issue of anonymity and the issue of limits on number of offspring who can be born from a single donor. This paper begins this discussion by comparing answers to questions about anonymity and limits from offspring, parents, and donors. The paper does not seek to resolve legal, moral, or ethical questions that emerge from a consideration of these issues. Rather, it seeks to understand whether the stakeholders are likely to argue for or against regulation on either of the issues; it also seeks to understand whether other actors who might argue for or against regulation on either of the issues can count on the support of any of the three sets of stakeholders.
METHODS
Data Collection
It is impossible to calculate a response rate for these surveys because they were made available at so many different locations. In any case, web surveys generally have
Invitations to answer an online survey were sent to parents, offspring, and donors, via email to all members of the Donor Sibling Registry (DSR, an online registry which facilitates voluntary contact between participants in donor conception), and to a variety of other organizations including Single Mothers by Choice and Circle Surrogacy. Invitations to participate in the survey were also posted on Craigslist in four large urban areas as well as on several other websites including weareeggdonors.com, ParentsviaEgg donation.com, and Resolve.com. Several Facebook groups (facebook.com/ colage/ pflag, and /ourfamilycoalition) asked people to participate. Details of the study were available on the DSR website on an open-access Webpage and on Single Mothers by Choice Facebook page. The second author also posted on several alumni Facebook pages and a post about the study went out as a tweet to one of these alumni groups. The surveys were online from May 12, 2014 to August 15, 2014. Ethical approval for this study was obtained from the Institutional Review Boards at Middlebury College and Wellesley College. Offspring aged 13 and over were approved for participation.
44 Susan Klock, A Survey of Sperm Donors' Attitudes: A Much-Needed Perspective, 101 FERTIL. STERIL. 43 (2014).
46 GunillaSydsj¨oetal., OocyteandSpermDonors'OpinionsontheAcceptableNumberofOffspring,93ACTA OBSTET GYNECOL. SCAND. 634 (2014).
.
45 Riggs & Russell, supra note 21.
relatively low response rates. 47 Concerns about response rates and the non-random nature of this study have to be weighed against the advantages of trying to make contact with hard to reach populations. 48 One group, gamete donors are an extremely hard to reach population and have never been studied with a random sample. Random samples of parents and offspring are also unlikely although there is one known study of attitudes toward donor conception among offspring that drew on a representative sample. 49 In the last section of this paper, we discuss the limitations of using a convenience sample. Nonetheless, these data present an important addition to the scant number of existing studies that focus on stakeholders' views on the regulation of donor anonymity and desirable limits on the number of offspring born from a single donor.
Participants
A total of 325 donors (176 egg donors; 149 sperm donors) responded to the survey, as did 2134 parents raising children conceived with donor gametes and 419 offspring conceived with donor gametes. Demographic information about these respondents is provided in Table 1. The data show that the majority of both parents and offspring responding to the survey are women and the majority of all three are white/Caucasian. Donors and offspring are more likely to be heterosexual than are the parents; parents and donors are more likely to be above age 30. Donors are the group most likely to be currently living with a partner. The majority of respondents in each of the three groups took the survey through the DSR invitation. We have no way of knowing how many of them also belong to the other organizations that provided access to the survey.
Measures
All three groups were asked a series of questions, many of which were the same. This studyfocusesontheanswertothetwothataskedrespondentshowstronglytheyagreed with the statement that 'donors should not be anonymous' 50 and that 'donors should be limited in the number of offspring that can be produced from their donations'. In the survey, some statements were phrased affirmatively and others negatively to prevent a response pattern from occurring. Both of these questions were scored on a five point scale: 1 = 'strongly agree'; 2 = 'agree'; 3 = 'neutral'; 4 = 'disagree'; 5 = 'strongly disagree'. On Likert scales like this, the middle position is assumed to represent a position of neither agreeing nor disagreeing (in this case neutrality) rather than confusion about attitudes. 51
47 Martha C. Monroe & Damien C. Adams, Increasing Response Rates to Web-Based Surveys The Journal of Extension (JOE) (2012), http://www.joe.org/joe/2012december/tt7.php (accessed Mar. 4, 2015); Mick Couper, Web Surveys: A Review of Issues and Approaches, 64 PUBLIC OPIN. Q. 464 (2000); Kevin B. Wright, Researching Internet-Based Populations: Advantages and Disadvantages of Online Survey Research, Online Questionnaire Authoring Software Packages, and Web Survey Services, 10 J. COMPUTER-MEDIAT. COMMUN. (2005).
49 MARQUARDT, GLENN & CLARK, supra note 5.
48 Tabitha Freeman et al., Gamete Donation: Parents' Experiences of Searching for Their Child's Donor Siblings and Donor, 24 HUM. REPROD. 505 (2009).
50 The open-ended comments added by respondents indicate that they understood the meaning and import of this question in spite of its being phrased in the negative.
51 MARQUARDT, GLENN & CLARK, supra note 5.
9
Table 1. Respondent characteristics.
f
| 2% |
|---|
| 100% |
Most of each of the three surveys consisted of closed-answer responses. Respondents were given the opportunity to answer some questions freely and some questions left room for respondents to add information. In what follows, when quoting from respondents, we have corrected spelling and grammar when it is clearly typos. Otherwise, the responses are as written on the surveys. With the help of research assistants, the first two authors developed codes for open-ended responses. The written comments illuminate the quantitative data and offer further insight. In this regard, survey data are often augmented with contextual data, such as qualitative comments, in order to provide additional information. 52
52 JOHN BREWER & ALAN HUNTER, FOUNDATIONS OF MULTIMETHOD RESEARCH (2006); Hannah Bruckner, Surveys, in THE OXFORD HANDBOOK OF ANALYTICAL SOCIOLOGY (Peter Hedstrom & Peter Bearman eds., 2009)
Table 2. At itudes toward anonymit y.
t
∗Chi-square test significant at 0.00 level.
∗∗Difference of means significant at 0.00 level.
Statistical Analyses
We rely on both analyses of categorical data with chi-square tests of significance and analysesofordinaldatawithdifferenceofmeans(ANOVA; t-tests)testsofsignificance; weusethestandardofaprobabilityof0.05orless.AlldatawereanalysedusingtheSPSS Statistics (IBM SPSS, Inc. Chicago, IL. USA version 22.0).
RESULTS
Attitudes Toward Anonymity
The respondents to our survey tend toward neutrality on the issue of anonymity with a slight bias against anonymity (mean of 2.8 when 3 would be neutrality) (Table 2). Of course, it is impossible to know with these data precisely what kinds of interactions and relationships respondents believed would be possible and desirable if there were no anonymity. 53 Nevertheless, even without that precision, our data show that opinions differ significantly among the three stakeholders. Offspring tend most strongly to agree with the statement that donors should not be anonymous (mean 2.5); almost a third of the offspring 'strongly agree' that donors should not be anonymous (almost twice as many as among donors and almost three times as many as among parents). Donors next most strongly agree, verging slightly toward 'agree' from 'neutral' (mean 2.8). Parents are close to donors in their attitudes and closest to 'neutral' (mean 2.9). The difference among the three groups is statistically significant at the 0.00 level both for the categorical response and for the comparison of means for the ordinal data. We look at these three groups of stakeholders in some detail below.
53 For an exploration of the kinds of contact respondents in each group prefer, see Margaret K. Nelson, Rosanna Hertz & Wendy Kramer, Orientations Toward Contact: Offspring, Parents and Sperm Donors (unpublished paper).
11
Donor Attitudes
There is an association between age of donors and attitudes toward anonymity: those who are younger are more neutral and even tend toward favoring anonymity (mean of 3.1 among those under 30) in comparison with those in their thirties (mean of 2.8) or 40 or older (mean of 2.7). Younger donors are more likely to have been given a choice about what kind of donor to be (51 per cent of those below age 30, 58 per cent of those in their twenties and 74 per cent of those 40 or older say that they were not given a choice). For some of the older respondents, the absence of choice might be influencing their responses. However, these are also people who have had a longer interim since donating; there might well be age-related yearning for knowledge about offspring and subsequent turning against anonymity.
Almost half of all donors are neutral about the issue of anonymity, although the mean tilts toward agreeing that anonymity is a problem and that donors should not be anonymous (Table 2). As shown in Table 3A, among donors, there is no statistically significant relationships between gender and attitudes. On average, sperm andeggdonorsessentiallyagreeonthisissue.Moreover,donorswhowereknownfrom birth, anonymous donors, and donors who agreed to have their identity released when their offspring turned 18 do not give significantly different answers to this question. Thereisalsonostatisticallysignificantdifferencebetweenthoserespondentswhocame to the survey through the DSR and those who did not or among different categories of sexual orientation.
Further understandings of attitudes toward anonymity emerge from a number of questions in the survey. Respondents were asked to comment on how they made the choice they did about what kind of donor to be; other questions asked donors to comment about whether or not they saw themselves as a threat to parents of their offspring and whether they ever felt displaced by the parents of their offspring; and donors were alsoofferedtheopportunity,aswereallrespondents,tomakeageneralstatementabout their experience at the end of the questionnaire.
Quite a few donors indicated adamantly that they did not have a choice about what kind of donor to be and they resented that fact: 'I had no choice'; 'that was the only choice'. In addition, some indicated clearly that they felt coerced (by the banks or the parents) into being anonymous and that on reflection they would now have made a different choice:
I didn't have a choice–anonymous was the only option. At the time that is what I wanted, but now I wish I had the option to know the recipient. (Sperm donor)
I was sort of bullied into it, because the parents who chose me wanted [me] to be anonymous. (Egg donor)
One egg donor, who opposed anonymity and suggested that anonymity was imposed on donors, noted that she thought it was important to express one's own point of view and not be anonymous: 'You DO have a choice about the type of donation. If you don't want to be anonymous, STAND YOUR GROUND because there are plenty of agencies that offer open donation options'. Yet another egg donor indicated why she opposed anonymity: 'It is worth knowing what happens to your eggs. I'm glad I didn't do it anonymously. It's more satisfying than I ever expected'. A sperm donor
made much the same point about the possibility of knowing how one's gametes were used: 'I had no choice in the anonymity, but would love the chance to meet my genetic offspring one day. A child is a child'.
Almost half of all donors are neutral on this issue. Neutrality is framed by the beliefs that anonymity serves a purpose until a child turns 18 and that anonymity could be forsaken after that age. One sperm donor explicitly expressed these sentiments:
Myfeelingwasandisstillthesame:Inchildhoodandadolescence,theemotionalmaturity hasnotyetdevelopedenoughtofullyunderstandthecomplexnatureoftheirrelationship to their donor-dad. These children have families and that should be the focus while they arechildren.... ThespecificreasonIthinkover18isagoodcall,isthat[it]allowsforsome maturity, on the part of the kids, the parents, and the donor toprocess and understand the relationship with some perspective.
As the range of responses makes clear, some donors wanted to preserve anonymity (24 per cent). Some of these donors indicated that they saw anonymity as protecting intended parents. As one egg donor said: 'I was an anonymous donor, so I do not feel that the female parents will be threatened by me'. Another egg donor suggested that her attitudes about anonymity grew stronger the more she read from people opposed to anonymity: 'I used to not think about it much. As I got older, and started reading discussion from people who wanted to do away with donor anonymity, I became more passionate about protecting the ability to have anonymous donors'. Still others indicated that they did not want to complicate a child's understanding of who were their parents: 'I respect the Intended Parents and do not want to appear intrusive upon their exclusive rights of parenthood. I wanted the child's parents to always been seen as the child's parents'.
Several sperm donors, like the egg donors just quoted, commented that anonymity protected parents who might feel threatened by a gamete donor: 'The general thinking was that both parents would feel threatened by the donor's role, which is part of the reason why donation was anonymous'; 'I thought I would cause conflict [if I were known]'; '[I was anonymous] to protect myself and the Couple and their child(ren)'. One anonymous sperm donor was particularly respectful of what he believed were the cultural biases in the community to which he would be donating:
Since I am Filipino, a lot of the parents who chose to work with me come from a cultural background where infertility is frowned upon. I respected their privacy and I was open to both being an anonymous or open donor. Almost all of them wanted me to be an anonymous donor.
Inaddition,gametedonorsofbothkindsalso,quitesimply,wantedtoprotectthemselves:
I did not know where I would be in twenty years, and did not consider it fair to me that this would come back to haunt me. For example, what if I were in politics?
I wanted to help make happy and healthy families, but I did not want any ties to the family or responsibility.
Parent Attitudes
As shown in Table 3B, parents who have relied on a sperm donor alone and not an egg donor, parents who have relied on an egg donor alone but not a sperm donor, and parents who have relied on embryos do not differ significantly on this issue. Parents with the oldest children are most likely to agree that anonymity should not be allowed: these are the parents least likely to have had a choice about anonymity; they are also the parents whose children might be most interested in finding the donor since they have passed through adolescence and are moving out to start their own lives. Parents do not differonthisissuedependingonwhetherornottheyhavehadcontactwiththeirchild's donor siblings (or the parents of their child's donor siblings). Those who came to the survey through the DSR are not significantly more inclined toward strong agreement than are those who came through some other means. This finding is surprising since the parents who have used the services of the DSR are the parents who are most interested in donor relatives. Among parents (where there are very few male respondents) there appears to be no significant influence of gender.
On the issue of anonymity, parents have a similar distribution of attitudes to donors with 45 per cent tending toward neutrality and the remainder split between those who favor and those opposed to anonymity (Table 2). In comparison with their children and even in comparison with donors, parents tend somewhat more toward an interest in preserving the right of donors to remain anonymous should they so choose. In fact, twenty-five per cent of parents said that an 'anonymous donor' had been their first choice for type of donor. Many parents express gratitude toward (rather than curiosity about) the donor: '[I would want others to know] how rich and fulfilling our lives are thanks to the generous gift we received through sperm donation'; 'My child is such a gift and I am so grateful for the donor's contribution and for the opportunity'; 'It is a wonderful gift, the gift of life and I will be forever grateful for that gift'.
Although gender appears to have no statistically significant relationship to attitudes toward anonymity among parents, sexual orientation does have a statistically significant relationshiptoattitudesamonggameterecipients.Straightparentsagreemorestrongly that anonymity should not be allowed than do those parents who are lesbian, gay, or bisexual. Moreover, those parents who are currently or formerly partnered with someone of the other sex believe more strongly that donors should not be anonymous than do those who are currently or formerly partnered with someone of the same sex. Those who are single, never married fall somewhere between these two groups. This relationshipbetweenlivingarrangementandattitudetowardanonymityisnotsustainedamong those who have relied on egg donors or donated embryos. It is sustained among those who have relied on sperm donors. The mean score for 'single, never married' is 2.8; it is 3.1 for 'ever partnered with member of same sex'; and it is 2.7 for 'ever partnered with member of other sex' (p = 0.02). It thus appears that in situations where the absenceofanonymityismostlikelytochallengedirectlyamalenon-biologicalparentwith the threat of displacement by a donor of the same sex, the parents express most agreement with a statement about anonymity. In those families that have relied on sperm donation and there is a social father (because the women are partnered to a man), the mothers appear to think that a distinction should be made between a social dad and a biological father. Lesbians (whether currently single or partnered) who have relied on spermdonorsdonothavesocialfathersintheirchildren'slives(althoughmenmayplay
important roles in those children's lives); these women might be less concerned about who the biological father might be. Those women who are partnered to a woman may also be unwilling to threaten the security of the non-genetic mother with knowledge of, or access to, their child's genetic father.
Offspring Attitudes
Some of the offspring who are opposed to anonymity suggest that they believe that having an anonymous donor is one piece of an entire 'wrong' done to them. That is, among the open-ended responses a number of offspring express indignation about a range of issues connected with their donor conception. Some had been denied information about their conception earlier in their lives and they are angry about that. Some believethatanonymityitselfiswrong.Andothersbelievethatrelianceondonorsmakes a child the result of a legal arrangement rather than the result of some other kind of social interaction. A woman in her thirties reflected all of these attitudes:
Among the three groups, offspring are the respondents most likely to tend toward opposition to anonymity. However, as shown in Table 2, the responses of offspring are also more varied than are responses within the other two groups: the standard deviation among offspring stands at 1.29 in comparison with 1.12 for donors and 1.18 for parents.
I had very conflictual feelings [about being donor conceived] during my teenage time and early adulthood. I didn't talk about it because I was afraid of hurting my parents and losing approval from my family and society. It was more or less a secret I was ashamed of. Later, I allowed myself to have my own opinion about it, even if it was different from my parents'. Now, I need to tell the world about how I disagree with a lot of aspects of donor conception. I think secrecy, anonymity and objectification of the child are really the worst aspects of it. I feel deeply betrayed to have been lied to, and I am mad for being the object of a contract.
Similarly, another woman in the same age range wrote, 'I am against anonymous donation of any kind'.
In contrast to these responses, the wide variability indicates that some offspring believe that anonymity is just fine, as does this 23-year-old woman:
[My feelings] haven't changed much. I am and have always been in favor of anonymous donation, I feel happy in the family configuration I have and do not want to meet or know my donor. I understand that this is different for a number of other donor conceived kids, whichhasshownmehowcomplexthistopicreallyis.JustbecauseIdonothaveaproblem with having an anonymous donor, does not mean others don't either. It's a hard decision to make, but I believe that it matters most how you are raised [whether or not] you feel unhappy about not knowing the donor, though this of course could be wrong. My own feelings haven't changed, but I do now understand more of the topic's complexity. As for the donor himself, I am grateful he decided one day to donate, but that is all the thought I really give him.
The question of what shapes offspring attitudes is an interesting one. As shown in Table 3C, among offspring, gender is modestly relevant to the issue of anonymity: women believe more strongly that anonymity is wrong than do men (who tend toward
Gamete donor anonymity and limits on numbers of offspring neutrality). One reason, suggested by some respondents, might be that women are more likely to view themselves as having a critical role in the reproduction of the next generation and they want to know about the genes that will be passed on to their children. This was the case for one woman in her thirties:
Everyone talks about donor privacy and rights, but that usually leaves the offspring with the short end of the deal—we should have equal rights to know as much as the donor has rights to anonymity. I don't think I would have wanted to seek out my donor if I had not had my own children. Having children makes me want to find out even more. Also, I believe that many of the donors that participate at a young age, cannot comprehend the future implications of having offspring. Again, offspring should have rights to information about their genetics. It's as if no one anticipated that these impersonal sperm would ever be living breathing human beings walking around that want to know who they are and where they come from (a basic human right if you ask me).
Among offspring, age is also related to this issue. Older respondents are more likely than younger ones to agree with the statement that donors should not be anonymous. Clearly, for some respondents, a concern about roots is something that has grown with time, as indicated by a 27-year-old man:
I have definitely become more actively involved in the discourse as I have become older. WhenIwasateenagermyparentsdidnottalktomeabouttheseissuesandIneverrealized that I had been deprived of what I now consider to be fundamental rights. I believe that anonymous donations should be banned and that strict government regulations should be put in place to protect the rights of offspring.
A 59-year-old woman who had experienced anonymity as a parent and as a child wrote that she believed anonymity was wrong:
I started out as a donor parent when I became pregnant at 39. At 53, I found out that I'm also a donor child. I think anonymity should be banned. I'm glad that I did sleuthing so that I know who my children's donor is and they can choose to contact him when they reach 18.
Those donor-conceived offspring who were born into a heterosexual couple hold strongerattitudesaboutthisissuethanthosewhowerebornundersomeotherarrangement: they are more likely to agree that donors should not be anonymous (2.3 versus 2.8). For many offspring born into a heterosexual, two-parent family, there is a sense of betrayal:
Always tell the children who they are, where they come from and how they came to be. Learning about it when you're older feels like a massive betrayal. I figured it out myself as a teenager but wish I had been told from the beginning.
Anonymity should be abolished. It is very likely that a "Donor-Conceived" adult will harbor resentment of the parent who used an anonymous "donor." There is no way to keep their conception story from them.... It can be a traumatic experience finding this news out when you are an adult.
Singlemothersandparentsfromgayandlesbiancouplesraisedifferentissuesforoffspring. Respondents suggest that their concerns are more about the family form they are born into than the issue of anonymity, with more respondents from non-coupled and gay and lesbian families emphasizing that families can take all different forms and that love is not based on genes. This quote from a woman born to a lesbian couple illustrates these points:
A family with children conceived with donated sperm is just as viable, loving, and connected as any other family. The most healthy conception of a donor for the children is for the donor to be very unimportant in their conception of their family. Discourage your friends from asking them, 'Don't you want to meet your father?' I had no desire to meet my donor, and it was distressing when people insisted about this.
Finally,wenotethatthoseoffspringwhohave not hadcontactwithdonorsiblingsare more opposed to anonymity than those who have had contact with donor siblings (2.2 versus 2.7). Having contact with donor siblings can be a stand-in for the donor and the donor becomes less important when donor siblings are located. 54 However, whether or not one came to the survey through the DSR (which might affect the likelihood that they have had contact with donor-related relatives) does not affect attitudes.
Limiting Numbers of Offspring
A question about limiting the number of offspring that could be produced by donors was agreed to most strongly by the parents followed by offspring and then by donors (Table 4). Whereas offspring were most likely to strongly agree that anonymity should not be allowed, parents are the stakeholders who are most likely to strongly agree children should be unique and should not have a lot of donor siblings.
Donor Attitudes
Among donors, gender is not significantly related to attitudes about limits: sperm and egg donors have similar attitudes (Table 3A). Of course because men can produce so many more offspring than can women, the foundation for these attitudes is different amongmenthanamongwomenwhohavemorenaturallimits.Onespermdonorwrote that he thought that he could have as many as 50 offspring (and was comfortable with that) as long as others were not producing children with genetic problems:
AtthetimeIdonatedIwastoldthattherewasonlyaboutonelivebirthforeachthirtyIVF procedures. Maybe that was true at the time but I'm not even sure about that. I thought that I could have at most about fifty offspring but now after talking to mothers on the DSR [I]suspectthatnumbercouldbemuchhigher.Idon'tthinkthatisinherentlyahugeproblemasthenumbersaresmallenoughandthedistributiongreatenoughthatintermarriage would be unlikely but it could be an issue if a donor with a genetic condition somehow slipped through the genetic screening.
54 Rosanna Hertz, Margaret K. Nelson & Wendy Kramer, Donor Conceived Offspring Conceive of the Donor: The Relevance of Age Awareness, and Family Form, 86 SOC. SCI. MED. 52 (2013), Margaret K. Nelson, Rosanna Hertz & Wendy Kramer, Making Sense of Donors and Donor Siblings: A Comparison of the Perceptions of DonorConceived Offspring in Lesbian-Parent and Heterosexual-Parent Families, 7 in VISIONS OF THE 21ST CENTURY FAMILY: TRANSFORMING STRUCTURES AND IDENTITIES 1, 42 (Patricia Neff Claster & Sampson Lee Blair eds., 2013).
22 r Gamete donor anonymity and limits on numbers of offspring
Table 4. At itudes toward limits on num b er s o f o f s p ring.
t
f
∗Chi-square test significant at 0.000 level.
∗∗Difference of means significant at 0.00 level.
An egg donor suggested that she was 'alarmed' by the suggestion that there might be limits on how many offspring she could produce:
Ihadapositiveexperienceoverall[donatingeggs].Ithinkifsomeoneisledtodothat,they should be encouraged to. I also think the questions [in the survey] –concerning limits to donations(andlawsaboutcontactandcommunication)–arealarming.Thestandardsfor donation are already far higher than for having children without donor services. Parents don't go through any fraction of the screening process that I went through, to become pregnant.... The process was highly invasive, and I think it's only fair that a donor should beabletohavethesamechoicesaboutinvolvement(orthenumberofdonationstomake) that others have, who decide to create children.... This is not something in need of more regulation.
Donors who came to the survey through the DSR have essentially the same attitude toward limits as those who came through some other route. In addition, neither age nor sexual orientation is related significantly to these attitudes. However, type of donor is significant here. Those who have agreed to have their identity released when an offspring turns 18 and anonymous donors have similar attitudes; both of these are subjecttotheregulationsinplaceattheeggorspermbankandbothofthesearemaking money from donating. However, donors who are known to recipients from conception aremoreneutral:theyhavecontroloverhowmanychildrenwillbeproducedfromtheir donations and the issue might not be of relevance to them at all.
Parent Attitudes
Parents are the group who express the greatest agreement with the statement about limiting numbers of offspring from a single donor and a full 54 per cent 'agree strongly' that donors should be limited in the number of offspring they have. Moreover, there
23
is relatively little variability on this matter (standard deviation = 0.97) although many independent variables other than survey site shape this attitude (Table 3B). Parents address this issue quite frequently in their final comments.
Two issues emerge among those who have relied on sperm donors. One is that parents believe that they had been lied to by the sperm banks about how many offspring there might be from a single donor: 'Sperm banks are not truthful when they say they limit sperm donors to ten children per donor'. One respondent, a woman aged 40, who also felt she had been lied to, indicated that she did not like the fact that there were so many donor offspring who might run into each other by accident:
The number of donor conceptions to our donor far exceeds what we were told was the limit. We were told they had to stop at 10 families. There are more than 10 families that we know of. Many of these families live close to one another and have crossed paths in their lives.
Forsomeparents,thefocuswasonthehealthconsequencesoftherebeinganumber ofdonorsiblings.Onerespondentpointedoutthatthelackofregulationonlimitscould have serious health consequences:
Be aware of the lack of laws surrounding the way cryogenics banks operate. [The second bank I used allowed] for 2 to 2.5 dozen half-siblings. I shared information about medical conditions(O-ABsyndrome)thatlandedmynewbornsonintheNICUinthehopesthat they would share it with other prospective parents.
However, there are, as suggested, some parents who are not bothered by a plethora of donor siblings:
The number of offspring of individual donors should not be limited by governmental regulation.Itisbettertohavelargenumbersofhealthyoffspringthantohaveregulationsthat will increase the price of sperm. We know my daughter has 18 half siblings if we include thedonor'schildrenbymarriage.Wefullyexpect,however,thatshehasmanymoredonor conceived siblings because to date there are no heterosexual couples that have reported using our donor's sperm.
The small number of men responding to the survey makes it difficult to explore gender here; the available evidence suggests that mothers are more likely to believe that there should be limits than are fathers. Parents who have relied on a sperm donor agree most strongly with the idea of limits followed by those who have relied on an embryo involving both sperm and egg donations. Those who express the least agreement with the idea of limits are those who have only used an egg donation. Of course, for parents who have used an egg donor, limits are a less pressing issue (because there are built in limits via egg donation itself).
The age of one's oldest child is related significantly to these attitudes and those with theyoungestchildrenaremostadamantaboutthisissue.Thesearealsotheparentswho are most likely to be newly confronting this issue as they find out just how many donor siblings there are. In addition, those who have had contact with donor siblings are more insistent about limits than those who have not (yet) had any such contact.
Sexual orientation is also related to attitudes toward limits among those who have relied on a sperm donor. Heterosexual respondents are more likely to agree that there should be limits than those who do not identify as straight. Living arrangements are related to attitudes toward limits as well with those who are single, never married agreeing more strongly that there should be limits in contrast with both those with same sex partners and those with partners of the other sex.
Offspring Attitudes
Womenagreenomorestronglythatthereshouldbelimitsthandomen(Table 3C). Moreover, attitudes toward limits do not depend on whether or not offspring have met donor siblings, which is counter to what was found about the issue of anonymity and countertothefindingamongparents.Bothageandfamilystructure,however,doshape attitudes among offspring. Those who are older agree more often that there should be limits than do those who are younger. However, it is clear that like older offspring, younger offspring can also feel strongly about limits. A woman who was 19 wrote,
Offspringtendtoagreewiththenotionthatthereshouldbelimits(albeitnotasstrongly as parents) but there is a fair degree of variability in their attitudes with a fifth expressing neutrality and almost a fifth disagreeing with this statement (standard deviation = 1.27). Interestingly, whereas the issue of anonymity produced strong attitudes among some offspring and was an item of discussion raised at the end of the survey with some frequency, these respondents did not raise the issue of limits.
When I was younger I thought it was weird especially the thought of having so many half siblings. I still think that the amount of kids there can be for one donor is TOO MUCH. It's overwhelming for the donor kids and the donor himself, and there should be a strict limit like 10 or less. I'm more comfortable with the whole situation now that I know who everyone is, except my donor is still trying to be anonymous.
There is a very slight increase in commitment toward limits for offspring who come from heterosexual families relative to those who come from some other family form, but this difference is not statistically significant. Given the strong association of age and family type at the time of birth (75 per cent of those in their teens were not born into a heterosexual, two-parent family, in contrast with 49 per cent of those in their twenties and 13 per cent of those over 30), it would not be surprising to find that the strongest agreement with the statement that there should be limits would be found among those who are older who were born into heterosexual families. These are the offspring least likely to have known from birth about their donor conception. Their attitudes about limits might be related to their initial experience with donor conception. Professionals in the world of assisted reproduction used to advise parents to ignore genetic ties and encouraged them to look and behave structurally 'as if' the children were their biological offspring. 55 The offspring of parents who had received this advice might well want to continue to think that a 'normal' family size would be an appropriate limit for the number of donor-conceived offspring from a single donor.
DISCUSSION
Limitations of the Study
Offspring who join the DSR also might be motivated by an interest in the donor but they might be equally interested in knowing their donor siblings. We do not know how searching for connection differentiates between these respondents and others in the broader population who have not sought out the DSR services, other Internet websites, or their own bank's registry. We do know that for neither of the two variables under consideration did respondents who took the survey through the invitation from the DSR differ in their attitudes from those who came to the survey through some other route. Most striking is that we would have expected respondents who took the survey through the DSR link to express the most objections to donor anonymity since these are people who have sought the identity of donor-conceived relatives. However, they donot.Equallyinterestingisthatthetwogroupsdonotdifferonlimitseventhoughthe respondents who came through the DSR are most likely to know about the existence of donor-conceived relatives and are seeking donor connections. As was the case for parents, the majority (78 per cent) of the respondents were female; we do know that gender is not significantly related to attitudes toward limits although it is related to attitudes toward anonymity (with more somewhat more women than men agreeing that anonymity was a problem).
The major limitation to this study is that the data came from a non-random set of respondents, two-thirds of whom came to the survey through the DSR. 56 Donors often sign up on the DSR because they are interested in connecting with their offspring or providing information to them. Parents who sign up might want to find the donor for their child; they might also want to know donor siblings and their families; they may also simply want to register a child in case information concerning health issues arises. Childrenbelowage18canonlysignupfortheDSRwiththeirparents.Moreover,more women than men responded to the survey and we cannot be certain that the attitudes of parents would be the same (especially with respect to limits) were there a more proportional response rate.
Using Empirical Data to Construct Policy
There has always been a debate about the role of empirical data in policy making. Recently, leading bioethicists Ezekial Emanuel and Arthur Caplan argued this very questionattheAmericanSocietyofBioethicsandtheHumanities.Emanuelcontendedthat empiricalresearchneedstobecomefoundationalfor bioethicsand thenshould beused by policy makers; Caplan took on Emanuel's plenary address to their professional societyto claim that there is more to bioethics than empirical research regardless of the rigors of data or how it was generated. His most memorable retort goes to the heart of the problem as he saw it. He claimed, 'Bioethics at the bedside is very much an ethical, social and personal activity'. 57 Despite this zinger, Caplan does acknowledge that
56 Freeman recently pointed out that it is misleading to critique studies based upon the DSR as not representative of the donor population as a whole. She believes that data from these samples provide important insights into the experiences of donor-conceived families who are seeking donor relations. Tabitha Freeman, Gamete Donation, Information Sharing and the Best Interests of the Child: An Overview of the Psychosocial Evidence, 33 MONASH BIOETH. REV. 57 (2015).
57 Arthur L. Caplan, Facts Alone will not Suffice for Bioethics, 19 GOOD SOC. 16, 17 (2010)
r
more empirical data are needed but their use is contingent and usually there is a prior moral argument that points to the weight accorded empirical data in ethical problems in issues such as reproduction.
Firth's 60 article in the same special issue discusses the limits of evidence used to legislate against gamete donor anonymity in the UK. She raises questions about what kind ofguidingprinciplesshouldinformpolicymakers.Sheisaskingaquestionmorealigned to Caplan's arguments. She also raises questions about what counts as good evidence, thedifficultiesoftranslatingevidenceintopolicy,andhowevidenceandpolicyinteract.
The use and limits of empirical research as evidence by policy makers is an ongoing debate within the world of assisted reproductive technology and the centerpiece of a specialissueoftheMonashBioethicsReview. 58 Freeman's 59 pieceinthisissueprovides a concise history of the shifting psychological, social, and cultural meanings attributed tothefactorsassociatedwith'geneticrelatedness'(includingdisclosuretooffspring,information demands by parents, and the ability to search for donor siblings). She notes that as a result of more disclosure and a greater ability to search for genetic relatives, the emphasis on being donor conceived and the importance of knowing the donor for one's identity have become important to more families. Freeman's research and that of other social science scholars provide ample evidence that parents and children who are donor conceived function well as families. Still, as Freeman notes, the members of donor families are curious about those they are related to outside of their legal family and they want more information about them, especially around health issues. Freeman argues that an interest in genetics relatives should be honored and that as stakeholders the members of donor families should have their voices heard by policy makers. Freeman's argument suggests that wanting genetic knowledge and respecting one's legal family are parallel stances and not competing ones. For this reason, Freeman would argue that policy makers should not walk away from the empirical evidence about the views of stakeholders. Nevertheless, ethicists will have to decide how much weight to accord genetic connections that exist outside of the legal family.
Changes in societal attitudes, such as the one about disclosure, create new narrative framings. The empirical research that reflects these new framings can capture the conflicted and contested views of various stakeholders. However, this evidence derived fromempiricalresearchisoftencherrypickedbypolicymakers. 61 Tosayasmuchisnot to imply that social science research has no place in policy. In fact, a major goal of this paper is to offer a new set of data from stakeholders to be evaluated as part of policymaking in the USA.
Reading the Evidence
Wenowreturntothedatapresentedinthispaper.Thetwoissues—anonymityandlimiting the number of offspring—produce different attitudes among the three stakeholders. Offspring are the stakeholders who express the strongest opposition to anonymity.
58 JONATHAN C IVES & VEERLE PROVOOST, 33 MONASH BIOETHICS REVIEW SPECIAL ISSUE: ON GAMETES AND GUIDELINES (2015).
60 Lucy Frith, The Limits of Evidence: Evidence Based Policy and the Removal of Gamete Donor Anonymity in the U.K, 33 MONASH BIOETH. REV. 29 (2015).
59 Freeman, supra note 56.
61 IVES & PROVOOST, supra note 58.
Moreover, opposition to anonymity grows among some offspring as they age and this is especially true when women become mothers; this new status triggers their interest in knowing more about the genetic ancestry they are passing on to their children. It is also the case that as offspring age, they might have a number of health concerns that make knowing about the donor and his or her genetic imprint more significant. However, because of the number of variables that shape attitudes toward anonymity among offspring, it is hard to know what these findings suggest for the future of attitudes toward anonymity. Most of the older offspring regardless of gender were raised in heterosexual families. Many of the older respondents experienced betrayal and disclosure at a later age; their strong opposition to anonymity is complex and tied in with their sense of being'different'byvirtueoftheirconception.Theyoungeroffspringofbothgenders(who are less opposed to anonymity altogether) were born into a greater diversity of family forms where anonymity may be less of an issue; those who are born to single parents or in families with gay or lesbian parents are more likely to know from birth that there was gamete donation. For these offspring, donor conception is an essential and a takenfor-granted part of their lives. In the future, then, it seems quite possible that offspring as a whole will be less opposed to anonymity than the older offspring are now because anonymity will not be tied to issues of parental betrayal.
Taken as a whole, both parents and donors tend more toward neutrality on the issue of anonymity. Among donors, age is related to attitudes toward anonymity, with thosewhoareoldermoreopposedtoanonymitythanthosewhoareyounger.Asnoted, the older respondents may have been coerced into anonymity; the younger respondents are more likely to have a choice about whether or not to be anonymous and therefore do not need to express an opinion on this issue. Among parents sexual orientation, age of oldest child, and marital status all shape these attitudes. Those parents who are now the major consumers of gamete donation (those with younger children,
Moreover, those offspring who are younger are more likely to have had contact with donor siblings: 76 per cent of those in their teens, and 51 per cent of those in their twenties have had contact with a donor sibling in comparison with only 17 per cent of those over 30. Offspring in the oldest group are less likely to have extensive donor profile information and donor numbers to post on registries; at the time those above 20 were born registries either did not yet exist or were relatively unknown. Posting on a registry becomes a more common practice for those who are teens; the parents of these offspring might have known that contact with donor siblings would be possible from conception.Thoseoffspringwhohavethatcontactwithdonorsiblingsarelessopposed to anonymity. Offspring who have connected with their donor siblings have some components of their curiosity answered by knowing others who come from the same donor and they might no longer need to pursue the donor him or herself. Of course, offspring may change their minds later—especially as they start to have their own families and have to confront issues of age-related health problems. At these points, they might be more vigorous about issues of anonymity. Whether or not this is the case, the data here suggest that the debate in the USA might have overstated the extent to which donorconceived offspring uniformly prefer openness. 62
gay/lesbian/bisexual parents, single, never married mothers) are more neutral about anonymity.
The issue of limits on number of offspring produced, however, is more likely to be one that stakeholders might address in the near future (as they addressed the issue of disclosure in the past) although to date it has not received much attention in the legal and policy discourse. For one thing, both parents and offspring hold strong opinions about this issue. Among offspring only age is related significantly to attitudes toward limits but the relationship is not strictly linear.
Now that both donors and parents are essentially given choices about anonymity, and that they both tend toward neutrality on these issues (especially, among the kind of parents who represent the future of gamete donation use), neither group is likely to lobby for change around the question of anonymity. Moreover, only a modest group of offspring is adamant about this issue, at this moment in time. It thus seems unlikely that there will be a strong policy push for change on this issue in the USA emerging from within these three groups of stakeholders. Indeed, given the shift in concern among offspring—from anxiety about anonymity among those who are older to less concern among those who are younger—combined with both the increasing availability of choice about anonymity (for donors and parents) and the growing availability of contact with donor siblings, it might be that the time for a vigorous debate has passed. The data in this paper provide no empirical evidence about what solution—banning anonymity or allowing it to continue—best serves the interests of all three sets of stakeholders. However, if these issues are debated in the future, both sides can draw on the evidenceprovidedhere:amongallthreegroups,substantialproportionsofrespondents are neutral about this issue rather than committing themselves to either the abolition or continuation of anonymity as an option for donors.
The parents are the stakeholders who, as a group, are most likely to favor limits. They worryabouthealthandaccidentalcontact.However,theattitudesofparentsvaryabout this issue. Interestingly, gay and lesbian parents express less concern about the issue of limits than do those who are straight. Another growing group of gamete recipients, they prefer less regulation overall. Much 'passion' comes from parents with the youngest children,singlewomenwhohaveneverbeenmarried,andthosewhohavelocatedtheir child'sdonor siblingrelatives.Thesegroupsarealllikelytoincreaseinsizeover thenext decade, adding more people who have intense attitudes about the issue of limits.
Moreover, other developments might shape the attitudes of both parents and offspring. First, the possibility of contact among the families of donor siblings has grown as more stakeholders have become aware of the DSR and other registries that enable contact. Participants in the new networks might find it challenging to maintain contact with large numbers of people related to them through shared gametes. 63 This challenge might produce an interest among both parents and offspring in having limits on the number of possible participants of these networks. Second, the growing number of 'identity-release' donors might have an additional consequence of relevance to the issue of limits. Offspring, and the parents of those offspring, who worry about the eagerness with which identity-release donors will respond to large numbers of offspring, might also want to contain numbers so as to ensure an interested response.
63 Rosanna Hertz, Margaret K. Nelson & Wendy Kramer, Donor Sibling Networks as a Vehicle for Expanding Kinship: A Replication and Extension, J. FAM. ISSUES (in press).
Donorsalsotendtoagreewiththebeliefthatthereshouldbelimits(andveryfeware entirely opposed to them). Only 'kind of donor' (an issue now of choice for an increasing number of donors) is related to this issue: known donors are most neutral but both anonymous and identity-release donors are more passionate about the idea of limits. If donors do not want to be beholden to too many offspring, three developments will make it more likely in the future that they will be contacted by their genetic offspring whether or not they are anonymous at the time they donate: the further emergence of free-standing registries (like the DSR) and registries associated with sperm and egg banks that facilitate contact; the growth in the number of 'identity release' donors; and the greater possibility of relying on the Internet and cutting-edge biotechnology companiestoidentifydonors.Takenasawholethesedevelopmentsmaymakeitevenmore likely that donors will want to limit the number of offspring produced so that they do not have to construct relationships with, or have the obligation of being in any form of contact with, large numbers of offspring.
Even with qualifications about the sample discussed above, the data reported here suggest that whether or not either is a desirable outcome, it might be possible for stakeholders to push for the issue of limits on the number of donations more effectively than to push for an end to anonymity. Of course, any change would need to involve legislation either by a regulatory body (such as the Centers for Disease Control) or by individual states; any change would also need to gain the cooperation of the sperm and egg banks. Based on prior actions it seems likely the latter will resist these changes. 65 In fact, regulating limits might be even more difficult than regulating anonymity because the enforcement of such regulation would require coordination among multiple banks (and might thereby raise antitrust concerns). Moreover, in the USA where citizens do not want the government to regulate the family, any limits on donor choice (by ending anonymity or by limiting the number of offspring produced) might well be regarded with great suspicion.
It is beyond the scope of this paper to address the issue of what number of offspring would be comfortable or reasonable for any of the three stakeholders. It is also beyond the scope of this paper to address the issues of how to make a scientific decision about limits and of which variables would be included in that decision. 64 However, should any of the stakeholders initiate discussion of this issue they could find strong support in these data: almost 50 per cent of donors, over 60 per cent of offspring, and over fourfifths of parents believe in limits.
ACKNOWLEDGEMENTS
We would like to thank Jacqueline McGrath, Gabby Hartman and Toby Israel for assistance in coding the data. This paper was presented at the Baby Markets Conference held at Harvard Law School in May 2015. We thank Radhiko Rao for her excellent commentary, Glenn Cohen for his comments and encouragement, and three anonymous reviewers for their critiques. Data analysis was supported by NSF SES-1355726 (Margaret K. Nelson) and by NSF SES- 1355740 (Rosanna Hertz).
64 The fertility industry would have to provide accurate information about the number of children born from a donor. At present the numbers of children born from a donor may not reflect the limits listed on sperm bank sites.
65 ASRM and SART Exert Pressure to Hinder Legislation in Several States, supra note 36.
|
ENRICHMENT AND IMPROVING THE NUTRITIONAL VALUE OF THIS CABBAGE WASTE USING Beauveria sp
Hari Sadu 1 , Manpal Sridhar 2 , Jhansi Lakshmi Bai 3 and D Ravindra Kumar Reddy 3 1 Research Associate (Fisheries), Krishi Vigyan Kendra, ANGRAU, Nellore-524004 2 Manpal Sridhar, Principal Scientist, National Institute of Animal Nutrition and Physiology, Adugodi, Bangalore-560030
3 Department of Aquaculture, College of Fishery Science Nellore, Andhra Pradesh
Abstract: The present study was conducted to find out enrichment of cabbage waste which is fermented with Beauveria sp. Feeds incorporated with 5, 10 and 15% Cabbage waste fermented with Beauveria sp. shown uniformity in pellet shape and compactness. The moisture content ranged with higher moisture levels ranging between 7.5 to 8.9 %. The protein contents were higher in feeds having 15 % cabbage waste than in unfermented feeds. Fat content in fermented feeds were also lower than in control feeds. Feeds incorporating 5 to 15% of Cabbage waste fermented with Beauveria sp. recorded carbohydrate contents of 23.81, 23.44 and 23.20% respectively.
Keywords: Cabbage Waste, Beauveria sp, proximate composition, Solid State of Fermentation, Feed stability.
Introduction
In aquaculture more than half the investment comprising 50 to 70 % of the total operating costs goes into feeds as they contribute an essential factor for enhancing fish production. With the intensification of culture activities more emphasis is diverted to fish nutrition and compounded feeds in particular
Commercial aquaculture feeds for shrimp generally contain 25-45% of crude protein because shrimp require such high dietary levels. Consequently only high protein oil seed residues have been used for compounding shrimp feeds (New, 1976). Feedstuffs of vegetable origin as a whole are lower in protein when compared to those of animal origin. Nevertheless among all plant protein sources tested for most crustaceans, soyabean meal has been found to be the most superior on account of its high protein content and essential amino acid profile (Kanazawa, 1995; Akiyama, 1988). In order to reduce the escalating cost of aqua feed and make aquaculture sustainable in the long run intensive research is being focused on alternative and more sustainable protein sources for use within compounded aquafeeds (Tacon, 1993). The utility of plant protein as partial replacement for the more expensive animal protein fractions has been examined but results show great variations in the degree of success, which inordinately depend on the species and types of ingredients used
Non conventional ingredients are ingredients that are capable of partially or completely substituting fishmeal. These have been in use since traditional aquaculture in Asia. It has been found that these feed stuffs can be used as substitute for fishmeal as they are no more abundant than fishmeal but are least expensive. Fishmeal has a well-balanced amino acid profile along with essential fatty acids. All foodstuffs need not have the same amounts of amino acids in fishmeal but they usually exceed the levels found in some amino acids.
The advantages of fermentation have been known over the ages as a means of bioconversion and protein enrichment of food and feed ingredients. It is also increasingly evident that the development of low cost, high quality protein foodstuffs is crucial for the future success of the aquaculture industry. Solid state fermentation is a novel technology by means of which cheap ingredients of lesser nutritive value can effectively be converted into nutritionally rich and easily digestible aquafeeds (Nigam and Singh, 1996).
Of the wide variety of feed ingredients available in India for production of aqua feeds (New et al., 1993) most are reported to be of too poor quality to produce high quality aquafeeds, especially for shrimp substrates, cell substances of the microbes and externalized metabolites (Nigam and Singh, 1996).
Solid State fermentation (SSF) has gained importance in the recent past due to its several advantages over submerged fermentation especially for enrichment of protein of agricultural wastes and sub products. The SSF technology has the advantage of direct utilization of none or very few pretreated solid substrates under aerobic conditions to produce microbial Biomass products (MBP), which contain a mixture of unused substrates, cell substances of the microbes and externalized metabolites (Nigam and Singh, 1996).
Cabbage (Brassica olaracea var. capitata) is available in the local vegetable markets throughout the year. The outer green leaves are usually discarded as waste and only the inner compact head is utilized. The waste is available in bulk in most market and its incorporation, as a non-conventional ingredient in shrimp feeds would therefore be a lucrative proposition. It would be most pertinent to carry out further enrichment of these substrates as well along with cabbage waste in order to increase their nutritive value and digestibility.
Material Methods
Non-conventional feed ingredients viz. cabbage waste, procured from the local market were analyzed for their proximate composition. Feeds were compounded with varying concentrations of cabbage waste and their physical and physico-chemical characteristics determined. These ingredients were subjected to Solid State Fermentation (SSF) using a fungus, Beauveria sp. and the changes in chemical composition were determined. Feeds of varying concentrations were again formulated with the fermented cabbage waste and the physical and physico-chemical characteristics compared to those of the unfermented material.
Feed formulation:
The feed ingredients and other additives like oil, binder, vitamin premix, mineral mix were weighed according to the standard feed formulation given by New, 1987 and Solid State Fermentation of ingredients was performed by following the method of Ramesh and Lonsane (1987). Necessary changes were however, made in the methodology and medium composition after optimization of process parameters.
Preparation of experimental cabbage waste feeds:
Fish and shrimp meal were equally replaced with 5%, 10% and 15% dried cabbage waste and these feeds were designated as CW7, CW 8and CW9 respectively.
Table 1: Percentage composition of control and experimental feeds prepared using varying concentrations of dried powdered cabbage waste.
| | Control | CW 7 | CW 8 |
|---|---|---|---|
| Cabbage waste Fish meal Soya bean meal Shrimp Meal Wheat flour Ground Nut Oil Cake Cod liver Oil Vegetable oil Gelatin Vitamin mixture Coated vitamin C Mineral Mixture* Di-Calcium Phosphate | 0.0 15.0 36.0 10.0 18.0 10.0 2.0 2.0 4.0 0.5 0.5 1.0 1.0 | 5.0 12.5 36.0 7.5 18.0 10.0 2.0 2.0 4.0 0.5 0.5 1.0 1.0 | 10.0 10.0 36.0 5.0 18.0 10.0 2.0 2.0 4.0 0.5 0.5 1.0 1.0 |
*Standard USP XVII mixture procured from SISCO laboratories
Proximate composition of experimental feeds compounded with cabbage waste fermented using Beauvaria sp.
Three feeds were formulated incorporating 5, 10 and 15% of cabbage waste fermented using Beauvaria sp. fungi in the same manner as adopted for compounding unfermented cabbage waste feeds. These were dried to less than 10% moisture after compounding and analysed for their physico-chemical characteristics
Preparation of fermented cabbage waste feeds:
A set of three feeds were compounded by incorporating 5, 10 and 15% of cabbage waste fermented using Beauveria sp. and designated as CW7, CW8and CW9 respectively. The diet devoid of fermented material designated as C served as control. The percentage incorporation of other feed ingredients used in the feed base was as given in Table.1. The prepared were dried to less than ten- percent moisture content and stored in airtight plastic containers at room temperature till further analysis.
Physical evaluation of the feeds:
The physical appearance of the feeds viz. color, shape, size and pellet diameter were recorded.
Hydrostability tests of the feeds:
Water stability of the control feed was determined by the method of Jayaram and Shetty (1981) with minor modifications. Approximately 5 g of diet was weighed, in triplicate and transferred 4" X4" pouches made of bolting silk. These were immersed in 25 liters of sea water (28ppt salinity and 28 ± 2º C water temperature) in plastic tubs. Pouches were removed from water at 0.5,1,2,3and 4 hours respectively and rinsed with distilled water to remove adhering salts. The contents were transferred to pre-weighed petridishes and dried in an oven at 80 ± 5º C and the resultant loss in dry matter was calculated.
SOLID STATE FERMENTATION:
Solid State Fermentation of ingredients was preformed by following the method of Ramesh and Lonsane (1987). Necessary changes were however, made in the methodology and medium composition after optimization of process parameters.
Micro-organisms:
Pure cultures of fungi, Beauveria sp. were procured from the microbiology section of the Department of Biotechnology, Cochin University of Science and Technology. They were maintained as pure cultures by sub-culturing every week on nutrient agar slants for bacteria and mycological agar containing streptomycin for fungi.
Analytical Methods:
Moisture, ash, crude protein, crude fat and fiber in feed ingredients, fermented substrates and feeds were determined by standard procedures (AOAC 1990) .
Results
Proximate composition of feeds compounded using cabbage waste fermented with Beauveria sp. Fungi
The proximate composition of the three feeds compounded using 5, 10 and 15% of cabbage waste fermented using Beauveria sp. and designated as CW7, CW8 and CW9 are given in Table 2.
Table 2: Proximate chemical composition of the control and experimental feeds compounded utilizing cabbage waste fermented using Beauveria sp.
| Nutrient | Control | | |
|---|---|---|---|
| | | CW7 | CW8 |
| Dry matter Moisture Crude Protein Ether Extract Crude Fiber Ash Acid Insoluble Ash (AIA) NFE** | 97.05 2.95 43.39 6.18 2.05 10.77 0.62 34.65 | 91.13 8.87 45.24 5.46 2.16 14.46 0.23 23.81 | 92.46 7.54 45.39 5.3 2.42 15.91 0.22 23.44 |
* Values expressed on dry matter basis.
* ** Nitrogen Free Extractives calculated as (100- % crude protein+crude fat+ash+crude fiber +moisture)
These feeds recorded higher moisture levels ranging between 7.5 to 8.9 %. Protein contents of these feeds was higher than the corresponding feeds prepared from unfermented cabbage waste and ranged from 45.24 for feed CW7 incorporated with 5% of the fermented waste to 45.54 for feed CW9 incorporated with 15% of the cabbage waste fermented with Beauveria sp. . Fat content of these feeds was lower than that of the control feed and ranged from 5.28 for CW9 (15% incorporation) to 5.46 in the case of feed CW7(5% incorporation). Crude fiber values of 2.15, 2.42 and 2.61 % were obtained for feeds CW7, CW8 and CW 9 respectively and though these were higher than the crude fiber content of the control feed wherein value of
2.05 was recorded, they were comparatively lower to those recorded in the case of feds prepared incorporating 5,10 and 15% of unfermented cabbage waste. The reverse was the case with regard to ash content as values ranging between 14.46% in the case of feed CW7 to 15.91% in the case of CW8 were recorded which were higher than 10.77% ash of the control feed and also of the three feeds prepared incorporating 5, 10 and 15% of the dried unfermented cabbage waste. Concomitantly, the carbohydrate contents of these three feeds compounded incorporating 5, 10 and 15% of cabbage waste decreased with values of 23.81, 23.44 and 23.20% respectively being recorded. The acid insoluble ash did not vary significantly among these feeds as compared to the feeds prepared utilizing the unfermented cabbage waste but were significantly lower than that of the control feed where in a value of 0.62% was recorded for the AIA.
Physical characteristics of the feeds compounded using cabbage waste fermented with Beauveria sp.
The physical characteristics of the three feeds compounded by incorporating 5,10 and 15% of cabbage waste fermented using Beauveria sp. fungi and designated as CW7, CW8 and CW9 are elaborated in Table 3. The three feeds had a pale brown color with a whitish tinge on account of the fungus, in comparison to the control feed which had a brown color and an uneven texture. These feeds had a strong fungal odor.
Table 3. Physical characteristics of the control and experimental feeds compounded utilizing cabbage waste fermented with Beauveria sp. Fungi
| FEED | PELLET SIZE | APPEARANCE (Unfermented) |
|---|---|---|
| Control | 2.0x 3.0 mm | Dark brown uneven texture |
| CW7 | 2.0x 3.0 mm | pale brown fine and compact |
| CW8 | 2.0x 3.0 mm | dark brown greenish tinge fine and compact |
Changes in percentage of some biochemical parameters upon solid state fermentation of cabbage waste, cotton seed cake and gingelly oilcake are represented in Table 4.
Table 4. Changes in percentage of some biochemical parameters upon solid state fermentation of cabbage waste
| Substrate | | | | | |
|---|---|---|---|---|---|
| | Dry matter | Protein | Fat | Fibre | Ash |
| Cabbage waste (CW) | - 0.464 | 5.044 | -0.473 | -6.397 | 3.018 |
Hydro stability of the feeds compounded using cabbage waste fermented with Beauveria sp.
The hydrostabilty of the three feeds prepared incorporating 5, 10 and 15% of cabbage waste fermented using Beauveria sp.indicated three feeds viz. CW7, CW8 and CW9 prepared incorporating 5,10 and 15% of cabbage waste fermented using Beauveria sp. were also quite stable in seawater with 81 to 85% dry matter remaining at the end of one hour. After that there was an additional 11-13% loss in dry matter upto 4 hours in seawater. However, the feeds prove to be stable exhibiting a profile very similar to that of the control feeds.
Discussion
The present study was designed with the purpose of testing the suitability of cabbage waste (Brassica olaracea var. capitata) in shrimp feeds as a non-conventional feed ingredient before and after subjecting to solid sate fermentation. The role of Solid State Fermentation in microbial enrichment and improving the nutritional value of this cabbage waste
Aquatic feeds have so far solely depended upon the highly nutritious but at the same time expensive animal proteins, of which the contributions of fishmeal has been most outstanding (New, 1976; Tacon, 1993). However, it is now evident that the future success of the aquaculture industry depends on the development of low-cost nutritious feeds, utilizing more of plant proteins. Commercial aquaculture feeds for shrimp generally contain 25-45% crude protein and consequently high protein oil seed residues have been used of compounding shrimp feeds (New, 1976).
Further, non-conventional ingredients of plant origin have low protein and high carbohydrate and fiber contents in addition to anti-nutritional factors and toxins. Also variability in nutritional composition (New et al, 1996) has been attributed to factors like method of handling and processing, the nutritional status of the environment in which they were grown as well as variations in analytical methodologies.
Gopalan et al., (1985) showed the protein content of leafy vegetables to range between 1% to 27% in the dried leaves of rape (Brassica napus). In the present study the outer leaves of cabbage discarded as waste recorded a moisture of 4.71% and a moderate protein content of 15.43% making it a non-conventional ingredient worth incorporation in aquafeeds owing to availability round the year. Leafy vegetables have low fat content ranging between 0.1 to 4.8 with low to moderately high carbohydrate contents ranging between 2 to 60.9% in the case of tender tamarind leaves (Gopalan et al., 1985). Cabbage waste recorded a low fat content of 1.5% and a relatively high carbohydrate content of 50%. Though certain leafy vegetables have been reported to contain high ash and fiber contents, cabbage waste recorded ash content of 11.46% and fiber content of 14.57%. There are no reports of the presence of any anti-nutritional factors in cabbage and thus cabbage waste was deemed to be suitable ingredient for incorporation into shrimp feeds.
Recommended protein levels vary from 30 to 57% in various species and sizes of marine shrimp While recommended lipid levels for commercial feeds range between 6% to 7.5% and should not exceed 10% (Akiyama et al., 1991). Carbohydrates are not a dietary essential for shrimp feeds, however their usefulness and cost effectiveness are undeniable. In the present study the three feeds compounded incorporating 5, 10 and 15% cabbage waste were very much within the nutritional standards prescribed for shrimp nutrition.
The use of micro-organisms to convert carbohydrate, ligno-celluloses and other industrial wastes into protein rich food and feed stuffs has been well documented. Cabbage waste on account of its protein content offers great potential in aquafeed formulation especially in the case of freshwater prawns and herbivorous fish species.
Among the processes that can be used to supply proteins, the most important and promising are those based on microbial growth and production of microbial biomass employing solid state fermentation (SSF). SSF technology has the advantage of direct utilization of none or very few pretreated solid substrates under aerobic conditions to produce Microbial Biomass Products (MBP), consisting of a mixture of unused substrates, cell substances of the microorganisms and externalized metabolites. The reduced reactor volume per unit substrate converted and the direct applicability of the fermented product for feeding purpose makes SSF a very attractive technology (Nigam and Singh, 1996). With the demand for cheaper plant protein sources to supplement the more expensive fishmeal component as well as bring down the cost of aquafeed the use of non-conventional ingredients like cabbage waste and further improvement of nutritive value of conventional ingredients becomes pertinent. In this investigation SSF technology was employed for the production of microbial protein as well as protein enrichment of cabbage waste and one strain of fungi (Beauveria sp.) in order to evaluate their suitability for aquafeed formulation.
In the present study, bacterial fermentations recorded mild color change unlike the fungal fermentations, wherein the pronounced spore formation leading to a visible change in color, with a strong moldy odour is in agreement with the results of Sridhar and Chandrasekhar (1996). These workers reported a 61.08% increase in protein content of wheat bran and 51.08% increase in protein content in groundnut oilcake upon fermentations with B.licheniformes. Fermentation with Beauveria sp. of both these substrates led to a protein increase of 30% in wheat bran and 31% in groundnut oilcake. However, the reduction observed by them in the dry matter content of all substrates is in agreement with this study. In this study protein content increased in all three substrates viz. cabbage waste with
Beauveria sp., but the increase was higher in the case of fungal fermentations, as compared to the bacterial fermentations, a view contradictory to that observed by Sridhar and Chandrasekhar (1996).
SSF resulted in bioconversion and protein enrichment of all substrates. Thus SSF is a novel technology by means of which cheap ingredients of lesser nutritive value can effectively be converted into nutritionally rich and easily digestible aqua feeds. Studies are preliminary and offer immense scope for further research, to prove beyond doubt that SSF, which is simple and economic, is the appropriate technology for the futuristic aqua feed industry.
The results obtained are very encouraging and clearly indicate that nutritionally inferior substrates can be converted to protein enriched digestible ones for incorporation into aqua feeds
References
[1] Akiyama, D.M. 1988. Soyabean meal utilisation by marine shrimp. Paper presented at the ACOS World congress on vegetable protein utilisation in human food and animal feedstuffs, Singapore. 2-7 October, 1988, 27p.
[2] Akiyama, D.M. 1991. Proceedings of the aquaculture feed processing and nutrition workshop. Thailand and Indonesia, Sep, 19-25. Edited by D.M. Akiyama & Rouvie K.H. Nutrition Ingredients
[3] AOAC 1990. Official Methods of Analysis of AOAC International.
[4] Gopalan, C., B.V. Rema Sastri and S.C.Balasubramanian (1985). Nutritive value of Indian foods. National Institute of Nutrition, I.C.M.R.Harpaz, S and E.A.Schmalbach, 1986.
Improved growth and health of Malaysian prawn,
Macrobrachium rosenberghii, by adding of
fresh leaves to the artificial diet. Aquaculture, 55:81-85.
[5] Kanazawa, A. 1985. Nutrition of penaeid prawns and shrimps. In: Proc. of the First
International Conference on the culture of penaeid prawns, shrimps. (Y. Taki, J,H. Primavera and J.A. Lobrera eds).pp.123-30, 4-7 Dec 1984. Iloilo city, Phillipines. Aquaculture
Department, Southeast Asian Fisheries Development Center
[6] New, M.B. 1976. A review of dietary studies with shrimp and prawns. Aquaculture, 9: 101-144.
[7] New, M.B. 1987. Feed and Feeding of fish and shrimp. A manual on the preparation and presentation of compounded feeds used for shrimp and fish in aquaculture.
[8] Nigam P. and D.Singh (1996). Processing of Agricultural wastes in solid state fermentation for Microbial protein production. Journal of Science and Industrial Research, 55:373-380.
[9] Ramesh M.V and B.K. Lonsane (1987). Solid state Fermentation for Alpha-Amylase by Bacillus megatherium 16m Biotechnol. Letters, 9:323-328
[10] Sridhar, M. and Chandrasekhar, M. (1996). Development of aquafeeds for shrimp employing solid state fermentation (SSF). Post Doctoral project report submitted to the Department of Biotechnology. (Govt. of India), New Delhi
[11] Tacon, A.G.J. 1993. Feed fermentation and on farm feed management. In: Proceedings of the FAO/AADCP regional Expert Consultation on farm made aquafeeds 14-18 December
1992, Bangkok, Thailand. FAO RAPA/AADCP, Bangkok, Thailand. 61-74p
Received April 25, 2016 * Published June 2, 2016 * www.ijset.net
|
School: Nicholson Elementary
2016-17 Cobb County School District Strategic Plan
Board Goal 1: Vary learning experiences to increase success in college and career pathways.
teacher
| | 2016-17 Aligned Actions and Measurements | | | | |
|---|---|---|---|---|---|
| | (Due September 1, 2016) | | | | |
| Key Actions: (List as many actions as needed in each box.) | | Measured by: | Owner(s): | Resources Needed: | Results Of Key Actions: (Due June 30, 2017) |
| N/A | | N/A | N/A | N/A | N/A |
Focus Priority
Status:
NM = Not Met
IP = In Progress
2. Organize, examine, and adjust
Implement an extensive data
Local standards Certified
None;
In 3
rd grade, we had a total
M
3. Develop and deliver flexible formative Address student understanding by Pre and post Certified
Funds for
MI Growth by level:
M
assessments in all core content areas for utilizing reading and math data from
math
Teachers/
subs for
K – 265 quantiles
| | | | | knowledge of the standard being tested than other grades. |
|---|---|---|---|---|
| Implement Positive Behavior Incentives & Supports (PBIS) decrease the number of behavioral office referrals and promote a positive school climate. | PBIS Team Action Plan Summary reports from SWIS (School- Wide Information System) | Certified Teachers/ Admin | Funds for the printing of “Starbucks” incentive for PBIS | School discipline data dropped by 54 discipline reports from this school year to the previous school year. We had 80 discipline reports for the 2016-17 school year. In January we dropped by 6 referrals, 13 in February, 6 in both March and April and 4 in May. |
| Engage in professional learning on behavior strategies which correlate with PBIS school-wide initiative. | Teacher feedback, summary reports from SWIS | Certified Teachers/ Admin | Funds for speaker services rendered; subs for teachers | Behavior data with our staff during staff meetings on November 9, 2016, January 4, 2017, and May 10, 2017. School discipline data dropped by 54 discipline reports from this school year to the previous school year. We had 80 discipline reports for the 2016-17 school year. In January we dropped by 6 referrals, 13 in February, 6 in both March and April and 4 in May. |
| Identify strengths/weaknesses in instruction through staff training on and implementation of SLDS (State Longitudinal Data System) and adjust instruction accordingly. Monitor implementation of SLDS with staff on SLDS website. | Reports on the number of hits on SLDS website | Certified Teachers/ Admin | None | Significant improvement over previous year. May 9, 2017 total was 10,661, which is 7,346 more than the previous year (3,346) |
Restructure Nicholson Governance EOG
Certified
None
We had vertical data teams M
model to align with CCSD District
Milestones
Teachers/
meet on October 26,
4 – 133 Lexile points grade level.
Algebra Scores)
| Track student progress by administering RI 3x yearly. | Track gains in RI Lexile data | Certified Teachers/ Admin | None | RI Growth by level 1 – 162 Lexile points; average 332 2 – 274 Lexile points; average 419 3 – 235 Lexile points; average 684 4 – 133 Lexile points; average 866 5 – 136 Lexile points; average 930 |
|---|---|---|---|---|
| Identify below grade level students in reading and invite them to participate in tutoring opportunities focusing on R/ELA content standards during the day from retired teachers for 3rd and 5th grade students, and after school from certified teachers for grades 3, 4, 5. | Track gains in RI Lexile data | Certified Teachers/ Admin | 20 Day Funds for tutors | 3rd grade tutoring children gained 254 Lexile points and had an average Lexile of 539. 4th grade tutoring children gained 94 Lexile points and had an average Lexile of 670. 5th grade tutoring children gained 193 Lexile points and had an average Lexile of 795. |
| Track student progress by administering MI 3x yearly to direct instruction. | Track student progress through MI results | Certified Teachers/ Admin | None | MI Growth by level: K – 265 quantiles; average 140 1 – 275 quantiles; average 340 2 – 185 quantiles; average 430 3 – 260 quantiles; average 580 4 – 305 quantiles; average 745 5 – 205 quantiles; average 785 |
Implement Number Talks, GLOSS Track student Certified
None
MI Growth by level:
M
(Diagnostic Math Assessment), progress
Teachers/
K – 265 quantiles
grade had average gains of 30% of students meeting or exceeding standards over the school year. 3 rd grade had average gains of 63% of students meeting or exceeding standards, often giving extra support with additional testing to gain student success. 4 th grade had average gains of 54% over the course of the school year and 5 th grade had average gains of 50%. Kindergarten showed the lowest average gains with 16.25%, but had many students coming in with the knowledge of the standard being tested than other grades.
Identify below grade level students Track student Certified
20 Day Funds 5
th grade tutoring students
M
in math and invite them to progress
Teachers/
for Tutors showed 214 quantile gains
grade level in both areas, whereas last year there
8. Other:
area. Can be multiple.)
| Increase student attendance through implementation of PBIS. | Quarterly attendance reports in CSIS, and Social Worker tracking reports for attendance | Certified Teachers/ Admin/ School Social Worker | Attendance, PBIS incentives | Based on CSIS, average daily attendance over the last 3 school years increased. 2015: 95.9 2016: 96.1 2017: 96.3 Based on CCRPI Indicator the percentage of students with 5 or fewer absences increased over the last 3 school years: 2015: 51.1% 2016: 53.3% 2017: 58.8% We will continue to work on meeting the elementary benchmark of 68.3%. |
|---|---|---|---|---|
| Clarify instructional expectations and structure monitoring systems. | Checklists for monitoring instructional expectations | Admin | None | Checklists completed throughout the year; if missing items, instructional expectations addressed and followed through until complete. Expectations were set during preplanning and monitored consistently. |
Board Goal 2: Differentiate resources for students based on needs.
Focus Priority
Status:
NM = Not Met
IP = In Progress
| | 2016-17 Aligned Actions and Measurements | | | | |
|---|---|---|---|---|---|
| | (Due September 1, 2016) | | | | |
| Key Actions: (List as many actions as needed in each box.) | | Measured by: | Owner(s): | Resources Needed: | Results Of Key Actions: (Due June 30, 2017) |
Identify local school innovations through system flexibility to increase student
Reallocate resources to meet Track student 2
nd , 4
th
/5
th
None
2
nd grade RI: gained 274
M
th achievement.
Lexile points with an
Grade progress through
student needs through 4 Grade
| | | | | level 1 in math. 9 students (11%) scored a level 4 in ELA and 8 students (9%) scored a level 4 in math. |
|---|---|---|---|---|
| N/A | N/A | N/A | N/A | N/A |
Provide targeted resources for students
Identify struggling learners and Track RI, MI, and Certified
System
MI Growth by level:
M
1. not reading on grade level (Lexile)
scores)
monitor progress through pre/post data for
Teachers/
44/Read 180 K – 265 quantiles
in area
Other:
| | | | | had average gains of 63% of students meeting or exceeding standards, often giving extra support with additional testing to gain student success. 4th grade had average gains of 54% over the course of the school year and 5th grade had average gains of 50%. Kindergarten showed the lowest average gains with 16.25%, but had many students coming in with the knowledge of the standard being tested than other grades. |
|---|---|---|---|---|
| N/A | N/A | N/A | N/A | N/A |
Board Goal 3: Develop stakeholder involvement to promote student success.
critical processes
Focus Priority
Status:
NM = Not Met
IP = In Progress
| | 2016-17 Aligned Actions and Measurements | | | | |
|---|---|---|---|---|---|
| | (Due September 1, 2016) | | | | |
| Key Actions: (List as many actions as needed in each box.) | | Measured by: | Owner(s): | Resources Needed: | Results Of Key Actions: (Due June 30, 2017) |
| Review feedback from School Council and PTA on SSP and adjust on relevant feedback. | | Minutes from stakeholder meetings and documents with results from implementation in meeting minutes. | Administration Office of Accountability | None | Minutes document feedback results from PTA and School Council |
| Provide community information and question/answer session on CCRPI and its components. | | Feedback from attendees | Office of Accountability | None | Director of Office of Accountability spoke to School Council and PTA Executive Board in November meeting. |
| Conduct English classes on Rosetta Stone computer program once weekly (2hrs.) for parents with limited English proficiency, free of charge. | | Parent participation | ESOL Teacher and EIP Teacher | Rosetta Stone software licenses, provided by ESOL/Title III department | English classes completed by 10 parents. |
Other:
| Conduct PBIS at home classes for parent and community members based on parent input. | Parent participation; report on number of discipline referrals from SWIS program | School Social Worker | None | Although School discipline data dropped by 54 discipline reports from this school year to the previous school year, the school social worker was unable to complete home visits. |
|---|---|---|---|---|
| Seek parent input in multiple venues on a variety of topics to determine needs and actions. Provide table at curriculum night with parent surveys. Connect home/school with a variety of topics on website. | Parent participation; report on number of discipline referrals from SWIS program | School Social Worker | None | School discipline data dropped by 54 discipline reports from this school year to the previous school year. In January we dropped by 6 referrals, 13 in February, 6 in both March and April and 4 in May. |
| Increase parent involvement and participation through parent callouts from school and new PTA Executive Board. Work with PTA to support Toolbox, a user friendly way to engage parents and increase involvement. Bring on other partners in education which encourage parental involvement. | Attendance data from PTA events | Key Committee School and Community Involvement PTA Executive Board | None | Parent participation increased by 3%. New Partners in Ed brought on: The School Box, Chick- fil-A, Ivy Lane |
Board Goal 4: Recruit, hire, support and retain employees for the highest level of excellence.
AdvancEd- teacher.
environment.
2
(IE) (S
monitoring.
evaluation
Focus Priority
Status:
NM = Not Met
IP = In Progress
| | 2016-17 Aligned Actions and Measurements | | | | |
|---|---|---|---|---|---|
| | (Due September 1, 2016) | | | | |
| Key Actions: (List as many actions as needed in each box.) | | Measured by: | Owner(s): | Resources Needed: | Results Of Key Actions: (Due June 30, 2017) |
| Revise criteria and utilize interview questions specific to Nicholson as to what constitutes a highly effective teacher. | | TKES evaluation data | Admin and Building Leadership Team | None | Criteria developed and utilized throughout year and end of year during interview process |
| N/A | | N/A | N/A | N/A | N/A |
| N/A | | N/A | N/A | N/A | N/A |
| Increase teacher knowledge of formative assessments and student progress monitoring. | | Walkthrough data, lesson plans, minutes from data team meetings, TKES evaluation data | Certified Staff/ Admin | Training in SGM and SLDS | Training took place on both SGM by school staff and SLDS by State Dept. of Ed.; lesson plan checks and data team meetings demonstrate implementation of formative assessments and student progress monitoring |
| N/A | | N/A | N/A | N/A | N/A |
2
(IE)
Other:
| Identify and address the needs of all staff based on self-assessment surveys and determine important strategies. | TKES portal documentation, TKES evaluation data | Certified Staff/ Admin | None | TKES portal documentation and evaluation data discussed during Preconference, Post- conference, and Summative conferences, training on CTLS resources |
|---|---|---|---|---|
|
Short Article
A Comparison of Active and Passive Recovery after an Intense Exhaustive Training Session on the Level of Serum Serotonin of Male Runners
Alireza Babaei Mazreno 1* M.Sc., Gholamreza Sharifi 1 Ph.D., Mohammad Tollabi 2 M.Sc.
1 Department of Physiology, Islamic Azad University, Khorasgan Branch, Isfahan, Iran.
2 Department of Psychometrics, Allameh Tabatabaei University, Tehran, Iran.
ABSTRACT
Article history
Received 28 Feb 2015 Accepted 9 Apr 2015 Available online 6 May 2015
Key words
Active Recovery Bruce Test Passive Recovery Serotonin
Background and Aims: The aim of this research was to compare active and passive recovery after a session of intense exhaustive training on the level of serotonin in the serum of the runners.
Materials and Methods: In this semi-experimental study, 26 male elite runners were randomly assigned to two groups of active (n=12) and passive (n=14) recovery. Half an hour before the start of the training, 5 ml blood was drawn from the subjects, and then each subject was tested starting training on treadmill for Bruce test until reaching exhaustion. Immediately and then 10 minutes after the Bruce test, 5 ml of blood was drawn again for measuring serotonin.
Results and Conclusions: The mean of serotonin in three steps of before, immediately after and 10 minutes after recovery were 360.83±250.05, 459.67±302.13, 514.5±440.48 ng/ml, respectively in the active recovery group, and 141.26 ± 92.41, 241.04 ± 104.78, 214.34 ± 120.03 ng/ml in the passive recovery group. There was a significant difference between the amount of serotonin after recovery and that of before. However, the type of recovery program after exercise had no effect on the serum serotonin level of the runners.
Introduction
Central fatigue is the most important factor in a person's inability to better function, especially in short periods of high intensity exercises [1]. Most of the investigations have shown that during intense training, synthesis and metabolism of serotonin begin to increase due to both increase in the activity of serotogeneric system and also decrease and loss of nerve conduction [1, 2, 3]. Serotonin is a neurotransmitter synthesized extensively from tryptophan in the central nervous system and also in the stomach-intestinal mucosal cells. It plays a role in organizing the nervoushormonal system, mood, appetite, sleep adjustment, physiological and cognitive activities involved in learning and memorizing [2]. The synthesis and metabolism of serotonin in the brain increases in response to exercise. In addition, increase in the concentration of serotonin is followed by symptoms of central exhaustion such as decreased arousal, reluctance, fatigue, and loss of motor coordination in the brain [3].
Impairment of the recovery to the primary state between trainings or in running competitions causes increased fatigue and reduced ability to carry out some activities [4]. Active recovery is popular as a light exercise after training and intense race, and is believed to improve recovery [5]. On the other hand, passive recovery increases cardiac output to a level less than the active recovery, and the less involvement of muscles reduces the received messages from the mechanical receivers and central commands [6].
Several researches have examined the effect of training on serotonin changes after active and passive recovery with different methods [7, 8, 9, 2]. Also many authors have examined the changes of serotonin [3, 10, 11]. Considering the important role of recovery after training, the researchers intended to compare the impact of active and passive recovery after an intensive exhaustive training session on the serum level of serotonin in runners.
Materials and Methods
In a semi-experimental study, 26 male sprint runners in Isfahan with at least two years experience of training and one championship attended this research, and were divided into two groups of active (n=12) and passive recovery (n=14). This project was approved by Ethics Committee for Research in Islamic Azad University, Khorasgan Branch, Isfahan, Iran.
At first 5 ml of blood was drawn at rest from the testees 30 minutes before starting the training. Then the testees ran on an electronic revolving bar (COSMED, made in Germany) using the Bruce instructions. To assess the pressure of training and to recognize the moment of fatigue, Borg pressure assessment test was used. Immediately after running the Bruce test and also 10 minutes after active and passive recovery (that included lying on bed in passive recovery group, and running on the treadmill with 60% maximum heart beat rate in the active recovery group), once again 5 ml blood was drawn. The serotonin levels were determined using enzyme-linked
immunosorbent assay according to manufacturer instructions (LSD, USA). ANOVA was performed with repeated measurements at the level of p< 0.05.
Results and Discussion
The averages of age, weight, height and body mass index of the samples were 21.5±2.2 years, 74.5±7.85 kg, 181.5±2.89 cm, and 19.81±1.16 kg/m 2 , respectively. As the table 1 shows, the concentration of serotonin increased immediately after an intensive exhaustive training session in the two groups (p≤0.05). Prior to training, there was no significant difference between serum serotonin levels in the sprint runners who had active recovery and passive recovery (p=0.37).
According to a study carried out by Albirghina et al., the amount of serotonin in horses increases immediately after exercise [2], not thus being in line with the results of the present study. In a study coducted by Caperto et al., the effect of resistance training on the concentration and performance of serotonin in hypothalamus of mice was examined, which showed that the concentration of serotonin was increased after the intensive exhaustive training session, being in accordance with the current research [9]. Also Stringberg et al. studied the serotonin of blood in patients with lower body paralysis during a wheelchair basketball, tennis and swimming training program, immediately after each training session. They detected that the blood serotonin level significantly increases, and after 5minutes of active and passive recovery, no difference can be observed between their serum serotonin, which is thus in agreement with the present research [7]. Based on the investigation of Essam and Manal, serotonin increases in patients with depression over 12 weeks of Pilates training, again compling with our study [3].
Table 1. The results of covariance analysis test between 10-minute active and passive recovery
* Data are presented as Mean±SD
Most sport studies have shown that a change in hormone concentrations, especially serotonin, is a sign of fatigue, which indicates a clear relationship between the serotonin activity and the intensity of training during practice [3,8]. Albumin is a protein that is combined with blood plasma tryptophan [8], and prevents the
transmission of tryptophan to the brain. Also free fatty acids compete with tryptophan for binding to albumin. Extreme training increases plasma free fatty acids, and so more free fatty acids are combined with albumin, replacing tryptophan which increases the concentration of plasma tryptophan. This reduces the cluster plasma amino acids and as a result increases the ratio of free tryptophan amino acid to clustered amino acid, and thus increases the transmission of brain blood tryptophan that influences the synthesis of serotonin [11]. So the reason for increase in the amount of serotonin after training is probably related to this matter. Among the limitations of the current research are the lack of control of the testees' stimulation, and also lack of control of the hidden disease.
References
[1]. Artigas F, Romero L, DE Montigny C, Blier P. Acceleration of the effect of selected antidepressant drugs in major depression by 5-HT1A antagonists. Trends in Neuroscience 2006; 19: 378-383.
[2]. Alberghina D, Giannetto C, Piccion G. Peripheral serotoninergic response to physical exercise in athletic horses. Journal of veterinary science 2010; 11:285-289.
[3]. Essam Abdel-Hamid H, Manal Ahmed A. Pilates Exercises Influence on the Serotonin Hormone, Some Physical Variables and the Depression Degree in Battered Women. World Journal of Sport Sciences 2011; 5 (2): 89-100.
[4]. Erissa S, Garry W. Tryptophan and depression: can diet alone be the answer? Child and Adolescent Mental Health Services, Northern Sydney Central Coast Area Health 2011; 23:3-11.
[5]. Wigernaes I, Hostmark A.T, Kierulf P, Stromme S.B. Active recovery reduces th decrease in circulating white blood cells
Conclusion
Based on the findings of this study, the type of recovery after intensive exhaustive training does not affect the levels of serotonin for elite runners.
Acknowledgement
This article came from part of a student's thesis, and was financially supported by Islamic Azad University of Khorasgan Branch, Isfahan, Iran.
Conflict of Interest
The authors declare no conflict of interests.
after exercise. Int J Sports Med 2000; 21:608-12.
[6]. Crisafulli A, Orru` V, Melis F, Tocco F, Concu A. Hemodynamics during active and passive recovery from a single bout of supramaximal exercise. Eur J Appl Physiol 2003; 89: 209–16.
[7]. Steinberg L, Sposito M, Lauro F, Turk S, Mello M, Mazzacoratti M, Cavalheiro E , Silva A. Serum level of serotonin during rest and during exercise in paraplegic Patients. International Medical Society of Paraplegia 1988; 36: 18-20.
[8]. Langfort J, Baranczuk E, Pawlak D, Chalimoniuk M, Lukacova N, Marsala J, Gorski J. The effect of endurance training on regional serotonin. Cell Mol Neurobiol. 2006;26(7-8):1327-42.
[9]. Caperuto E.C, dos Santos R.V.T, Mello M.T , Costa Rosa L.F. Effect of Endurance Training on Hypothalamic Serotonin Concentration and Performance. Clinical
and Experimental Pharmacology and Physiology 2009; 36: 189–191.
[10]. Marius R, Roeykens J, Magnus L, Keizer H, DE Meirleir K. Endurance performance in humans: the effect of a dopamine precursor or a specific serotonin (5-
HT2A/2C) antagonist. Int J Sports Med 2008; 18: 571-577.
[11]. Kiris M, Haussinger D. Mammalian. Amino Acid Transport, Mechanisms and Control. New York: Plenum Pr. 2007; 35(5): 1215–1217.
|
Consolidated Financial Statements
December 31, 2015
(Expressed in U.S. dollars, except where indicated)
Management's Responsibility for Financial Reporting
The consolidated financial statements of Coro Mining Corp. (the "Company") and the information contained in the annual report have been prepared by and are the responsibility of the Company's management. The consolidated financial statements have been prepared in accordance with generally accepted accounting principles (GAAP) in Canada, which requires International Financial Reporting Standards, and, where appropriate, reflect management's best estimates and judgements based on currently available information.
Management has developed and is maintaining a system of internal controls to obtain reasonable assurance that the Company's assets are safeguarded, transactions are authorized and financial information is reliable.
The Company's independent auditors, PricewaterhouseCoopers LLP, who are appointed by the shareholders, conduct an audit in accordance with Canadian generally accepted auditing standards. Their report outlines the scope of their audit and gives their opinion on the consolidated financial statements.
The Audit Committee of the Board of Directors meets periodically with management and the independent auditors to review the scope and results of the annual audit, and to review the consolidated financial statements and related financial reporting matters prior to approval of the consolidated financial statements.
"Alan Stephens"
"Damian Towns"
President and Chief Executive Officer
March 23, 2016
Chief Financial Officer
March 29, 2016
Independent Auditor's Report
To the Shareholders of Coro Mining Corp.
We have audited the accompanying consolidated financial statements of Coro Mining Corp., which comprise the consolidated statement of financial position as at December 31, 2015 and December 31, 2014 and the consolidated statement of loss and comprehensive loss, shareholders' equity and cash flows for the years then ended, and the related notes, which comprise a summary of significant accounting policies and other explanatory information.
Management's responsibility for the consolidated financial statements
Management is responsible for the preparation and fair presentation of these consolidated financial statements in accordance with International Financial Reporting Standards, and for such internal control as management determines is necessary to enable the preparation of consolidated financial statements that are free from material misstatement, whether due to fraud or error.
Auditor's responsibility
Our responsibility is to express an opinion on these consolidated financial statements based on our audits. We conducted our audits in accordance with Canadian generally accepted auditing standards. Those standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the consolidated financial statements are free from material misstatement.
An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the consolidated financial statements. The procedures selected depend on the auditor's judgment, including the assessment of the risks of material misstatement of the consolidated financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity's preparation and fair presentation of the consolidated financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by management, as well as evaluating the overall presentation of the consolidated financial statements.
We believe that the audit evidence we have obtained in our audits is sufficient and appropriate to provide a basis for our audit opinion.
Opinion
In our opinion, the consolidated financial statements present fairly, in all material respects, the financial position of Coro Mining Corp. as at December 31, 2015 and December 31, 2014 and its financial performance and its cash flows for the years then ended in accordance with International Financial Reporting Standards.
Emphasis of matter
Without qualifying our opinion, we draw attention to Note 1 in the financial statements which describes matters and conditions that indicate the existence of a material uncertainty that may cast significant doubt about the Company's ability to continue as a going concern.
signed "PricewaterhouseCoopers LLP"
Chartered Professional Accountants
Consolidated Statement of Financial Position
As at December 31, 2015 and December 31, 2014
Consolidated Statement of Loss and Comprehensive Loss
For the years ended December 31, 2015 and 2014
The accompanying notes are an integral part of these consolidated financial statements.
Consolidated Statements Shareholders' Equity
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
The accompanying notes are an integral part of these consolidated financial statements.
Consolidated Statement of Cash Flows
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
Notes to Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
1 Nature of operations and going concern
Coro Mining Corp. (the "Company" or "Coro") and its subsidiaries are engaged in the exploration and development of base and precious metal projects in Chile. The Company was incorporated on September 22, 2004 and commenced activities in 2005. The Company's registered office is Suite 2610, Oceanic Plaza, 1066 West Hastings Street, Vancouver, British Columbia, Canada.
Going concern
These consolidated financial statements have been prepared using International Financial Reporting Standards ("IFRS") applicable to a going concern, which contemplates the realization of assets and settlement of liabilities in the normal course of business. For the year ended December 31, 2015, the Company reported a loss of $1.1 million, and as at that date had an accumulated deficit of $57.1 million, and net current liabilities of $9.1 million. Included within net current liabilities is $7.0 million for the convertible debenture which is not required to be cash settled.
Subsequent to the end of the year, the Company closed an equity placement for gross proceeds of CA$3.2 million (note 14). These funds will provide a portion of the development costs for the Berta Project and working capital. The Company anticipates that it will require additional financing to build the Berta Project facilities and to meet ongoing operating and overhead expenses.
The Company's ability to continue as a going concern is dependent upon its ability to obtain additional funding from loans, equity financings or through other arrangements. The success of such initiatives cannot be assured. These conditions cast significant doubt on the validity of the going concern assumption.
These consolidated financial statements do not reflect the adjustments to the carrying values of assets and liabilities and the reported expenses and balance sheet classifications that would be necessary were the going concern assumption deemed to be inappropriate. These adjustments could be material.
2 Significant accounting policies
Basis of Presentation
These financial statements have been prepared in accordance with IFRS and include all adjustments, of a normal recurring nature, considered necessary by management to fairly present the financial position, results of operations and cash flows of the Company. These financial statements were authorized for issue by the Board of Directors on March 23, 2016.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
2 Significant accounting policies (continued)
Consolidation
These consolidated financial statements include the accounts of the Company and its wholly-owned subsidiaries; Sea to Sky Holdings Ltd., Minera Cielo Azul Ltda., Minera San Jorge S.A. ("MSJ"), Inversiones Cielo Azul Ltda., 0904213 BC LTD., Sky Dust Holdings Limited, Machair Investments Ltd., Minera Coro Chile Ltda., and its 65% interest in Sociedad Contractual Minera Berta ("SCMB"). All intercompany transactions, balances, income and expenses have been eliminated on consolidation.
Estimates and use of judgement
The preparation of financial statements in conformity with IFRS requires management to make estimates and assumptions that affect the amounts reported and disclosed in the financial statements and the accompanying notes. The following discusses the most significant accounting judgments and estimates that the Company has made in the preparation of the financial statements that could result in a material effect in the next financial year on the carrying amounts of assets and liabilities:
Impairment of exploration and evaluation assets
In applying its accounting policy for costs incurred during the exploration phase the Company must determine whether the criteria for capitalization have been met. The most difficult and subjective estimate is whether a project will generate probable future economic benefits. Management considers all appropriate facts and circumstance in making this assessment including historical experience, expected market demand, costs and future economic conditions. The Company also considers the aforementioned factors when performing impairment tests.
Determination of commercial viability and technical feasibility of the Berta deposit
IFRS requires a distinction between exploration and evaluation assets and mine construction and development costs which are recorded within property plant and equipment. The Company considered the purchase of the Nora plant (note 4), and its subsequent refurbishment and remediation and concluded that commercial viability and technical feasibility of the Berta deposit had been confirmed during the fourth quarter of 2015. At this point, the Berta asset was reclassified to mineral properties and mine development costs within property, plant, and equipment and tested for impairment.
Impairment of property, plant and equipment
The application of the Company's accounting policy for impairment of property, plant and equipment requires judgment to determine whether indicators of impairment exist. The review of impairment indicators includes consideration of both external and internal sources of information, including factors such as market and economic conditions, metal prices and forecasts, commercial viability and technical feasibility and estimated project economics. Management has assessed impairment indicators on the Company's property, plant and equipment and has concluded that no impairment indicators exist as of December 31, 2015.
Reserve and resource estimation
Realization of the Company's assets and liabilities is subject to risks and uncertainties, including reserve and resource estimation, future copper and other base and precious metal prices, estimated costs of future production, changes in government legislation and regulations, estimated deferred income taxes, the availability of financing, and various operational factors.
Foreign currency translation
The functional currency of the parent company, Coro Mining Corp., is the Canadian dollar (CA$). The functional currency of the Company's Chilean and Argentinian's subsidiaries is the U.S. dollar ($). The presentation currency of the Company is the U.S. dollar.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
2 Significant accounting policies (continued)
The financial statements of the parent company are translated into U.S. dollars for presentation purposes as follows: assets and liabilities at the closing rate at the date of the consolidated statement of financial position, income and expenses at the average rate of the period (as this is considered a reasonable approximation to actual rates) and shareholders' equity components at a historical rate. All resulting changes are recognized in other comprehensive income as cumulative translation adjustments.
Transactions in currencies other than the functional currency of an entity are recorded at the rate of exchange prevailing on the date of the transaction. Monetary assets and liabilities that are denominated in foreign currencies are translated at the rate prevailing at each reporting date. Foreign currency translation differences arising on transition into the functional currency of an entity are recognized in the statement of loss.
Financial instruments
a) Cash and cash equivalents
Cash and cash equivalents comprise cash at banks, cash on hand and other short-term investments with initial maturities of less than three months. Cash and cash equivalents are classified as loans and receivables.
b) Investments
Investments in public company shares are held for trading and measured at fair value on the statement of financial position. Changes in fair value are recorded in the statement of loss.
c) Accounts receivable
Accounts receivable are classified as loans and receivables and are recorded at amortized cost using the effective interest rate method, which upon their initial measurement is approximately equal to their fair value. Subsequent measurement of receivables is at amortized cost.
d) Accounts payable and accrued liabilities
Accounts payable and accrued liabilities are classified as other financial liabilities and are measured at amortized cost using the effective interest rate method.
f) Debt
The Company recognizes all financial liabilities initially at fair value and classifies them as either fair value through profit or loss or loans and borrowings, as appropriate. Debt classified as loans and borrowings is subsequently measured at amortized cost, calculated using the effective interest rate method. Debt classified as fair value through profit or loss is measured at fair value on each financial period-end date with gains and losses flowing through the statement of operations.
g) Derivative Instruments
Derivative instruments, including embedded derivatives, are recorded at fair value through profit or loss and accordingly recorded on the statement of financial position date at fair value. Fair values for derivative instruments are determined using valuation techniques, using assumptions based on market conditions existing at the statement of financial position date.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
2 Significant accounting policies (continued)
Inventories
Finished goods (copper cathodes), in-process and stockpile inventories are recorded at the lower of average cost and net realizable value. Ore stockpiles include materials extracted from the mine and stockpiled before and after the crushing process. Finished goods, in-process and ore stockpiles costs include all direct costs incurred in production including direct labour and materials, freight, depreciation and amortization, and directly attributable overhead costs.
When inventories have been written down to net realizable value, a new assessment of net realizable value is made in each subsequent period. When the circumstances that caused the write down no longer exist, the amount of the write down is reversed.
Consumable parts and supplies are valued at the lower of average cost and net realizable value. Cost includes acquisition, freight and other directly attributable costs.
Property, plant and equipment
Property, plant and equipment include mineral properties and mine development costs, plant and equipment, and capital work in progress.
Plant and equipment
Plant and equipment are carried at cost, less accumulated amortization and accumulated impairment losses. Cost comprises the fair value of consideration given to acquire an asset and includes the direct charges associated with bringing the asset to the location and condition necessary for putting it into use along with the future cost of dismantling and removing the asset. When parts of an item of plant and equipment have different useful lives, they are accounted for as separate items (major components) of plant and equipment.
Plant and equipment are amortized over the life of the mine using the units-of-production ("UOP") method based on the recoverable tonnes from the estimated proven and probable reserves. Mobile equipment is depreciated on a straight-line basis for up to five years.
During the commissioning phase of a new plant, pre-production expenditures, net of incidental revenue, are capitalized to property, plant and equipment.
Mineral property and mine development costs
Mineral property consists of the Berta Project carried at cost, less accumulated depletion. Costs of project development including gaining initial access to the ore body are capitalized to mineral properties. Once the mineral property is in production, it will be depleted using the UOP method, based on recoverable tonnes from the estimated proven and probable reserves.
Capitalization of costs incurred ceases when the mining property is capable of commencement of mining operations in the manner intended by management. Costs incurred prior to this point, including depreciation of related plant and equipment, are capitalized and proceeds from sales during this period are offset against capitalized costs.
The Company applies judgment in its assessment of when a mine is capable of operating in the manner intended by management which takes account of the design of the mine and the nature of the initial commissioning phase of the operation.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
2 Significant accounting policies (continued)
Construction in progress
Costs recorded for assets under construction are capitalized as construction in progress. On completion, the cost of construction is transferred to the appropriate category of property, plant and equipment. No amortization is recorded until the assets are substantially complete and available for their intended use.
Borrowing costs
Borrowing costs that are directly attributable to the acquisition, construction or production of an asset that takes a substantial period of time to prepare for its intended use are capitalized as part of the cost of the asset. Capitalization of borrowing costs begins when there are borrowings and activities commence to prepare an asset for its intended use. Capitalization of borrowing costs ends when substantially all activity necessary to prepare a qualifying asset for its intended use is complete. When proceeds of project specific borrowings are invested on a temporary basis, borrowing costs are capitalized net of any investment income.
Exploration and evaluation expenditures
Exploration and evaluation expenditures include the costs of acquiring licenses and costs associated with exploration and evaluation activity. Exploration and evaluation costs relating to non-specific projects or properties or costs incurred before the Company has obtained legal rights to explore an area are expensed in the period incurred. Mineral property acquisition costs are capitalized.
Once the technical feasibility and commercial viability of the extraction of mineral reserves or resources from a particular mineral property have been determined, expenditures are reclassified to mineral property development costs within mineral properties, plant and equipment and are carried at cost until the properties to which the expenditures relate are sold, abandoned or determined by management to be impaired in value.
The establishment of technical feasibility and commercial viability of a mineral property is assessed based on a combination of factors, such as but not limited to:
- The extent to which mineral resources have been identified through an economic study;
- The status of environmental permits; and
- The status of mining leases or permits.
Exploration and evaluation assets are tested for impairment immediately prior to reclassification to mineral property development costs within property, plant and equipment. Proceeds from the sale of properties or cash proceeds received from option payments are recorded as a reduction of the related mineral property interest.
Impairment of non-financial assets
The carrying amounts of assets included in mineral properties, plant and equipment are reviewed for impairment whenever facts and circumstances suggest that the carrying amounts may not be recoverable. If there are indicators of impairment, the recoverable amount of the asset is estimated in order to determine the extent of any impairment. Where the asset does not generate cash flows that are independent from other assets, the recoverable amount of the cash generating unit to which the asset belongs is determined. The recoverable
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
2 Significant accounting policies (continued)
amount of an asset or cash generating unit is determined as the higher of its fair value less costs of disposal and its value in use. An impairment loss exists if the asset's carrying amount exceeds the recoverable amount, and is recorded as an expense immediately.
Value in use is determined as the present value of the future cash flows expected to be derived from continuing use of an asset or cash generating unit in its present form. These estimated future cash flows are discounted to their present value using a pre-tax discount rate that reflects current market assessments of the time value of money and the risks specific to the asset or cash generating unit for which estimates of future cash flows have not been adjusted.
Fair value is the price that would be received from selling an asset in an orderly transaction between market participants at the measurement date. Costs of disposal are incremental costs directly attributable to the disposal of an asset. Estimated future cash flows are calculated using estimated future prices, mineral reserves and resources and operating and capital costs. All inputs used are those that an independent market participant would consider appropriate.
Tangible assets that have been impaired in prior periods are tested for possible reversal of impairment whenever events or changes in circumstances indicate that the impairment has reversed. If the impairment has reversed, the carrying amount of the asset is increased to its recoverable amount, but not beyond the carrying amount that would have been determined had no impairment loss been recognized for the asset in the prior periods. A reversal of an impairment loss is recognized into profit or loss immediately.
Decommissioning and restoration provision
An obligation to incur decommissioning and environmental costs arises when environmental disturbance is caused by the exploration or development of a mineral property. Such costs are estimated and discounted to their net present value and capitalized to the carrying amount of the related asset along with the recording of a corresponding liability, as soon as the obligation to incur such costs arises. Discount rates using a pre-tax rate that reflect risks specific to the liability are used to calculate the net present value. The liability is adjusted each year for the unwinding of the discount rate, changes to the current market-based discount rate, and for the amount or timing of the underlying cash flows needed to settle the obligation.
Leases
Assets financed by leasing agreements that give rights approximating ownership (finance leases) are capitalized at fair value. The capital elements of future obligations under finance leases are included as liabilities in the statement of financial position and the interest element is charged to the statement of loss. Annual payments under other lease arrangements, known as operating leases, are charged to the statement of loss on a straightline basis.
Loss per share
Loss per share is calculated using the weighted average number of shares outstanding during the period. Diluted earnings (loss) per share is calculated using the treasury stock method whereby all in the money options and warrants are assumed to have been exercised at the beginning of the year and the proceeds from the exercise are assumed to have been used to purchase common shares at the average market price during the period. In periods of loss, basic and diluted loss per share are the same, as the effect of the exercise of outstanding options and warrants is anti-dilutive.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
2 Significant accounting policies (continued)
Income taxes
Deferred income tax is recognized using the liability method on temporary differences arising between the tax and accounting bases of assets and liabilities as well as for the benefit of losses available to be carried forward to future years. Deferred income tax is not accounted for if it arises from initial recognition of an asset or liability in a transaction other than a business combination that at the time of the transaction affects neither accounting nor taxable profit or loss. Deferred income tax is determined using tax rates that have been enacted or substantively enacted at the statement of financial position date.
Deferred income tax assets are recognized only to the extent that it is probable that future profit will be available against which such assets can be utilized.
Share-based payments
The Company applies the fair value method of accounting for stock options granted to employees and others providing similar services. The fair value of options is determined using a Black-Scholes option pricing model that takes into account, as of the grant date, the exercise price, the expected life of the option, the current price of the underlying stock and its expected volatility, expected dividends on the stock, and the risk-free interest rate over the expected life of the option. The Company expenses the fair value of stock options granted over the vesting period with the corresponding credit to contributed surplus.
Cash consideration received from employees on exercise of options is credited to common shares along with the original grant date fair value of the options exercised.
Revenue
Copper revenue is recognized when it is probable that the economic benefits will flow to the Company, delivery has occurred, the sale price is reasonably determinable, and collectability is reasonably assured. These criteria are generally met at the time the product is shipped and delivered to the customer and, depending on the delivery conditions, title and risk have passed to the customer and acceptance of the product, when contractually required, has been obtained.
Copper revenue is recognized on a provisional pricing basis when title transfers and the rights and obligations of ownership pass to the customer, which occurs at mine gate. Final pricing is not determined at that time as it is contractually linked to market prices at a subsequent date. These arrangements have the characteristics of a derivative instrument as the value of the accounts receivable will vary as prices for the underlying commodities vary in the metal markets. These price adjustments result in gains in a rising price environment and losses in a declining price environment and are recorded as adjustments to revenues.
New accounting pronouncements
The following revised standards and amendments are effective in future accounting periods with earlier application permitted, except where indicated.
(i) IFRS 9, Financial Instruments, addresses the classification, measurement and recognition of financial assets and financial liabilities. It replaces the guidance in IAS 39, Financial Instruments: Recognition and Measurement, that relate to the classification and measurement of financial instruments. IFRS 9 retains but simplifies the mixed measurement model and establishes three primary measurement categories for financial assets: amortized cost, fair value through other comprehensive income and fair value through profit or loss. The basis of classification depends on the entity's business model for managing its financial instruments and the contractual cash flow characteristics of the instrument. For financial liabilities, the standard retains most of the IAS 39 requirements.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
2 Significant accounting policies (continued)
The main change for liabilities is that, in cases where the fair value option is taken for financial liabilities, the part of a fair value change due to an entity's own credit risk is recorded in other comprehensive income (loss) rather than in net earnings. IFRS 9 is effective for annual periods beginning on or after January 1, 2018, with early adoption permitted. The Company is currently assessing the impact of IFRS 9.
(ii) IFRS 15, Revenue from Contracts with Customers, establishes principles to address the nature, amount, timing and uncertainty of revenue and cash flows arising from an entity's contracts with customers. IFRS 15 will be effective for annual periods beginning on or after January 1, 2018, with early adoption permitted. The Company is currently assessing the effect of this standard.
(iii) IFRS 16, Leases, addresses accounting for leases and lease obligations. It replaces the existing leasing guidance in IAS 17, Leases. The objective of the new standard is to report all leases on the statement of financial position and to define how leases and lease liabilities are measured. IFRS 16 is effective January 1, 2019 with early adoption permitted for companies that also apply IFRS 15. The Company is currently assessing the impact of IFRS 16.
There are no other IFRS's or IFRIC interpretations that are not yet effective that are expected to have a material impact on the Company.
3 Deconsolidation of Minera San Jorge S.A. ("MSJ")
Under an October 2014 Definitive Agreement, Alterra Investments Ltd. and Solway Industries Ltd., ("A&S") had the right to acquire a 70% interest in MSJ by paying a total of $1.533 million. A&S paid $0.233 million in 2014; $0.8 million and $0.5 million was due in each of 2015 and 2016 respectively.
In April 2015, the Company finalized an amending agreement with A&S related to the sale of the San Jorge project. By making an advance payment of $1.3 million under this amended agreement, A&S have the right to acquire a 100% interest in MSJ and, effective on payment, exercise control over MSJ. As a result, effective May 1, 2015, the Company deconsolidated MSJ and recognized a non-cash loss on deconsolidation of $97,954.
The legal acquisition of MSJ by A&S is subject to the approval of both Franco Nevada, the underlying owner of MSJ, and the Argentinean authorities, which will be sought prior to the completion of the legal acquisition. Coro will retain a 2% net smelter return royalty ("NSR") on production from the property, other than gold, in the event that A&S develop the project.
At December 31, 2014, the Company recognized an impairment loss of $12.3 million reducing the carrying value of the San Jorge project to $1.3 million.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
4 Nora plant acquisition
On August 12, 2015, SCMB completed the acquisition of the Nora SXEW plant and assumed a restoration liability. The Nora plant was acquired from a local company in bankruptcy administration for cash consideration of $3.3 million.
Purchase price
The purchase price was calculated as follows:
| $000’s | | |
|---|---|---|
| Cash | | 3,252 |
| Transaction costs | | 45 |
| | Transaction costs | |
| | Total purchase consideration | 3,297 |
The purchase price was allocated as follows:
| $000’s | | |
|---|---|---|
| Nora plant (note 7) | | 4,583 |
| Restoration provision | | (1,286) |
| | Restoration provision | |
| | | 3,297 |
5 Accounts receivable and prepaid expenses
Until October 1, 2015, the Company had been fully providing for Chilean value added taxes ("IVA"). With the acquisition of the Nora plant and the ability to recover IVA via sales starting in early 2016, the Company no longer provides for the IVA receivable of SCMB.
6 Inventories
Details are as follows:
Copper in circuit and finished goods inventories are recorded at net realizable value as the costs of production in 2015 exceeded the net realizable value of material produced.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
7 Property, plant and equipment
| $000’s | | Mineral | Nora plant | | Other | | Capital work in progress | | |
|---|---|---|---|---|---|---|---|---|---|
| | | property and | | | | | | | |
| | | mine | | | | | | apital work | |
| | | development | | Nora plant | | Other | | in progress | Total |
| Cost | | | | | | | | | |
| | January 1, 2015 | - | | - | | 235 | | - | 235 |
| | Deconsolidation (note 3) | - | | - | | (84) | | - | (84) |
| | Disposals | - | | - | | (33) | | - | (33) |
| | Transfer from E&E assets (note 8) | 6,203 | | - | | - | | - | 6,203 |
| | Acquisition (note 4) | - | | 4,583 | | - | | - | 4,583 |
| | Additions | 630 | | 3,508 | | 9 | | 28 | 4,175 |
| December 31, 2015 | | 6,833 | | 8,091 | | 127 | | 28 | 15,079 |
| Accumulated depreciation | | | | | | | | | |
| | Accumulated depreciation | | | | | | | | |
| | January 1, 2015 | - | | - | | (172) | | - | (172) |
| | Deconsolidation | - | | - | | 51 | | - | 51 |
| | Disposals | - | | - | | 21 | | - | 21 |
| | Depreciation expense | - | | - | | (11) | | - | (11) |
| December 31, 2015 | | - | | - | | (111) | | - | (111) |
| | Net book value | | | | | | | | |
| | January 1, 2015 | - | | - | | 63 | | - | 63 |
| December 31, 2015 | | 6,833 | | 8,091 | | 16 | | 28 | 14,968 |
Mineral property and mine development costs
The costs associated with the Berta deposit in Chile have been capitalized since January 2013 and were recorded as exploration and evaluation assets until the fourth quarter when they were reclassified to Mineral property and mine development costs. During the fourth quarter, the Company had substantively completed the refurbishment and remediation of the Nora plant. As a result of these factors, combined with the development decision from the Board of Directors and the availability of financing, the Berta Project transitioned from an exploration and evaluation asset under IFRS 6 to mineral properties, plant and equipment under IAS 16.
At the time of the transition from exploration and evaluation to mineral properties, plant and equipment, the Company completed an impairment test as required by IFRS 6. The impairment test compared the carrying amount of the Berta Project to its recoverable amount. The recoverable amount is the higher of the fair value less costs of disposal and value in use. The Company estimated the recoverable amount based on the fair value less costs of disposal using a discounted cash flow model based on the Company's Updated Preliminary Economic Assessment. The significant assumptions that impact the resulting fair value include future copper prices, exchange rates, capital cost estimates, operating cost estimates, estimated reserves and resources and the discount rate. Upon completion of the impairment test, the Company concluded there was no impairment.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
7 Property, plant and equipment (continued)
During 2015, SCMB completed the acquisition of the Berta property. Prior to 2015, a total of $1.75 million in option payments were made and SCMB agreed to pay deferred consideration of $2.25 million (note 10).
Nora plant
Prior to SCMB's acquisition of the Nora plant, the previous owners were issued with a stop-work order by the Chilean Mining Authority which required certain remediation and refurbishment work to be undertaken prior to the plant being restarted. Additions for the period subsequent to acquisition include remediation, refurbishment and start-up costs of $1.85 million; Gensets and other additions of $1.01 million and capitalized interest and financing charges of $0.65 million. At December 31, 2015, the Nora plant remained in the commissioning phase.
Other property, plant and equipment at December 31, 2014 of $63,000 consisted of vehicles and office equipment.
8 Exploration and evaluation assets
| $000’s | | Berta | Prat | Total |
|---|---|---|---|---|
| | Balance – January 1, 2014 | 1,749 | | |
| Environmental | | 109 | | |
| Geology | | 53 | | |
| Miscellaneous development costs | | 831 | | |
| | Miscellaneous development costs | | | |
| | Property acquisition costs | 250 | | |
| | Share-based compensation | 14 | | |
| | Balance – December 31, 2014(1) | 3,006 | | |
| Environmental | | 5 | | |
| Geology | | 398 | | |
| Miscellaneous development costs | | 541 | | |
| | Miscellaneous development costs | | | |
| | Property acquisition costs | 2,250 | | |
| | Share-based compensation | 3 | | |
| | Reclassified to property, plant and equipment (note 7) | (6,203) | | |
| | Balance – December 31, 2015 | - | | |
(1) Included within exploration and evaluation assets for December 31, 2014 was $1.3 million for San Jorge (note 3).
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
8 Exploration and evaluation assets (continued)
Planta Prat, Chile
In August 2014, the Company signed an agreement to acquire an interest in a SXEW agitation leach plant in the II Region of Chile. Coro may earn a 51% interest by paying total consideration of $150,000 ($10,000 paid; $40,000 in February 2015 (subsequently deferred and paid in April 2015 and increased to $50,000); and $100,000 on completing a plant expansion). In addition to the cash payments to earn it's 51% interest, Coro must expand the plant to 1,200 tonnes per year ("tpy") capacity (by August 2017); Coro may earn an additional 14% interest (for a total interest of 65%) upon commencement of commercial production which is defined as 80% of 1,200 tpy copper annual production rate for 60 consecutive days.
The exercise of the Prat option is dependent upon discovering sufficient resources in the area to justify an investment decision.
9 Accounts payable and accrued liabilities
10 Other debt
a) Short-term loan
In December 2015, SCMB entered into a copper off-take contract for 100% of the copper production from the Nora Plant for a period of nine months. The off-take agreement provides for the sale of copper cathode at the monthly average LME or Comex copper price for either the month of delivery or the month following the month of delivery at the discretion of the purchaser. The agreement also provides for an immediate advance of $0.6 million repayable in six months from the borrowing date, bearing interest at a rate of one-month LIBOR plus 6% per annum.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
10 Other debt (continued)
b) Berta deferred consideration
Under the amended Berta option agreement (April 2013), SCMB paid $1.75 million in options payments prior to exercising its option and agreeing to pay $2.25 million in deferred consideration in eight quarterly instalments commencing in August 2015 plus interest at the rate of LIBOR on the outstanding balance. In addition to the deferred consideration, a 1.5% NSR is payable on all copper production and by product metal production from the Berta property. During the year, the Company paid $0.6 million and $1.7 million remains outstanding at December 31, 2015.
c) ProPipe shareholder loan
Subsequent to December 31, 2014, ProPipe repaid the $0.25 million promissory note due under the September 2014 Memorandum of Understanding to provide $15 million of debt financing for the development of the Berta project. The current outstanding balance shall be paid to ProPipe on a preferential basis out of the cash flow from SCMB.
11 Convertible debenture
In June 2015, the Company announced a financing package consisting of a convertible debenture and an equity private placement with Greenstone Resources L.P. ("Greenstone"). The convertible debenture is comprised of two tranches, of $5.1 million ("Tranche 1") and $1.4 million ("Tranche 2") repayable on the date that is 350 days after the draw date of each tranche. The Company closed Tranche 1 on August 7, 2015 which requires the repayment of $6.375 million on or before July 22, 2016 and closed Tranche 2 on November 27, 2015 which requires the repayment of $1.75 million on or before November 11, 2016. In the event that the amounts are not repaid in full in cash, any unpaid amounts will be converted into common shares of Coro at a conversion price of CA$0.04 per share. Tranche 1 and Tranche 2 require repayments of $6.375 million and $1.75 million respectively, resulting in an effective interest rate of approximately 25%.
During 2015, the Company capitalized non-cash interest and finance charges of $566,096 to the Nora plant.
The conversion features in Tranche 1 and Tranche 2 represent embedded derivatives as the Company will be required to deliver a variable number of its own shares (priced at CA$0.04 per share) in exchange for a fixed amount of U.S. dollars. These derivatives are of nominal value.
The financing package also includes an equity component for Greenstone to purchase up to 79,800,000 common shares of the Company at a price of CA$0.04 per share (note 14).
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
12 Finance leases
Included in property, plant and equipment are generators acquired pursuant to a lease agreement in September 2015. The lease agreement terminates in December 2016. The generators are the security for the indebtedness. The generator leases required an initial deposit of $77,141 with the balance due in twelve monthly payments of $57,856 commencing in January 2016. The finance lease has an implied interest rate of 3.59%.
| $000’s | | 2015 |
|---|---|---|
| 2016 lease payment | | 676 |
| Total lease payments | | 676 |
| Less: interest portion | | 13 |
| Present value of capital lease obligations | | 663 |
| | Present value of capital lease obligations | |
| | | 663 |
The cost of the generators held under the finance lease is equal to the lower of the net present value of the minimum lease payments or the fair value of the leased property at the inception of the lease and is amortized over the term of the lease, except when there is a reasonable certainty that the leased assets will be purchased at the end of the lease, in which case they are amortized over the continued use of the assets.
13 Restoration provision
The Company's restoration provision consists primarily of costs associated with reclamation and closure activities for the Nora plant. These activities include costs for disposition of chemical materials, earthworks, and the dismantling and demolition of structures. In calculating the present value of the restoration provisions as at December 31, 2015, management used a risk-free rate of 1.2% and an inflation rate of 0.7%. The undiscounted cash flows, before inflation adjustments, estimated to settle the restoration provisions approximate the discounted cash flows. Due to the nature of closure plans, cash expenditures are expected to occur over a significant period of time with the majority of the expenditures expected to occur in seven to eight years.
No guarantee or deposit in respect of the restoration provision had been submitted as of December 31, 2015 as the final closure plan for Nora was only approved subsequent to year end. Details of the restoration provision are as follows:
| $000’s | | 2015 |
|---|---|---|
| Balance, beginning of year | | - |
| Nora acquisition provision (note 4) | | 1,286 |
| Reclamation spending | | - |
| Accretion expense | | 5 |
| Balance, end of year | | 1,291 |
| Less: current portion | | - |
| | Less: current portion | |
| | Non-current portion | 1,291 |
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
14 Common shares
Authorized
The Company has an unlimited number of authorized common shares without par value.
Issued
On January 22, 2014, the Company closed the second tranche of a non-brokered private placement and issued 10,250,000 Units at a price of CA$0.10 per Unit for gross proceeds of CA$1,025,000. Each Unit comprised one common share of the Company and one half of a common share purchase warrant. The warrants are exercisable at a price of CA$0.15 until January 22, 2017. The warrants will be subject to a forced exercise provision after one year in the event the volume weighted average trading price of the Company's common shares is greater than or equal to CA$0.30 for 20 consecutive trading days.
On February 9, 2016, the Company announced the closing of the equity private placement financing with Greenstone, whereby Greenstone purchased 79,800,000 Coro common shares at a price of CA$0.04 for gross of CA$3.192 million. Effective with this transaction, Greenstone owns 33% of the issued and outstanding common shares of the Company.
Capital risk management
The Company considers its components of shareholders' equity as capital. As the Company is in the development stage, its principal source of funds is from the issuance of common shares. It is the Company's objective to safeguard its ability to continue as a going concern, so that it can continue to explore and develop its projects for the benefit of its stakeholders.
15 Share stock options and warrants
Options
The Company has a stock option plan that permits the granting of stock options to directors, officers, key employees and consultants. Terms and pricing of options are determined in accordance with the plan. A total of 10% of the issued and outstanding common shares of the Company may be allotted and reserved for issuance under the stock option plan.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
15 Share stock options and warrants (continued)
At December 31, 2015, the following stock options were outstanding:
In January 2014, the Company granted 3,800,000 options at CA$0.10 with a fair value of CA$247,734. In July 2015, the Company granted 500,000 options at CA$0.04. The majority of stock options vest over a two or three year period. In February 2016, the Company granted 11,750,000 options at CA$0.04.
The following assumptions were used in the Black-Scholes option pricing model to calculate the compensation expense for options and the fair value of warrants:
0%
For the year ended December 31, 2015, total share-based compensation expense was $33,250 (2014: $204,180) of which $5,248 (2014: $14,463) was capitalized.
Warrants
At December 31, 2015, warrants outstanding were as follows:
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
16 Non-controlling interest
Under the SCMB Amended Shareholders Agreement, ProPipe S.A. ("ProPipe") have a 35% interest (2014: 18%) in SCMB. ProPipe earned its interest by completing various milestones in the development of the Berta Project. The increase in ProPipe's ownership during 2015 did not result in a loss of control of the subsidiary and therefore is considered an equity transaction. As a result, the Company recognized an additional noncontrolling interest of $530,489 (2014: $145,287) upon the additional 17% (2014: 5%) interest being earned.
The following table summarizes select SCMB financial information for the years ended December 31, 2015 and 2014:
17 Exploration expenditures
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
17 Exploration expenditures (continued)
Marimaca, Chile: - In August 2014, the Company entered into an agreement to acquire up to a 75% interest in the Marimaca copper oxide prospect for $175,000 ($10,000 paid; $40,000 in February 2015 (subsequently deferred and paid in April 2015 and increased to $50,000); $125,000 on completion of an NI 43-101 compliant resource estimate and engineering study that demonstrates the technical and economic feasibility of producing a minimum of 1,500tpy of copper cathode by August 2018. Coro may acquire a further 24% interest by obtaining project construction finance. The owner of the property will maintain a 25% interest with a 15% interest free carried to commercial production and a 10% participating interest that is subject to dilution.
Celeste, Chile: - The 100% owned Celeste property includes the Celeste Sur iron ore project located in the III Region of Chile.
El Desesperado ("El Des"), Chile; - The property option agreement this was terminated in April 2014.
General, Chile
General exploration activity in Chile includes other property evaluation and exploration costs. It also includes costs associated with the wholly owned, Llancahue and Talca properties.
In March 2015, the Company sold its 1.5% NSR on the previously disposed of Chacay claims for CA$200,000.
In November 2014, the Company signed an option agreement with Minera Peñoles de Chile Ltda ("Peñoles"), a subsidiary of a Mexican mining company, Industrias Peñoles SAB de CV, for the latter to acquire a 70% interest in Coro's Llancahue project, in the VII Region of Chile. To acquire its 70% interest in the project, Peñoles must make $6 million in payments as follows; $150,000 on signing (paid); $200,000 on or before 12 months from signing (paid); $250,000 on or before 24 months from signing; $300,000 on or before 36 months from signing; $400,000 on or before 48 months from signing; and $4.7 million on or before 60 months from signing.
In addition, on or before November 5, 2019, Peñoles must complete an NI 43-101 compliant resource estimate at its sole cost. If Coro's interest falls to 10%, it immediately converts to a 2.5% NSR. Peñoles has a one-time right to acquire Coro's 30% interest for $6 million plus a 1.5% NSR within 90 days of exercising its option to acquire 70%.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
18 Income taxes
The significant components of the Company's deferred income tax asset (liability) are as follows:
The Company has incurred non-capital losses that may be carried forward and used to reduce taxable income of future years in the countries indicated. The Company has tax losses of $5.9 million and $19.9 million, in Canada and Chile respectively that expire after 2027.
19 Related party transactions
The Company considers the Executive Directors and Officers of the Company to be key management personnel.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
20 Geographic information
The Company operates in a single operating segment, mineral exploration and development. The following table provides geographic information about the Company's assets and operations:
21 Financial instruments
Financial instruments include cash and any contracts that give rise to a financial asset to one party and a financial liability or equity instrument to another party. As at December 31, 2015, the Company's carrying values of cash and cash equivalents, accounts receivable, and convertible debenture approximate their fair values due to their short term to maturity.
The fair value of the Company's accounts payable and accrued liabilities may be significantly lower than the carrying value given the Company's going concern uncertainty and the fair value is not readily determinable. The three levels of the fair value hierarchy are:
Level 1 – Unadjusted quoted prices in active markets for identical assets or liabilities;
Level 2 – Inputs other than quoted prices that are observable for the asset or liability either directly or indirectly; and
Level 3 – Inputs that are not based on observable market data.
At December 31, 2015, the Company's financial instruments measured at fair value on a recurring basis were the held-for-trading investment in Bearing Resources Ltd. shares (classified as "Level 1").
Credit risk
Financial instruments that potentially subject the Company to credit risk consist of cash and cash equivalents and accounts receivable. The Company deposits cash and cash equivalents with high credit quality financial institutions as determined by rating agencies.
Currency risk
The Company is subject to currency risk on financial instruments which are denominated in currencies that are not the same as the functional currency of the entity that holds them. Exchange gains and losses would impact profit or loss.
Notes to the Consolidated Financial Statements
For the years ended December 31, 2015 and 2014
(Expressed in U.S. dollars, except where indicated)
21 Financial instruments (continued)
The Company's significant subsidiaries are located in Chile and the parent company is in Canada. As a result a portion of the Company's accounts receivable, accounts payable and accruals are denominated in the Chilean Peso and Canadian Dollars and are therefore subject to fluctuation in exchange rates.
As the Company's parent company functional currency is the Canadian dollar, a 100 basis point (one per cent) increase-strengthening (decrease-weakening) in the U.S. dollar at period end would have resulted in the net loss being $70,000 higher (a greater loss) ($70,000 lower).
Interest rate risk
The Company was exposed to interest rate risk on cash and cash equivalents held as at December 31, 2015. A 100 basis point (1%) increase or decrease in the interest rate would have resulted in approximately a $1,820 change in the Company's reported loss for the period ended December 31, 2015 based on average cash holdings during the year.
The Company is also subject to interest rate risk with respect to its short term loan and the deferred consideration on Berta. A 100 basis point (1%) increase or decrease in the interest rate would not result in a significant change to the Company's reported loss for the period ended December 31, 2015.
Liquidity risk
Liquidity risk is the risk that an entity will encounter difficulty in meeting obligations associated with its financial liabilities. The Company is reliant upon equity issuances as its sole source of cash. The Company manages liquidity risk by maintaining an adequate level of cash and cash equivalents to meet its ongoing obligations.
The Company continuously reviews its actual expenditures and forecast cash flows and matches the maturity dates of its cash equivalents to capital and operating needs. For further information related to liquidity refer to note 1.
22 Commitments
The following table sets out the commitments of the Company as of December 31, 2015 and does not consider any subsequent events.
|
ORIGINAL ARTICLES
Pain Management in Ambulatory Surgery
Damon Kamming, BSc(Hons), MBChB, FRCA Frances Chung, FRCPC Donna Williams, RN Brid M. McGrath, FFARCSI, FRCA Bruna Curti, RN, BScN
Successful ambulatory surgery is dependent on analgesia that is effective, has minimal adverse effects, and can be safely managed by the patient at home after discharge. A number of studies have identified that the provision of effective postoperative analgesia is inadequate for a significant proportion of patients. The following discussion details the current available analgesic options for ambulatory surgery patients and the rationale for their use. Preemptive analgesia should be given to all patients unless there are specific contraindications. Consideration should be given to the use of longacting oral COX-2 selective nonsteroidal anti-inflammatory drugs (NSAIDs) and long-acting oral opioids to treat postoperative pain. A standardized multimodal postdischarge analgesic regimen tailored to the patient's expected postoperative pain levels should be prescribed. Patient follow-up by telephone questionnaire will confirm those surgical procedures that result in mild or moderate-to-severe postoperative pain and the effectiveness of treatment plans.
© 2004 by American Society of PeriAnesthesia Nurses.
Damon Kamming, BSc(Hons), MBChB, FRCA, is a Specialist Registrar in Anaesthesia at the University College Hospitals NHS Trust in London, United Kingdom; Frances Chung, FRCPC, is a Professor in the Department of Anesthesia at the University of Toronto and Medical Director of Ambulatory Surgical Unit at Toronto Western Hospital in Toronto, Canada; Donna Williams, RN, is the Clinical Nurse Educator of Ambulatory Surgery and PACU at Toronto Western Hospital in Toronto, Canada; Brid Mary McGrath, FFARCSI, FRCA, is a Consultant Anaesthetist at Norfolk and Norwich University Hospital NHS Trust in Norwich, United Kingdom; and Bruna Curti, RN, BScN, is the Care Leader of the Medical/Surgical Day Unit at Toronto Western Hospital in Toronto, Canada. Address correspondence to Damon Kamming BSc(Hons) MBChB, FRCA, 190 Regents Park Road, London NW1 8XP, United Kingdom; e-mail address: firstname.lastname@example.org. © 2004 by American Society of PeriAnesthesia Nurses. 1089-9472/04/1903-0007$30.00/0 doi:10.1016/j.jopan.2004.03.001
SEVENTY PERCENT OF all surgical procedures in North America are now performed on an ambulatory basis. 1 This is likely due to a combination of economic forces, improved anesthetic and surgical techniques, and better coordinated preoperative planning. Successful ambulatory surgery is dependent on providing effective analgesia that produces minimal adverse effects, such as nausea and vomiting, and can be easily managed after the patient is discharged from the surgical center. 2
The management of postoperative pain following ambulatory surgery has been noted to be inadequate in a number of studies. 3-7 Pain is the most common reason for delayed discharge 8 and for
contacting the family physician after discharge from the hospital. 9 Inadequate pain control is the main reason for unanticipated hospital re-admission following discharge. 10,11 The introduction of government-mandated standards for pain management has reflected these findings.
The Joint Commission on Accreditation of Healthcare Organizations (JCAHO) issued pain standards in January of 2000 that apply to all JCAHO-accredited hospitals and ambulatory centers in the United States, thus emphasizing the importance of pain management for patients, health care providers, and institutions. 12 Therefore, the continuing success of ambulatory surgery will depend on the successful implementation of postoperative pain management strategies. The evidence-based options for ambulatory pain management are reviewed here to enable health care professionals to make appropriate analgesia choices for their patients.
Incidence and Severity of Pain Following Ambulatory Surgery
Recent studies have challenged the commonly held belief that patients experience merely mild pain after discharge following ambulatory surgery. The incidence of moderate-to-severe postoperative pain after discharge following ambulatory surgery has been reported as 21% in the United Kingdom 5 and ranging from 31% 13 to 40% 4 in North America. Most disturbing is that this moderate-to-severe pain can last for up to a week after surgery. 3,4 Despite this, patients in moderate-to-severe pain after discharge express satisfaction with their care. 14
Patient satisfaction with pain management is a complex subject and is often related to communication issues, reluctance of patients to report pain, and the belief that pain is an inevitable consequence of surgery. 4 In the United Kingdom, a survey revealed that almost 50% of patients would tolerate pain after surgery rather than "complain" about it to their caregivers. 14 It is of interest that patients ranked pain in the top three most undesirable outcomes after ambula- tory surgery. 15,16 Therefore, it is important for clinicians to realize that patients' reports of satisfaction with their postoperative pain management after discharge do not necessarily mean that they are experiencing well-controlled pain during their recovery.
The Problem With Pain
In the pediatric and adult populations, postoperative pain is associated with increased postoperative nausea and vomiting (PONV). 17,18 As the age of patients having ambulatory surgery increases, the potential for severe pathophysiological changes increases. Pain is particularly harmful in older adults with underlying chronic conditions such as ischemic heart disease and hypertension. 19 Persistent pain after discharge following ambulatory surgery has numerous adverse effects. Beyond discomfort and suffering, patients may experience sleep deprivation and delayed return to normal functioning. 19 Inadequately treated and persistent postoperative pain may also progress to chronic pain. 19,20 For example, this has been shown to occur following inguinal hernia repair where the incidence of chronic pain has been reported to be as high as 12%. 20
Identifying Painful Procedures
Pain is a personal experience and must be measured objectively to adequately assess its severity and duration. 19 The visual analogue scale (VAS) and numerical pain rating scale have been validated for measuring pain intensity. 19 It is imperative that patients be taught how to use these self-report pain-rating tools before surgery when they are awake and best able to understand instructions.
In addition to proper assessment, an important first step in managing postoperative pain more effectively is to identify the procedures most likely to result in considerable pain. Being able to predict patients at risk for significant postoperative pain makes it possible to develop an effective preoperative, intraoperative, and postoperative pain management strategy that is tailored specifically to the age and physical condition of the patient, and the nature of the surgery.
Research by Chung and McGrath 13 noted that 29% of ambulatory surgery patients were suffering moderate-to-severe pain 24 hours after surgery. The ambulatory procedures most likely to result in moderate-to-severe postoperative pain were identified and ranked according to severity of pain intensity (pain rated 3 or higher on the 0 to 10 VAS). The most painful ambulatory procedures in descending order from highest to lowest pain intensity score were: 1) lumbar microdiscectomy, 2) laparoscopic cholecystectomy, 3) shoulder, 4) elbow and hand, 5) knee, 6) ankle, and 7) inguinal hernia surgery.
General and Regional Anesthesia
The choice of anesthetic technique depends on patient and surgical factors. All general and regional anesthesia techniques have both advantages and disadvantages. The main disadvantages of general anesthesia are the high incidence of PONV and moderate-to-severe postoperative pain, which may delay discharge home. 7
Regional anesthesia uses local anesthetics that inhibit the transmission of neural impulses by reversibly inhibiting sodium channels in pain fibers. The main disadvantage of regional anesthesia is that it is very time-sensitive. Planning is crucial because regional blocks take a longer time to take effect than general anesthetics, although competitive discharge times and costs compared with general anesthesia have been demonstrated. 21
Regional anesthesia may be used as the sole anesthetic technique or in combination with general anesthesia to provide intraoperative and postoperative analgesia. The use of upper and lower limb peripheral nerve blocks provides excellent analgesia with minimal adverse effects such as PONV. Peripheral nerve blocks have enabled major shoulder and knee reconstructions to be performed on an ambulatory basis. The postoperative analgesia from a peripheral block can be extended for up to 72 hours postoperatively by using peripheral nerve catheters and local anesthetic infusions from elastomeric pumps. 22
Studies comparing patients having ambulatory arthroscopic shoulder surgery demonstrated that 8% of the patients who received general anesthesia without an interscalene block required unanticipated hospital admission overnight because of severe pain; none of the patients who received an interscalene block required an overnight stay. 23,24 Klein and colleagues 25 demonstrated that even with an insensate extremity after a block, patients could be safely discharged home. It is important to recognize that approximately 20% of these patients may require oral opioid analgesia for up to 7 days postoperatively, emphasizing the need to anticipate and adequately prescribe analgesics for moderate-to-severe pain following discharge.
Neuraxial techniques remain an alternative to general anesthesia. Small-dose selective lidocaine spinal anesthesia has been compared with desflurane general anesthesia for outpatient laparoscopy and found to provide equally rapid recovery with less analgesic requirements. 26 The advantages of neuraxial techniques are the avoidance of the risks of general anesthesia, improved analgesia, and a much-reduced requirement for postoperative opioids for pain relief and, thus, a reduced tendency for PONV. 27 The potential disadvantages of this technique include the time required to perform and await the onset of the block, and neurological complications including postdural puncture headaches and the rare, but devastating, risk of spinal hematoma or infection.
Other regional anesthetic techniques appropriate for ambulatory surgery include peribulbar, retrobulbar, and topical anesthesia for ocular surgery, and intravenous regional anesthesia (IVRA) for short-duration (less than 45 minutes) surgery on the distal extremities such as carpal tunnel release and excision of ganglia.
Preemptive Analgesia
Pain is produced by several different mechanisms with many different mediators. These mechanisms are inducible and once induced, the inflammatory process and sensation of pain are increased. The administration of analgesia before surgery (preemptively) may be effective in reducing the postoperative pain from surgery by preventing the peripheral and central sensitization caused initially by surgical incision and later by inflammatory injury.
There are studies that support the effectiveness of preemptive analgesia. 28 However, an extensive meta-analysis by Moiniche and colleagues concluded that there was a lack of evidence for preemptive treatment with NSAIDs, intravenous (IV) opioids, IV ketamine, peripheral local anesthetics, and caudal analgesia. 29 The effectiveness of preemptive analgesia is likely to remain a controversial issue for some time. Despite this, the preoperative administration of nonopioid analgesia, such as NSAIDs, ketamine, and local anesthetics, prior to surgical incision is an important component in reducing postoperative pain scores and analgesic requirements in the first 24 hours after discharge. 30
Multimodal Analgesia
Combinations of analgesics that act by different mechanisms result in additive or synergistic analgesia, allowing lower total doses of each of the drugs, thereby reducing adverse effects. A multimodal analgesic technique combines drugs, such as an opioid, NSAID, acetaminophen, and local anesthetic, which act on different targets of nociceptive pain transmission. The combination of these drugs is superior to any modality alone, and the technique is highly recommended. 31 Clinical trials have demonstrated a reduction in postoperative opioid analgesic requirements by up to 40% when acetaminophen and NSAIDs are coadministered perioperatively. 32,33
Acetaminophen
Acetaminophen (also known as paracetamol in some parts of the world) is the most commonly used oral analgesic and antipyretic worldwide because it is cheap and effective for mild pain and has a low adverse effect profile when the recommended daily dose is not exceeded. Acetaminophen functions by blocking prostaglandin synthesis; however, unlike NSAIDs, it does not irritate the gastric mucosa, affect platelet function, or cause renal insufficiency. It continues to be underused in ambulatory surgery in North America as an adjuvant to NSAIDs and local anesthetics.
Acetaminophen has a significant opioid-sparing effect, which has been demonstrated in preoperative rectal doses of 40 mg/kg in pediatric surgery. 33 The recommended rectal dose (single preoperative dose up to 60 mg/kg) is higher than the recommended oral dose (15 mg/kg every 6 hours to a maximum of 75 mg/kg in a 24-hour period) because of unreliable absorption in the suppository form. 34 In children, a loading rectal dose of 60 mg/kg is currently recommended to a maximum of 90 mg/kg rectally in a 24-hour period to maintain therapeutic plasma concentrations. 35,36 The rectal route is preferred to avoid the problem of delayed gastric emptying or vomiting after opioid intake. The maximum adult oral dose is 4 g over a 24-hour time period.
Acetaminophen is also available in combination with opioids for postoperative analgesia. It is combined with codeine in North America (Tylenol #3, Ortho McNeil, Raritan, NJ), dextropropoxyphene (co-proximol) in the United Kingdom, and propoxyphene (Darvon, Darvocet, Eli Lilly, Indianapolis, IN), hydrocodone (Vicodan, Abbott, Abbott Park, IL; Lortab, UCB Pharma, Smyrna, GA), and oxycodone (Percocet, Endo Pharmaceuticals, Chadds Ford, PA; Tylox, Ortho McNeil, Raritan, NJ; Roxicet, Boehringer Ingelheim Pharmaceuticals Inc. Canada, Burlington, Ontario) in the United States. Caution is recommended in the use of nonopioid–opioid formulations. The ceiling on the recommended daily dose of nonopioid limits the usefulness of combination drugs to the treatment of short-term mild-to-moderate pain
only. 19 Propoxyphene and its metabolite, norpropoxyphene, can also accumulate with repetitive dosing and produce pulmonary edema and cardiotoxicity. Although it continues to be widely prescribed in the United States, propoxyphene is considered appropriate only for short-term mild, intermittent pain. 19
NSAIDs
The 1992 Agency for Health Care Policy and Research (AHCPR) acute pain clinical practice guideline recommends that, unless contraindicated, all patients with postoperative pain should be given an NSAID. 37 In 1998, the Royal College of Anaesthetists in the United Kingdom issued similar guidelines for the use of NSAIDs in the perioperative period. On the basis of the strongest evidence available it stated, "In situations where there are no contraindications, NSAIDs are the drug of choice after day case procedures." The traditional NSAIDs, called nonselective NSAIDs, have significant gastrointestinal (GI), hematological, and renal adverse effects mediated through inhibition of the isoenzyme cyclooxygenase-1 (COX-1). Examples of nonselective NSAIDs are aspirin, ibuprofen, naproxen, indomethacin, and ketorolac.
Relatively new to the family of NSAIDs are the cyclooxygenase-2 (COX-2)-selective NSAIDs, sometimes called COX-2-selective inhibitors. Under normal physiological conditions, minimal COX-2 is expressed; however, the inflammatory response induces COX-2 expression. This expression is partly responsible for the pain the patient experiences postoperatively after discharge to home. 38
Three oral forms of COX-2-selective NSAIDs are currently available: rofecoxib (Vioxx, Merck, West Point, PA), celecoxib (Celebrex, Pfizer, New York), and valdecoxib (Bextra, Pfizer, New York). All appear to be as effective as nonselective NSAIDs in suppressing inflammation and providing analgesia for ambulatory surgery 39 with less risk of GI toxicity. The incidence of endoscopy verified ulcers with these drugs is reduced to levels similar to those seen with placebo. 40 Another significant advantage of the COX-2-selective NSAIDs over the nonselective NSAIDs in the perioperative patient is that they do not impair platelet function or increase bleeding time. 41 Rofecoxib (50 mg), taken 1 hour before ambulatory arthroscopic knee surgery, was compared with the same dose following surgery in a placebo-controlled study. 42 The patients who took rofecoxib 1 hour before surgery were found to have a longer duration of pain relief, decreased opioid use, and lower pain scores compared with the same dose taken after surgery.
A long-acting injectable IV formulation of a COX-2-selective NSAID, known as parecoxib, is available in the United Kingdom and Canada and is undergoing trials at this time in the United States. Parecoxib is hydrolyzed enzymatically to the active drug valdecoxib (which is available in tablet form). Both oral valdecoxib and IV parecoxib have been reviewed, and they were found to be effective treatments for acute postoperative pain in ambulatory surgery. 43 The IV preparation is particularly useful in the immediate postoperative period when patients are unable to take oral medication or are suffering from PONV.
Opioids
Postoperative pain control is started intraoperatively by supplementing general anesthesia with short-acting opioids, such as fentanyl. In the PACU, IV fentanyl or morphine can be used for moderate-to-severe pain. No difference in adverse effects was noted between IV morphine and IV fentanyl in the PACU setting; however, the incidence of nausea and vomiting in those patients who received morphine increased significantly on the trip home. 44 It is prudent, therefore, to consider using fentanyl for severe postoperative pain in the PACU in view of its ease of titration and rapid onset (3 to 5 minutes) compared with morphine (8 to 30 minutes).
In addition to appropriate IV opioid titration, a long-acting oral opioid should be considered for surgery which is likely to result in moderate-tosevere postoperative pain after discharge. The operating room anesthesiologist, who administers both intraoperative and immediate postoperative analgesia, can prescribe oral controlledrelease oxycodone (OxyContin, Purdue Frederick, Stamford, CT) for patients having surgery known to produce significant postoperative pain. Controlled-release oxycodone has been demonstrated to provide analgesia that takes approximately 45 minutes to take effect and has a 12-hour duration of analgesic action. This allows a simple twice-daily dosing schedule ensuring better compliance and improved sleep after discharge. 45 Controlled-release oxycodone has high bioavailability because it does not undergo extensive first-pass metabolism and has a consistent absorption profile. 46,47 Comparison studies showed that controlled-release oxycodone has a better adverse effect profile for some patients than controlled-release morphine, with a tendency toward less nausea, vomiting, and pruritus. 48 Unlike codeine, oxycodone does not depend on a patient's genotype for its analgesic effect.
A study by Reuben and colleagues 49 demonstrated that 20 mg of controlled-release oxycodone given every 12 hours after ambulatory anterior cruciate ligament surgery provided superior analgesia with fewer adverse effects than "as required" immediate-release oxycodone in the first 3 postoperative days. All of the patients in this study also received an intraoperative dose of a short-acting NSAID. In a later study, Reuben and colleagues 50 randomized patients undergoing ambulatory laparoscopic tubal ligation to receive either 10 mg controlled-release oxycodone or placebo preoperatively. Those who received the preoperative dose of controlled-release oxycodone were found to have lower postoperative pain scores, reduced PONV, shorter time to discharge, and significantly reduced analgesic use after discharge home.
179
Every effort should be made to ensure that patients leave the hospital or surgery center with well-controlled pain and prescriptions for adequate and appropriate analgesics for the course of recovery. Patients should be told to take their opioid and nonopioid analgesics regularly "around-the-clock" initially rather than "as needed" (PRN). As pain subsides, the analgesics may then be tapered as appropriate.
Adverse effects of opioids include constipation, nausea, vomiting, sedation, and respiratory depression. Patients must be informed of these adverse effects, both verbally and in writing, and told what to do if they occur. They should also be told to prevent constipation by increasing their fluid, fruit, and fiber intake and by taking a laxative plus stool softener daily during opioid therapy.
Ketamine
There has been a recent resurgence of interest in the use of single low-dose ketamine (0.1 to 0.15 mg/kg) given toward the end of painful surgery. The use of this N-methyl D-aspartate (NMDA) receptor antagonist results in significant opioid-sparing effects that can be long lasting. 51-53 It is thought that ketamine protects the spinal cord from centrally mediated hyperalgesia in response to the peripheral noxious stimulation of surgery. Low doses make it possible to achieve this desirable analgesic outcome without the significant adverse effects, such as dissociation and hallucinations, which are reported with higher doses of ketamine.
A Pain Management Success Story
Preoperative Patient Education
The public often has misconceptions about pain and its treatment, such as fears about addiction and potential adverse effects. These misconceptions can lead to underdosing and poor compliance, which can result in significant postdischarge pain and the potential for the development of chronic pain. Postoperative pain is also associated with preoperative anxiety. Patient education has been shown to reduce anxiety and postoperative pain and have a major impact on patient satisfaction. 54 Patients should be educated preoperatively and provided with both verbal and written information on how their pain will be managed during the immediate postoperative period and how to manage their own pain after discharge to home.
Communication between patients and health care providers can influence the effectiveness of the pain management plan. The use of a simple pain assessment tool, such as the 0 to 10 VAS, helps the patient quantify pain intensity for the health care provider, who can then make appropriate decisions about the treatment plan. A preadmission program can initiate this process. The objective is to ensure patients have a clear understanding of the universal painrating scale. The preadmission period is also the ideal time to discuss the relationship between comfort and accomplishment of functional goals, such as deep breathing and ambulation. Frequent pain assessment and evaluation continue throughout the patient's perioperative stay, and interventions are implemented and the plan adjusted accordingly. The pain scale can also be incorporated into a postdischarge telephone interview to extend assessment and care of the patient's pain while at home.
Protocol-Based Analgesic Management
Analgesic protocols can be useful tools for standardizing pain management approaches and reducing variation in practice. Crews 55 described the use of a multimodal analgesic ladder for postoperative ambulatory surgery based on whether the patient was expected to have mild, moderate, or severe postoperative pain. The protocol proposes a standardized stepwise approach to pain management for ambulatory surgery and is based on the ubiquitous analgesic ladder of therapy for cancer pain developed by the World Health Organization.
Lopez and colleagues 56 demonstrated that a clinical guide for the treatment of postoperative pain based on Chung and McGrath's prediction of painful procedures 13 could be used to improve pain management. Eighty-six percent of patients who were cared for according to the guideline in this study rated their pain as less than 3 (per 0 to 10 VAS) after discharge.
At Toronto Western Hospital, nurses assess and administer preoperative medications (NSAIDs and acetaminophen) to all surgical patients who meet established criteria on the basis of a medical directive. For example, patients having surgery typically associated with significant postoperative pain are prescribed 1 g of acetaminophen and 500 mg of naproxen (unless specific contraindications are noted) 30 to 90 minutes preoperatively with a sip of water according to a standardized protocol. Patients having less extensive surgery are prescribed naproxen alone. The nurses working in the Ambulatory Surgery Unit, in conjunction with a surgeon's directive, administer acetaminophen plus oxycodone (Percocet) prior to inguinal hernia procedures. The incision site is infiltrated with local anesthetic (preemptively), and the inguinal hernia repair is performed under general anesthesia. A set of standardized postoperative orders provides the surgeon, anesthesiologist, and nurse with a broad range of analgesia options that incorporate medications discussed earlier, including controlled-release oxycodone (OxyContin).
Marquardt and Razis 57 reported that providing patients with discharge instructions that include protocols for ongoing maintenance analgesia and instructions on how to increase the analgesic dose for breakthrough pain resulted in improved pain control, mobilization, and sleep patterns for 72 hours postoperatively. Postoperative pain may be present for at least a week after ambulatory surgery; therefore, an adequate supply of multimodal analgesics should be supplied in appropriate tapering doses. 4
Future research at Toronto Western Hospital includes a randomized study to compare the efficacy of a prepackaged postoperative multimodal analgesic regimen compared with the standard practice of PRN analgesia for postdischarge pain control. The prepackaged regimen will be provided to patients undergoing ambulatory surgery which is known to result in significant pain following discharge from the hospital.
Patient Follow-Up
At Toronto Western Hospital, all patients are provided with a written pamphlet entitled "Managing Your Pain at Home Following Ambulatory Surgery." The pamphlet contains information specific to the patient's surgery and how to manage pain at home, including how to regulate analgesia and how, when, and where to seek emergency care if required. Following the outcomes of ambulatory patients by means of a postdischarge telephone interview using a standard questionnaire has improved the quality of ambulatory surgical services. The follow-up call also facilitates evaluation of the patient education provided and the collection of valuable feedback from the patients regarding their satisfaction about the care they received at the ambulatory surgery unit. This feedback is used to make changes and continually improve care. The postoperative telephone interview has also ensured that ambulatory surgery pa- tients are no longer "out of sight and out of mind" following discharge.
Recommendations
Ambulatory surgery departments should strive to standardize postdischarge analgesia regimens for all anticipated intensities of postoperative pain and provide clear instructions on how to take additional analgesics for breakthrough pain. It has been noted that postoperative pain may be present up to a week following specific types of ambulatory surgery. Therefore, an adequate supply of appropriate analgesics must be prescribed at discharge. 3 Patient follow-up after discharge with a standardized telephone questionnaire to screen for patient understanding of postoperative instructions related to analgesia is essential because it allows patients to communicate concerns regarding their care, and it monitors the effectiveness of pain treatment. The telephone questionnaire is not merely a tool to enable rigorous audit and quality control, but a mechanism that allows extended patient care. This approach has the potential to produce high patient satisfaction with pain management. This is of utmost importance because improved pain management is essential for the future development of ambulatory surgery.
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|
REPUBLIC OF KENYA
SIAYA COUNTY ASSEMBLY
THE HANSARD
Second County Assembly - Second Session
Friday, 20
th
April, 2018.
The House met at the County Assembly Chamber at 2.30 a.m.
[The Temporary Speaker (Hon. Madialo) in the Chair]
PRAYER
COMMUNICATION FROM THE CHAIR
RESPONSE FROM THE DEPARTMENT OF EDUCATION
Hon. Temporary Speaker (Hon. Madialo): Hon. Members, we have a response from the department of Education touching on the issue of Ward Bursary Committees and I wish to read the entire communication. It reads;
Following candid consultative meeting between the Department of Education, Youth Affairs, Gender and Social Services and the Honorable Members of the County Assembly on the Floor of the County Assembly of Siaya on 17 th April, 2018 and presided over by the Hon. Speaker, it was unanimously agreed that the Ward Administrators in consultation with the Members of the County Assembly office, within two weeks from this date to convene meeting of Ward Bursary Committee Members before the commencement of the vetting of applicants for 2018/19.
This is to vet and fill the vacant positions which have been occasioned by natural attrition, incompetence, resignation, lack of professionalism, biasness and among others order to restore public confidence in the performance of committee in line with chapter six of the Constitution of Kenya.
The process should be inclusive and that which endears public participation as enshrined in the Constitution and Siaya County Bursary Fund Act 2016. The Ward department should furnish the department with reports of reconstituted Ward Bursary Committee together with the minutes within the stipulated time frame.
Thank you very much for your continued support.
Members, I want to emphasize on vacant position which has been occasioned by natural attrition, incompetence, resignation, lack of professionalism and biasness. So you know what that entails, biasness includes political interventions. Now that is up to each individual Member and his or her Ward Administrator and how you relate with the Committee where they exist.
Number two, they are saying they want the minutes within the stipulated time frame which is two weeks. The letter is dated 18 th April, 2018 and so the chair directs that in a counter communication to the department of Education and our Table clerks should take note of this. Communicate to the executive that we are looking at two weeks as from 18 th April, 2018 not the day there was a meeting here. Members counting those 14 days please ensure that those names reach the chair in charge of Education, Hon. Adida so that we go on with the disbursement of bursaries.
MOTION REPORT OF THE PIAC
Hon. Temporary Speaker (Hon. Madialo): Hon. Members, Hon. Otiato, Member for East Yimbo had given notice of Motion of amendment to PIAC report. That Hon. Adida also gave a Motion to amend PAC's report which you want to discuss. Mheshimiwa, do you still want to go on?
Hon. Otiato: I am following the deliberation that we forwarded formally and I intend to withdraw as the same has been taken care of as we continue.
(Applause)
Hon. Temporary Speaker (Hon. Madialo): Thank you, Hon. Otiato. The chair will require the chair of PAC together with Hon. Otiato to see the Table clerk and point out which parts of the report were to be edited and in particular confine yourselves to the part mentioned under page 13 and 14 of the report. Now, we are proceeding with the debate interrupted yesterday.
Hon. Adala: Thank you, Mr. Temporary Speaker, Sir. The content of report as laid by PIC/PAC has got a lot of annexes that we are being referred to. So I would seek the indulgent of the Chair so that we get supplied with the annexes before we go on, or I be supplied with them.
Hon. Temporary Speaker (Hon. Madialo): Which specific annexes do you refer to, Hon. Adala?
Hon. Adala: I need all of them from Road, Health and Land as has been listed on this report.
Hon. Temporary Speaker (Hon. Madialo): And you believe that is practical?
Hon. Adala: My conscious tells me that it's very practical.
Hon. Temporary Speaker (Hon. Madialo): Were you in the House yesterday?
Hon. Adala: I was here the whole session.
Hon. Temporary Speaker the report?
(Hon. Madialo): Did you note that annexes were not part of
Hon. Adala: We raised the issue in the first sessions and we were told that they will be availed, and if my memory serves me right some of them were availed here. So I suggest that those that were availed yesterday can be supplied to me for reference.
Hon. Temporary Speaker (Hon. Madialo): Yes, Hon. Otiato. What is the problem? Hon. Otiato: Mr. Temporary Speaker, Sir, I think all the annexes are here, it is just a matter of the serjeant-at-Arms giving them out.
Hon. Temporary Speaker (Hon. Madialo): Hon. Adala, to the extent that the annexes are on the Table, you are out of Order! To the extent that movement around the House distributing the annexes will constitute disturbance of sitting, I rule that they will be accessed later, proceed.
Hon. Adala: Mr. Temporary Speaker, Sir, I respect your ruling whole heartedly and with all the due respect but if you give me the annexes after this then it will not help in reference.
Hon. Temporary Speaker (Hon. Madialo): Hon. Willis.
Hon. Ochieng': Mr. Temporary Speaker, Sir, I want to believe that these annexes have been here from yesterday and if the Hon. Members would have wished to go through them, he would have picked one and go with it home to check during the night. Right now, if you could give him a lee way to take one so that we can continue with the debate.
Hon. Temporary Speaker (Hon. Madialo): Hon. Willis, you are out of Order. The chair had ruled against the matter that Hon. Adala will do that later. Let us proceed.
Hon. Oriaro: Thank you, Mr. Temporary Speaker, Sir. That the House on the crowns objectivism had ventilated on this matter courtesy of the Board meeting that was held. I want to propose an amendment to the recommendation on page 14 that the House expunges the mentioning of Dr. Conciliar Ondiek in this report, on the mere fact that going by matters of litigations and judicial processes and even parliamentary practice all over that you cannot expressly mention a name of a person who never had an opportunity to sit before you to hear on their part.
So an amendment on the same that we reframe the word of suing for damages replaced by County Government of Siaya which immediately initiates a process of recovering over 15 to 19.3 million lost in that transaction.
I call upon my colleague, Hon. Member for Yala Ward to second.
(Hon. Member seconded) (Question proposed)
Hon. Oriaro: Mr. Chair, it is known all over especially when we began to transact as Second Assembly that we have been interpreted in a wrong way as an entity constituted by representatives who are inept or in general; representatives who are not up to the task.
So that we may show to the world that we are an entity that is capable of performing its duty on a tither to objectivism, on tither rule of law and a tither to the genuine grounds of representation and of course legislation because matters we come up with are purely legislative processes.
That amendment will tell the world that in this House a representative needs not to be equipped with knowledge based on classroom lectures but a representative is one who is capable of doing research on various fields so that he/she is all round……..
Hon. Temporary Speaker (Hon. Madialo): Hon. Willis,
Hon. Ochieng: This amendment shall tell the world that we are not witch hunting or that our work is to aid other statutory offices, constitutional offices to begin where we are from.
We know audit reports are expected to be brought to County Government's attention, the County Assembly, the national Assembly and the Senate. We want to also prove our big brothers that we are people who are working. In that spirit I support that amendment and call upon Members to be in this House to be the custodian of the people's problems.
The Temporary Speaker (Hon. Madialo): Yes, Hon. Opanga.
Hon. Opanga: Allow me also take this opportunity to support the amendment of the said clauses because it will give us the authority and mandate as a county to recover the money and in the process it will give us that time to visit the area that things were not done right not only putting the person who was the owner of the land in question but it will also give us a general overview of how we will be able to handle the entire issue. I support.
The Temporary Speaker (Hon. Madialo): Yes, Hon. Adala.
Hon. Adala: Thank you, Mr. Temporary Speaker, Sir. I am happy with the kind of work done by Committee on PIC and PAC. I rise to support the amendment that was proposed by Hon. Oriaro because it gives us the leeway to interrogate further and even get to the root of this issue as opposed to how it was initially stated whereby we were focusing on an individual and leaving out another.
My attention is drawn to page 17 of our Report. It talks about…
The Temporary Speaker (Hon. Madialo): Hon. Adala, you are out of order. We are still addressing our minds to the proposed amendment and we have not voted on it.
Hon. Adala: I always have a gift that is aware of reading the mood of the House. I think the amendment has just been proposed so I think they should just go on with my other submission but I have aligned
The Temporary Speaker (Hon. Madialo): I call upon the Mover to reply.
Hon. Oriaro: Thank you, Mr. Temporary Speaker, Sir. I want to thank the membership of this August House for readily being up to the task on matters of their mandate. My prayer is that we on a ubiquitous scale adopt the Motion so that the whole world can find the right place to place us. We dispense with the matter so that the general public and other relevant institutions can place us. We are even on the website the whole world can see that this House played its part. Thank you.
(Question put and agreed to)
Hon. Opanga: On equal measure I would also request that we make an amendment on page 14 to the last paragraph just before the recommendations that is paragraph 4 by deleting the words in legal custody of one Dr. Concilia Ondiek and substituting it with was registered in the name of one Dr. Concilia Ondiek.
(Question proposed)
The Temporary Speaker (Hon. Madialo): Yes Hon. Oriaro
Hon. Oriaro: Thank you, Mr. Temporary Speaker, Sir. In the first Assembly I was the Chair of implementation and we were taken through various rigorous training and one of the things we learnt as a parliamentary practice is that resolutions of the House have got three phases. One it can merely become a political expression of a given matter.
The Temporary Speaker (Hon. Madialo): Are you seconding?
Hon. Oriaro: Yes such that I will not contribute. It can merely become a political expression which may be adopted or not adopted. In some instances issues of recommendations are illegal in nature but partly they bear matters that can find themselves in the legal and partly not and the third one, purely of legal implication.
The matters of public accounts and their Reports on the whole are purely legal in nature such that when we recommend our document can be picked to oil the wheel of founding justice whenever necessary. That means if we come up with a resolution that can easily be interpreted on matters of litigation high courts and above reject matters on technicality. You find the truth but you improperly express it that is what our able member has proposed in that amendment and in consonance with my earlier expressions that we want to tell the world that we are not ordinary people but chosen ones. I support.
(Question put and agreed to)
The Temporary Speaker (Hon. Madialo): Yes Hon. Oriaro.
Hon. Oriaro: Fortunately I am a member of the Committee on PIC and PAC. I have a few remarks on the Auditor General's Report that we are handling today and it is unfortunate that it is a Report in the past how I would wish that Reports are up to the minute so that whenever an issue arises we deal with it expressly. When Auditor Reports are out they end up in the public domain and those who have got ears especially when this matter was released audit queries the way the public take it is like an illegality has taken place and the Auditor General's views are taken to be autonomous even on political grounds they are taken from an arm chair perspective.
It is a practice that when the Report is out it is brought to parliament and we are fortunate that the Report was brought to us and committed before the committee. We did our investigations in general and the matters raised for committee responses and even our recommendations are part of this Report.
Partly from outside yesterday we cleared the matter from audit the same fiscal year 14/16 on County Assembly and it was proved to be as white as cotton. That is positive because we are the ones over sighting the Executive. We cannot objectively do it when our own is dirty it would be a classic case in the biblical narration that we preach water and drink wine.
I want to confirm before the general public that Assembly is up to task we even went ahead because I don't want to talk about everything let me draw the attention of the membership and the public to the issue on page 13, memorandum of understanding between the County Government of Siaya and Maseno University, letters requesting all that. The matter that generated more heat than light is the issue of purchase of land. I want to report to the House and
the general public that the matter you have dealt with went a hundred and over ahead of the Auditor General's Report.
The way the Auditor General brought the matter, you would so easily clear it, because it was just questioning the systems, that money was allocated for land, and we bought a land for University. Had we just taken it that way, later on we would have been blamed. Matters of more investigation to the extent of revealing that the exchange of ownership of the land until the time of the purchase was undergoing metamorphosis that one the auditor general never touched! That is why the present procedure is, the auditor general does not just address system, and it has also to address the value for money.
The House has also come out with a Report where the situation of the value for money, is made conspicuous, that is why we have pointed out that there was no value for money, and even pointing out that that money didn't cover it. So were we to be talking from an amateur perspective, all that we would not have come up with.
We are endowed with in our Committee, people who are investigators. One of our Honorable Members, I thank people of East Yimbo, is an investigator. We are people of all sorts. So in short we want to tell the Senate that the Report they are having, the Auditor General they have of Siaya County, never addressed the matters that we have so far found.
We want them to be colineal with our Report. We also want to advise everybody who have been thinking that we are just ordinary people; we want to tell them that are chaotic and calls for having an eagle eye.
We have been endowed with the eagle eye to know that which was kept under, honorably, adopt this Report so that another course ensues. I support.
The Temporary Speaker: (Hon. Madialo) Hon. Otiato!
Hon. Otiato: Thank you, Mr. Speaker, Sir, I also want to say that having gone through this, you know when you are dealing with matters of corruption, and where it is PAC PIC and the rest, one of our learned men from Yimbo once said that corruption fights back, and it will not give you room to fight it.
In that spirit, I know it has been a very hard past to go through these issues. I want to congratulate the Members of the PIC and PAC Committee, for having worked out what was required. In fact, the heated part from yesterday or the other day on this particular matter is because the Committee endeavored and looked for more information out of what was in the Audit Report. Equivalently the former discussions are now out, and I want to be very adept, that if this Report is adopted with the few amendments that have been there, the value for our money is going to be realized
This that we have been crying for, even the loss of the 19.3 million that we have detected is going to be realized. One thing now, my message to our Governor, that if the Assembly has given a directive and has given advice, that the money be recovered, because the process and the whole documentation is not clear at all.
So if our able Governor is good enough, we need this matter to be resolved immediately, let him move forward and take action against any other officer who has breached the law, and as
he does that, we need a very good Report that the money is within us and it is put in the rightful use.
I also want to say that with the few of the recommendations, we are given a lee way, a lee way, that if there is any further information that is coming from the public related matter, the Committee can proceed and do its further investigation and make further recommendations to this House.
I will not go to any other because I know of a Committee which is composed of professionals of different areas, the other areas are well touched and according to me it is properly done. I support.
The Temporary Speaker; Hon. Madialo: Yes, Mheshimiwa from West Asembo?
Hon. Auma: Thank you, Mheshimiwa Speaker. Allow me to commend the Committee of PIC and PAC for the work they did, just to take you through page 20 of the same Report, you see, where I got so much interest in this Report is page 20-21.
The Temporary Speaker; Hon. Madialo: Allow me to interrupt you, because of the issues of quorum, I would urge you to be brief and to the point so that we are able to do with this Report before we break. So now, I would request the sergeant at arms not to allow any Member to walk out.
Hon. Auma: Thank you, Honorable Speaker, but we still have the quorum all the same. In the issue of equitable share from the National Government, it is usually a tenth based on what the County collects in terms of Revenue. As you are aware, in our last days we saw we were able to receive a much higher allocation in terms of Revenue equitable share, but I see here, the people we put in charge of overseeing these collections are the people who mess us at times and we are not able to realize the dreams we have for the people of Siaya.
In the recommendation I have seen the Committee has recommended automation in terms of revenue collection. It is my prayer that the people mandated with this, that is the finance department will adhere to this, so that we have a full automation, and be able to get revenue and serve the good people of Siaya. Thank you.
The Temporary Speaker; Hon. Madialo: Mheshimiwa Odhiambo, Member for South Sakwa!
Hon. Odhiambo: Thank you Mr. Speaker, I wish to thank the Committee of PIC and PAC for the commendable job they have done, but I have some points to put across. If you can check page 24 of this Report, engagement of Revenue collectors, I think the Honorable Member who has just sat has talked about the collection of this money from our County.
You know what we need is money, and what the Government want us to do, the much you collect will determine what you are given from the National Government, and therefore I have seen the Committee, as much as they have done a commendable job, when you go to page twenty five, there are two recommendations.
They have only noted the accounting officer staff clearance which means that they only dealt with what was not spent the right way; they never put their concerns on revenue collectors,
those who will make sure that our Revenue is our revenue is collected fully so that we get a good amount from the National Government.
So as much as I support this document and some part of the document was proposed to be deleted, I propose that there be a concern for the payment of these collectors, because if you can see, the first paragraph of page 24, included in the compensation of employees, balance of that amount for the sum of thirteen, paid to casual collectors, in the year under review and if you go to the second sentence, the casuals were engaged at a sum of monthly salary of seven, thousand per month, as opposed to 15425/= shillings minimum wage recommended by the Ministry of Labour.
So, I would also request if that one can be factored in, while endorsing this document so that the collectors could also be given their minimum payment so that they can also do a good job in collecting the said money. Thank you Mr. Speaker, I support.
The Temporary Speaker; Hon. Madialo: Member for South Gem?
Hon. Audi: Thank you, Mr. Speaker, I would like to support the adoption of the Report the way the Committee confirmed their work as legislatures and Members of the County Assembly of Siaya and basically putting more interest on use of public funds. If you look at page 19, some of the officers took interest more than twice which is contrary to regulations governing issues of payment.
Consequently, the accuracy and completeness of the outstanding imprest balance of Kshs. 31,121,261 as at 30 th June 2016 cannot be provided. Basically, this shows very well that the Members of the Committee were a bit accurate and were armed to unearth everything that was on the projects. On page 25, we have the uses of goods and services; furniture for ECD centres.
I would kindly request that such huge kind of contracts should have at least an attachment to ascertain award and to also how efficient who ever were awarded such kind of contracts, thank you.
The Temporary Speaker (Hon. Madialo): May I call upon the Mover to Reply.
Hon. Ochieng: Thank you, Hon. Temporary Speaker; I want to thank the entire House for having debated this Report and I want to extend my appreciation to the Honorable Committee Members of PIC/PAC for having indulged in this Report. It was not an easy task; we went further ahead just as a Member indicated here to make sure that we bring a Report that when debated, the County residents would benefit from their monies.
I want to urge that after adoption the Committees or bodies that have been given responsibilities in this Report to do a follow up to make sure the recommendations are implemented to the latter, thank you.
(Question put and agreed to)
The Temporary Speaker (Hon. Madialo): Hon. Members; kindly stand up for adjournment.
ADJOURNMENT
The Temporary Speaker (Hon. Madialo): Hon. Members, there being no other business for transacting in this House today, this House stands adjourned until by notice informed.
The House rose at 3.33 p.m.
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Understanding and Improving the Take-up of Public Programs: Lessons Learned from the Canadian and International Experience in Human Services
Pierre-Marc Daigneault
PerfEval Research Laboratory Department of Political Science Charles-de-Koninck Pavilion 1030 avenue des Sciences-Humaines Université Laval Quebec City (Quebec), G1V 0A6, Canada.
Steve Jacob
PerfEval Research Laboratory Department of Political Science Charles-de-Koninck Pavilion 1030 avenue des Sciences-Humaines Université Laval Quebec City (Quebec), G1V 0A6, Canada.
Maximilien Tereraho
Feedback and Knowledge Management Evaluation Directorate Human Resources and Skills Development Canada.
Sponsoring information: This work was supported by Human Resources and Skills Development Canada (HRSDC) [grant number 9829-08-0011].
Abstract
Non-take-up of public programs is the phenomenon by which individuals do not utilize/participate in programs for which they are eligible. It is a significant phenomenon in OECD countries and should thus be a concern for decision makers. Although there is no dearth of evidence on take-up, there is clearly a need for 'usable knowledge' that is oriented towards practice. This evaluation synthesis aims to integrate evidence from various sources in order to better explain take-up and identify best practices to improve it. Data come from a rapid review of the literature, evaluation reports and interviews with managers. A theoretical framework, based on two overarching constructs, namely 'knowledge' and 'positive net value', is proposed to explain program take-up. Policy makers and program managers will find the proposed theoretical framework simpler to understand and to use than existing conceptualizations of program take-up. The lessons learned section also discusses four promising practices that could improve the take-up of public programs.
Keywords: Evaluation synthesis; Evidence-based policy; Practice-oriented knowledge; Program take-up; Program utilization; Rapid review; Theoretical framework; Usable knowledge.
1. Non-Take-Up of Public Programs: What is it and Why Should Public Managers Care?
Non-take-up of social benefits is the phenomenon whereby persons or households do not receive the social benefits to which they are entitled (van Oorschot, 1998; EXNOTA Consortium [Exnota], 2005). Although a large portion of the literature focuses on entitlement programs that offer social benefits such as pension and unemployment benefits, non-take-up affects public programs more generally and thus designates the phenomenon by which individuals do not utilize/participate in programs to which they are eligible. There are many types of non-take-up. Warin (2010) has proposed a typology that usefully distinguishes between three broad types of nontake-up.
First, non-knowledge occurs when an eligible person does not file a claim because she lacks knowledge about the program's existence and/or mode of claiming. For example, an eligible single mother may not apply for a housing program simply because she is not aware of its existence. Second, non-claiming refers to the situation where an eligible and informed person does not file a claim because of objective and/or subjective costs such as lack of interest, high travel time for claiming or stigma. For instance, an unemployed worker may choose not to apply on a training program since he feels that the application process is too complex and burdensome. Third, nonreception occurs when an eligible person has claimed a benefit but does not receive it because of withdrawal or rejection by the authorities. An eligible young adult who successfully applied to a supplemental income program and then moves in a different city without leaving any contact information is an instance of non-reception. Nontake-up can also be characterized as full or partial, permanent, temporary or frictional (van Oorschot, 1998; Hernanz et al., 2004). Non-take-up is increasingly recognized as a complex phenomenon that may be the responsibility of both individuals and policy-makers who design the benefit scheme, program managers who implement and monitor this scheme, and front-line public servants who make decisions about individual cases (van Oorschot, 1998).
Due to its cross-sectoral and 'technical' nature, non-take-up is not as visible as other social problems such as children's poverty, homelessness or addiction to intravenous drugs (to be sure, non-take-up may also affect programs that addresses these problems). Yet, it is a serious issue that has not received all the attention it deserves from policy makers (van Oorschot, 1998). Each year in developed countries, large sums of money are forgone by eligible individuals because of non-take-up. The Department for Work and Pensions (DWP) has estimated that for the main income-related benefits of Great Britain, for 2008-2009 only, between £6,930 million and £12,700 million were left unclaimed (Information Directorate. Department for Work and Pensions. Great Britain [DWP], 2010 : 2).
Non-take-up is also a matter of effective and efficient public interventions. The problem-solving model of public policy depicts the government as a purposive actor who puts forward policies and programs to alleviate social problems and ultimately improve social conditions (Weiss, 1979). Through its actions, the government acts like a social engineer who aims to change the behaviour or welfare of various target groups in order to achieve policy objectives (e.g., a decent level of income for unemployed workers). Logically, the participation of target groups in social programs is a necessary condition for their effectiveness. Empirically, some studies have demonstrated that program impact is related to program take-up (Gibson, 2003). When non-take-up is partly involuntary because of objective or subjective barriers such as unawareness and stigmatization, it is also a question of equity (Fuchs, 2007; Hernanz et al., 2004; van Oorschot, 1998). Indeed, non-take-up introduces disparities of treatment between individuals who should be treated equally by the public service (Hernanz et al., 2004). Finally, understanding take-up is also of the utmost importance to assess policy reform and predict its consequences (Fuchs, 2007; Hernanz et al., 2004; Riphahn, 2000). Non-take-up is far from being a marginal phenomenon. Indeed, many studies have pointed to substantial rates of non-take-up, although data about the extent of non-take-up are not regularly compiled by most public agencies. The British Department for Work and Pensions is a notable exception in this regards since it regularly publishes estimates of take-up rates for the main income-related benefits programs such as Pension Credit and Housing Benefit (DWP, 2010; Fuchs, 2007; Hernanz et al., 2004).
Take-up rates are usually calculated on a per capita or caseload basis, that is, by dividing the number of eligible non-recipients by the total number of eligible people, but they can also be calculated on an expenditure basis. In their comparative study of OECD countries for which data is available, Hernanz et al. (2004) have identified nontake-up rates that oscillate between 20 and 60 % for means-tested social assistance benefits (five countries), between 20 and 40 % for unemployment benefits (three countries), and around 20 % for housing benefits (three countries). These figures are consistent with the findings of van Oorschott (1998) to the effect that non-take-up rates are equal to or greater than 20 % for most of the countries surveyed. These figures are also consistent with the 2008-2009 estimates for the main income-related benefits in Great Britain: non-take-up rates, calculated on an expenditure basis, are between 15% and 25% (DWP, 2010: 2).
2. Toward a Useful Integration of Evidence
Most individual studies examining program take-up are very specific in focus which sometimes makes the 'big picture' difficult to see. Indeed, most studies examine only one or two factors of non-take-up and, in addition, are generally conducted within an exclusive disciplinary paradigm such as social work or economics (Craig, 1991).
Moreover, these studies are generally written by and for scholars, not public managers. Yet, a number of valuable attempts have been made to integrate studies on take-up, both at the theoretical and empirical levels.
On the theoretical side, the framework proposed by van Oorschott (1998: 116-9) is probably one of the more sophisticated notably because it builds on the strengths and weaknesses of earlier frameworks (see Figure 1). This framework illustrates in a dynamic manner how non-recipients (the framework does not distinguish between eligible and non-eligible non-recipients) become recipients of a given benefit by passing through three stages (time goes from left to right in the framework). At the threshold stage, the non-recipient must not only become aware of the program, but must also perceive himself/herself as eligible (PE), must not have strong attitudinal barrier against claiming (AB), must perceive a need for the program (N) and should not be in an unsTable situation (US). After that, at the trade-off stage, the non-recipient considers filing a claim but weighs the costs and benefits that it implies. Basically, the same factors as those for the threshold stage apply, with the addition of perceived utility of filing a claim. If the non-recipient arrives at a positive net outcome, then he or she files a claim (the application stage). Following claiming, the non-recipient becomes a recipient only if the claimant does not withdraw from the process and if the public service does not reject his or her claim. A non-recipient could reenter the process through a change in circumstances or triggers such as new information about a program. While comprehensive and well-grounded in the empirical literature, the usefulness of this model is less clear for a nonacademic audience because of its complexity. We believe that a simpler, synthetic, practice-oriented model is needed for public managers. They need to identify key driving factors of program take-up on which to focus their planning and implementation work.
Source: van Oorschott (1998: 117).
On the empirical side of evidence integration, the literature reviews by Currie (2004) and Hernanz et al. (2004) are valuable endeavours that are worth noting. Hernanz et al. (2004) have underlined four broad classes of factors that explain take-up/non-take-up: 1) pecuniary determinants (benefit level and duration); 2) information costs (awareness of the program and costs in acquiring more information on eligibility and application); 3) administrative costs (e.g., length and complexity of the claiming process); 4) social and psychological costs (attitudes toward state help, stigma, etc.). Both reviews have emphasized the importance of pecuniary determinants and transaction costs, particularly the program benefits' level and duration for explaining take-up: 'The positive correlation between the potential amount of welfare benefits (and its duration) and take-up is probably the single most robust result in the literature' (Hernanz et al., 2004: 18).
Moreover, the review by Hernanz et al. (2004), published by the OECD, is directed not only to scholars, but also to policy-makers. It presents a brief discussion of the policy implications of their findings and suggests a few policy measures that could improve take-up rates. Whereas previous syntheses that have attempted to explain non-take-up have made substantial contributions, they have been almost exclusively based on scientific studies, by contrast with applied evidence such as program evaluation reports and practice-based experience. To our knowledge, no synthesis has relied on other sources of evidence such as program evaluation reports or on public managers' practical knowledge to explain take-up. This study attempts to fill this gap by using different sources of evidence to generate lessons that usefully supplement the evidence derived from scientific studies.
This study pursues two objectives. The first objective is to synthesize various sources of scientific and practical evidence in order to generate a simple theoretical framework for explaining program take-up. A corollary of this objective is to check the level of support for various factors affecting take-up that have been identified by previous studies. A second objective is to suggest a few measures that can be used by policy makers, program managers and program evaluators to increase the take-up of public programs.
3. Approach and Methods
This study stems from a contract awarded in 2009 to a team of external academic consultants by the Evaluation Directorate of Human Resources and Skills Development Canada (HRSDC), the Canadian department responsible for labour, income security, social development, and learning at the federal level, for the conduct of a study, including a major evaluation synthesis component, on the issue of program take-up. Although the conduct of the synthesis rested mainly in the hands of the consulting team, the process was collaborative as it actively involved staff from HRSDC. It should be noted here that this study was larger than a 'conventional' evaluation synthesis as it involved primary data collection through interviews and it was based on research reports and articles as well as evaluation reports. Furthermore, the actual study pursued larger objectives than what is presented here.
Evaluation synthesis is a 'systematic procedure for organizing findings from several disparate evaluation studies' (Program Evaluation and Methodology Division. U.S. General Accounting Office [GAO], 1992: 6). This type of research seeks to integrate secondary data from actual evaluation reports and does not necessarily imply conducting primary data collection. The purpose of the synthesis can be to produce generalizations that contribute to scientific knowledge, but it is especially appropriate to use such syntheses to serve the informational needs of decision-makers on issues of accountability, program design, management and evaluation (Tereraho and Lamarche, 2009).
Evaluation synthesis has many advantages over other research approaches (GAO, 1992). First of all, it has the capacity to produce results in a timely fashion (or, at least, faster than other approaches) since it relies on and valorizes actual evaluation data. Secondly, knowledge generated through the synthesis of many studies is usually more credible than the knowledge compiled by a single study, other things being equal. Thirdly, evaluation syntheses can point to gaps in our knowledge base, a useful outcome since it highlights the risks and uncertainties associated with a particular decision context.
The evaluation synthesis was carried out in a sequence made up of four steps: (1) rapid review of international scientific evidence; (2) review of HRSDC evaluation reports; (3) interviews with program managers; (4) overall synthesis. For greater clarity, the presentation of methodology does not exactly follow this chronological sequence. First, data collection procedures for steps (1) to (3) are presented. Then, data analysis methods and the approach for the overall synthesis are explained. Finally, procedures to enhance the validity of findings are reviewed.
3.1 Rapid Review of International Scientific Evidence
A rapid review, that is 'a literature review carried out (often systematically) but within a limited time (sometimes a few weeks or a few months) and with restrictions on the scope of the search (for example, restricted by year, or country)' (Petticrew and Roberts, 2006: 40), was first conducted to establish the state of the question on program take-up. The process largely followed systematic review procedures in terms of search strategy and screening process, but was more limited in scope. Since the objective was to produce a timely and cost-efficient literature review oriented towards public management practice, we decided to limit ourselves to the most relevant studies instead of identifying all the studies on take-up such as in a conventional systematic review.
We were looking for empirical studies on program take-up that were relatively recent (i.e., published in 1995 or after) and that examined the issue in a policy sector similar to HRSDC (learning, employment and skills development). To keep the number of references manageable, we also restricted our search to studies conducted in Australia, Canada, France, the United Kingdom, the USA and the Netherlands. Australia and the UK were selected because they have administrative institutions that are similar to those in Canada. France, the USA and the Netherlands were all chosen to maximize the yield of relevant studies and to introduce a bit of diversity to our sample.
Terms such as 'take-up', 'non-take-up' and 'uptake' were used in combination with 'public services', 'social benefits' and 'program' (a similar search was conducted in French) in a title, abstract and/or keywords search to locate the references in selected electronic databases (i.e., Canadian Research Index, Francis, PAIS International, Social Service Abstracts and Sociological Abstracts) and Google Scholar (only the first 100 hits were kept for each search). Complementary searches (including hand-searching, scanning references lists and using different keywords such as 'program participation') were also conducted for a list of journals in public administration, evaluation and social policy that seemed a priori relevant to take-up.
Clearly irrelevant references were excluded on the basis of title and abstract for a total of 142 references left. The relevance of the remaining references was then assessed with respect to a set of eligibility criteria (e.g., the study must be empirical). A total of 33 studies met our eligibility criteria. This number was brought down to 25 on theoretical and practical grounds. First, the marginal gain from including the last 8 references seemed slight with respect to the identification of take-up factors. In other words, we had reached the point of theoretical saturation (Morse, 2003). Second, an overrepresentation of certain programs (i.e., pension plan) and countries (i.e., UK) was observed. It was thus decided to purposefully 'trim' this sample to obtain a more balance outlook on take-up. Third, given that data extraction for each study is time-consuming, we decided to reduce the size of our sample to 25, especially in light of the limited marginal gain on theoretical grounds mentioned earlier. In addition to the final sample of 25 studies, nine short practice-based reports that were not suitable for the synthesis but that could nevertheless be useful for illustration purposes were also identified.
3.2 Review of HRSDC Evaluation Reports
Our initial objective was to review all HRSDC evaluation reports that were published between April 2001 and April 2009 as they were completed under the same institutional regime (i.e., the 2001 Federal Evaluation Policy). All reports (i.e., approximately 70) were supposed to be rapidly reviewed, while thorough analysis would be restricted to the subset of reports containing information on program take-up. Following a pretest, it soon became clear, however, that this two-step process was impractical and resource-consuming. Since program participation and take-up were not central issues in most reports — in fact, they were not an issue at all for a substantial number of them — we had to read the reports almost entirely just to assess their relevance. Because we did not have enough resources to review all reports, we focused on all reports published after 2003 (n = 44) and reviewed a random sample of 8 older reports (from 25) published before that date, for a total of 52 evaluation reports. 1
To supplement our data, we also searched on the World Wide Web for and retrieved five evaluation reports from other jurisdictions (i.e., Canadian provinces and countries other than Canada) that addressed the issue of program take-up. The sampling was clearly purposive and based on convenience (i.e., report availability). The goal was to diversify our information base to produce analytical generalizations rather than to produce statistical generalizations about the 'population' of all evaluation reports (Yin, 2003).
3.3 Interviews with Program Managers
It appeared necessary to supplement and validate secondary data with primary data from interviews because program take-up was not systematically discussed in all the evaluation reports. Since, in the most of the cases, program take-up was not an evaluation issue, the studies and reports seemed to neglect the practical knowledge that practitioners such as public managers might possess regarding program take-up. We thus interviewed five managers from HRSDC and Service Canada involved in program design, delivery and evaluation.
1 In fact, a few 'evaluation' reports we reviewed could be more accurately labelled 'studies'.
The interviews were tape-recorded and lasted 45 minutes on average. To ensure they were used in a complementary manner, the interview format was semi-structured, with a scheme built around the same themes that were examined in the previous stages: explanatory factors of program take-up and the best practices that could enhance take-up. In some instances, findings from the previous stages of the study were fed to respondents during the interviews for comment.
3.4 Data Analysis
Analyzing and integrating such a rich and diversified basis of evidence on program take-up was quite a challenge. Two methods were used to analyze the evidence derived from each source. The first method was thematic or narrative analysis which simply organizes and re-arranges data according to given themes. In this study, two themes served as organizers for the data: (1) factors explaining take-up; (2) means to improve take-up.
The second type of analysis, which was restricted to the documents reviewed (i.e., studies and evaluation reports), involved the calculation of a prevalence index for each factor found in a study that can assist in assessing the relative importance of factors affecting take-up (for examples of similar but different applications, see Cousins and Leithwood, 1986; Sandelowski and Barroso, 2006). The prevalence index is a qualitative counterpart to the quantitative effect size:
The calculation of effect sizes constitutes a quantitative transformation of qualitative data in the service of extracting more meaning from those data and verifying the presence of a pattern or theme. Effect sizes in qualitative studies are both a means to ensure that findings are neither over- nor underweighted, and they can serve as an empirical basis for qualitative metasynthesis. (Sandelowski and Barroso, 2006: 160)
In this study, the prevalence index was calculated by dividing the number of studies containing a finding related to a factor (e.g., awareness of a given program is positively related to program take-up) by the total number of studies. For instance, a prevalence of 50 % for a given factor means that this factor is found to affect take-up in half the studies. Other things being equal, a factor displaying a prevalence of 60 % is more important than a factor displaying a prevalence of 20 %. When appropriate, we reorganized the various factors into combined categories for the sake of greater coherence and parsimony. Despite its obvious utility, the evidence derived from the prevalence index is only suggestive. For one thing, it cannot account for the strength of the association between a given factor and take-up (i.e., the 'real' effect size). Furthermore, the index cannot account for unexamined factors. For example, a study may focus on the relationship between take-up and one particular factor even though other factors might be at work in a given context. Although this issue could not be completely resolved, evidence from interviews was used to triangulate findings from prevalence analysis.
3.5 Overall Synthesis
The main approach to synthesis used in this study is theory-building. Our aim was to devise a simple and synthetic theoretical framework of program take-up that could be useful to public managers in their work. The framework is based on two types of evidence. The first type is the prevalence index. Some factors seem to possess a greater importance than others to explain take-up and, logically, a good theoretical framework should reflect that. The second source of evidence is the rich and diversified qualitative database derived from scientific studies, evaluation reports, administrative studies and interviews organized thematically.
The process was largely inductive. We did not use a structured and explicit process to generate the theory from the findings. We relied instead on the principle of triangulation of data sources which is advised to improve the validity of findings in qualitative research (Yin 2003). We also relied on qualitative judgement and logical reasoning through systematic inversion of emerging conclusions/hypotheses. Another output of the synthesis was the identification of lessons learned regarding best practices that could improve take-up. Again, the process was largely based on qualitative judgement and the principles of triangulation. In addition, we checked for the congruence between the practices reviewed and our theoretical framework and/or row data (report findings) where appropriate. Other things being equal, a practice that directly addresses the factors of our framework was likely to be retained as a best practice than a practice that does not.
3.6 Further Procedures to Enhance the Validity of Findings
Different procedures were used to insure that findings derived from this study were sound and valid. First of all, the extraction grids used for scientific studies and HRSDC evaluation reports were respectively pretested on two studies and four reports.
Intercoder reliability for data extraction was also assessed qualitatively during those pretests and was globally deemed satisfactory. Second, the validity of data extraction for HRSDC and other jurisdictions evaluation reports was systematically checked by a second independent coder. Third, the quality of evaluation reports was assessed qualitatively in order to insure the trustworthiness of findings derived from them. Fourth, public managers were asked to review and, if needed, to correct their interview transcript. That methodological procedure is indeed known to substantially enhance validity and reliability in qualitative research (Bryman, 2003). Finally, the synthesis methods and findings were validated at all stages by the client (HRSDC) Project Authority's team and, at the final stage, by an independent peer review process involving academic and practice experts in both program take-up and evaluation synthesis. The experts' comments were positive and pointed to the high quality of the synthesis process and product.
4. Results
4.1 Factor Prevalence
What factors are the most important to explain program take-up? By quantitatively aggregating the data found in various documents, Table 1 offers a few answers to that question.
Table 1: Prevalence Index of Factors Affecting Program Take-up
First of all, we found general support for the various factors affecting take-up that have been pointed out in the literature. However, we identified two factors that seem to have been neglected by previous reviews of program take-up. One factor is the socioeconomic characteristics (sex, education, annual income, ethnicity, etc.) of potential claimants, a fairly prevalent factor found in nearly half (44 %) the documents reviewed. Socioeconomic characteristics can influence take-up one way or the other, depending on the specifics of a claiming context. For instance, having a university degree may increase the information one has about the financial programs offered by the state and, at the same time, lower the costs of application (it could be easier to understand the rules of application). An example of a negative relationship between socioeconomic characteristics and program take-up could be the fact of living in a distant rural area. Individuals living far away from an employment center are thus less likely to participate in various skill development initiatives. This makes sense especially if one does not have a car and if public transit does not exist in that area. Even for those who own a car, program take-up implies costs such as increased driving time and gas consumption just to drive to the employment center. This category of factors seems to be made up of moderators and antecedent variables for which no a priori direction can be established with take-up. It decreases the utility of this category of factors for predicting program take-up and might thus explain why it has been less visible in previous reviews.
The other neglected factor is peer support and guidance relative to a program. Positive support and help relative to a program found in a potential claimant's social network and community has been found to increase program take-up. However, the prevalence index for this factor (5 %) suggests that its importance should not be overstated. In any case, we hypothesize that this factor might represent the other side of the 'negative social pressure and stigma coin'. Apart from socioeconomic characteristics, two factors affecting take-up clearly stand out. The first and most important factor is the knowledge that a claimant has of a given program. The more knowledge an eligible individual has of the program, the more likely he or she is to file a claim. This factor, which refers to knowledge of the existence of a program and of its eligibility rules and claiming procedures, was found in nearly two documents out of three (65 %). A second prevalent factor, found in over half the studies (56 %), refers to the ease/difficulty of the claiming process. When it is easy to apply for a program in terms of understanding its rules, having access to the relevant application information and to file a claim, take-up is more likely.
The other factors that were mentioned quite frequently (over 20 %) in the documents reviewed are (in decreasing order of importance): economic costs and benefits anticipated by potential claimants; the unstable situation of potential claimants; negative social pressure and stigma; and potential claimants' attitude toward the state and its programs. Since previous reviews have found that pecuniary determinants and transaction costs are major determinants of program take-up, the relatively low factor prevalence of costs and benefits anticipated by potential claimants could appear as a surprising result at first sight. However, the prevalence analysis we performed was limited to the cost and benefits anticipated by potential claimants that were explicitly stated as such in the documents reviewed. As a matter of fact, most factors can be transformed in costs or benefits. For instance, the complexity and length of the claiming process is a 'cost' that a rational individual will consider when deciding to apply to a program or not. It is therefore more appropriate to consider the costs and benefits balance as the second most prevalent factor of program take-up since the 26 % prevalence of this factor is a lower bound rather than as an exact measure.
While they did not address all the factors presented in Table 1, the interviews with public managers generally lent support to the results of the prevalence analysis. Lack of knowledge about a program's existence and rules (eligibility, claiming process, etc.) was one of the factors frequently discussed by the respondents. This factor was mentioned in conjunction with socioeconomic characteristics of potential claimants such as age and education. As said by one respondent 2 :
We often do good things but we are less good at communicating them. The government still has to learn at that level; it has to improve. People do not always know that a program exists […] In addition, announcements and programs themselves are often very technical so that you easily get lost. […] It is especially problematic for illiterate persons and those people with a low level of education.
2 Interview transcripts were slightly edited (e.g., minor syntax and grammatical errors were corrected) to ensure clarity and readability. One transcript was translated by the authors from French to English.
Among the other factors that were mentioned by respondents, the effort asked of the claimant in terms of time and money and the need for the program were recurring themes:
If we give money to everyone, for instance a $100 cheque to fight the recession, take-up rate will be near 100 %. […] Some programs require an 'investment', an active engagement from the beneficiary, for instance following a year-long training session. Take-up rate will be lower in this case.
It is worth noting, for one thing, that the picture drawn by the interviews depicts program take-up as a complex and multifaceted phenomenon for which there are various causes. For another, many important factors identified through the prevalence analysis were also pointed out by public managers. It is important to stress that managers often discussed the issue of take-up from the 'supply side' rather than the 'demand side'. Technical aspects pertaining to program design, funding and delivery were also discussed by public managers. For instance, some respondents pointed out to the difficulties of multi-level coordination where a program is funded by the federal government but is actually delivered by the provinces.
Figure 2: A Synthetic Theoretical Framework of Program Take-up
Knowledge
Positive net
value
Program
Take-up
Claiming process
characteristics
Monetary benefits of
claiming
Monetary costs of
claiming
Awareness of the
program existence
Knowledge of a
program’s rules
- General attitudes towards public programs and personal situation of potential claimants
- Socio-economic characteristics of potential claimants
- Economic conditions
4.2 Proposed Theoretical Framework
The explanatory framework we propose is based on two overarching factors as derived from the above analysis of factors prevalence and interaction: (1) knowledge; (2) positive net value (see Figure 2). The first overarching factor, knowledge, is made up of two elements: awareness of the program's existence and knowledge of a program's rules. We argue that knowledge is a quasi-necessary condition for program take-up. In plain language, it means that, generally, very few people participate in programs about which they are unaware. Knowledge is not an absolutely necessary condition, however. People may participate in a program without knowing it if the application procedure is automatic or if they forget that they applied for it. Our argument for treating knowledge as a quasi-necessary condition is based on its high prevalence (65 %) in the documents reviewed but also on qualitative evidence from interviews and evaluation reports. With a prevalence of 16 % (see Table 1), the 'perceived eligibility' factor also supports that overarching construct as it relates to the knowledge one has of the rules of a program.
Yet, being knowledgeable about a program is not sufficient for take-up. One must also see benefits in participation, thus the second overarching factor, positive net value. We argue that it is useful to consider various factors under this construct. On the one hand, claiming a benefit or participating in a program entails costs, both monetary and non-monetary. Application for a program sometimes implies direct monetary costs but also implies all kinds of costs in terms of time, understanding the rules and other resources (e.g. gas) spent to participate.
The more complex and long a program claiming process, the more time and mental energy it demands from an eligible individual. On the other hand, the value of a program resides not only in the monetary value and length of a benefit, but also in its relative value for the potential claimant. Relevance of a program to an individual's needs is thus of the utmost importance. We assume that the individual is a rational utility-maximizer who sums up all kinds of costs and benefits. A person will participate in a program only if he/she sees a net positive value. Like knowledge, net positive value is thus a quasi-necessary condition. People usually take-up programs for which they anticipate a benefit, once all costs have been considered. It could sometimes happen, however, that an individual participates in a program for which the net value is negative because of lack of information or miscalculation.
This second overarching factor is also based on evidence from our synthesis. We grant that the prevalence of the costs and benefits anticipated by claimants' factors is not as high as for knowledge but, as was said earlier, this factor only designates explicit costs and benefits. Many elements that are implicit costs and benefits were found to support the overarching construct of positive net value through their prevalence rate: characteristics of the claiming process (56 %), need for the program (12 %), etc. To sum up, program take-up will generally occur if the potential client has knowledge about a program and sees value in it (i.e., the intersection of the two constructs). The two overarching factors are thus jointly quasi-sufficient conditions for program take-up to occur. It is still possible for program take-up not to materialize if a claim is denied by the public service or if the individual withdraws his/her claim. The hachured line represents personal and contextual factors that may affect claiming and program take-up. Although not as comprehensive and dynamic as the framework proposed by van Oorschott (1998), we contend that the framework we propose to explain take-up is simpler, clearer, more focused, and therefore more useful in a public management context.
4.3 Lessons Learned on Improving Program Take-up
We identified from the various evidence sources around 15 practices that could improve program take-up. From these, we selected four 'best practices' that look particularly promising. The selected practices were supported firstly by various data sources (triangulation), and secondly by our theoretical framework. For instance, a practice that positively affected both potential claimant knowledge and perceived net value for a program was deemed more promising than a practice affecting only a secondary factor such as socioeconomic conditions.
Adopting a proactive and personalized outreach approach which targets vulnerable groups. The public service usually sends letters to individuals in order to inform them of existing programs. However, the conventional approach is not effective with everyone and displays diminishing returns on the investment. As one respondent indicated, 'There is a point where you almost have to go door‐to‐door to reach people'. The public service should contact hard-to-reach people in person or by phone to inform them of various programs to which they could be eligible and persuade them to apply. Public servants could also assist eligible individuals with the process of claiming a benefit, thereby decreasing the perceived costs.
This approach is not unlike telemarketing as practiced by the private sector. As said by one public manager, 'The banks already do it, so why not us?' Other respondents pointed to the potential of this practice for better understanding and increasing program take-up. It was mentioned that this approach was actually implemented fairly successfully in some aboriginal communities. Public servants went there with interpreters to inform aboriginal people about their eligibility to programs and many take-ups resulted from this outreach initiative.
Using local organizations to inform and prompt eligible individuals to take-up a program.
This practice consists of using community-based organizations, both public and private, that are close to potential claimants to inform them about public programs, prompt them towards claiming a benefit and support them in the process. Since these organizations are physically close to potential claimants, their involvement decreases the costs of acquiring information about public programs and of the claiming process for them. An illuminating example was found in a report from HRSDC evaluating a program offering labour market products and services for workers, employers and employment counsellors. Those people living within five minutes driving distance from a Human Resource Center Canada (HRCC) were more likely (77 % against 55 %) to use its services than those living at more than 30 minutes driving distance (HRSDC, 2005: 36).
Designing a joint application process for various programs or using 'one-stop' shops. This practice seems to be very promising. On the one hand, it allows economies of scope for eligible individuals who apply for different programs. For a similar effort in time, the claimant derives more benefits (i.e., get access to more programs).
On the other hand, joint applications and one-stop shops foster knowledge of programs and rules among eligible individuals. As one public manager pointed out,
In some cases, you should bundle this program with other things like when they come to ask for their social insurance number [SIN] at age 15. […] A good way to reach people is to bundle things together. When a child is born in Ontario, parents have the opportunity to apply for a birth certificate and a SIN number at the same time. That's a perfect opportunity because you need the SIN number for the Canada education saving plan.
Offering social benefits automatically to some categories of individuals (default enrolment). This practice consists of offering some benefits/programs to individuals that have certain characteristics (e.g. citizens over 65 years of age) automatically. This shifts the burden of application towards the people who want to opt out. A downside of this practice is its lack of targeting as not everyone who is targeted is eligible nor wants the benefits.
5. Concluding Discussion
We argued that program take-up is a serious and complex issue for public program management and, more generally, public governance. The contribution of this study was twofold. We first reviewed and synthesized various types of evidence (scientific studies, evaluation reports, review studies and interviews) to assess the support found in the literature for various factors affecting take-up. Based on this analysis, we produced a simple practice-oriented theoretical framework that could be used by public managers to explain and monitor program take-up. A second contribution lies in the best practices we identified that could improve program take-up. An important lesson we learned was that, in order to improve take-up, policy makers and public managers need to target two factors: knowledge and positive net value.
Despite its contribution to the knowledge base on program take-up and its implications for action, this study also carries some methodological limitations worth mentioning. A first limitation derives from the sample of documents reviewed. One needs to remember that the documents reviewed only represent a sample of all available documents. Moreover, since the mode of selection was not random, results from the prevalence analysis cannot be statistically generalized to the population of scientific studies and evaluation reports on program takeup. A second limitation lies in the prevalence index itself. For one thing, a factor may have a trivial effect on program take-up, despite its high prevalence (i.e., the factor is at work in a lot of documents but exerts only a minor influence).
Furthermore, evaluation reports were not designed to study program take-up but rather to assess the merit and worth of public programs. This carries two implications. First, a factor may exert an influence on program take-up and yet not be examined in the reports. Second, even when a factor is explicitly examined by the evaluators, it is not in a formal setting where its influence and confounding factors are controlled for. Yet, notwithstanding these limitations, we contend that this study's results are credible and useful. Data triangulation and transcript validation were used to ensure the validity of the findings. In addition, the evidence reviewed was more than sufficient for analytic generalization (Yin, 2003; Pawson et al., 2005), that is, the process of developing a new theoretical framework from a synthesis of case studies.
Acknowledgements
The views expressed in this article do not necessarily reflect those of Human Resources and Skills Development Canada (HRSDC) or the Government of Canada. The authors also wish to acknowledge Laurence Ouvrard, Marie-Anne Amadieu, Nouhoun Diallo and Mbaïrewaye Mbaï-Hadji, members of the research laboratory on public policy performance and evaluation at Laval University (PerfEval), as well as Mary Kay Lamarche and Huguette Croteau, from HRSDC, for their involvement related to various phases of the study on which the article is based.
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First John 2:20-24
First John 2:20 – "But you have been anointed by the Holy One, and you all have knowledge."
- kai hymeis, "but you" is contrasting the faithful believers who have stayed in the church with the antichrist secessionist who have left.
o The secessionists may have claimed to have not only moved on to newer, better, higher knowledge, but that they could also provide a greater, newer, higher anointing. Thus, John calls them the anti-anointed.
[x] John had said the anti-anointed one is coming, but these so called "specially anointed ones" are actually "anti-anointed ones." They have nothing.
- This verse is encouraging the believers NOT to be intimidated or bullied or impressed by the progressives who are the secessionist.
- chrio, "to anoint" is a key word in these verses beginning in 2:18 creating a series of puns. We see it in these places:
o chrisma, "anointing"
[x] Several sources say this word expresses NOT the act of anointing, but that with which the anointing is performed. Thus, the Holy Spirit, which anointed Jesus (the Christos), is the anointing of John's readers.
o antichristos, "antichrist"
o Christos, "Christ"
- There is the anti-anointed who has left, but John's readers are the anointed.
- In the OT the anointing separated a thing/person for God. It indicated the Spirit of God had come to do a work. (1 Sam. 16:13; Isaiah 61:1
- Jesus was anointed by the Spirit at his baptism (Acts 10:38; Luke 4:18)
- John had already written in John 14:17; 15:26; 16:13 about the Paraclete, the Holy Spirit, being given by Jesus to teach the believers and lead them into all truth.
- tou hagiou, the Holy (One)" is most likely Jesus (it is definitely God, but probably the Son and not the Father) because:
o Mark 1:24 – ""What do you want with us, Jesus of Nazareth? Have you come to destroy us? I know who you are--the Holy One of God!"
o John 6:69 – "We have come to believe and to know that you are the Holy One of God."
o Acts 3:14 – "You disowned the Holy and Righteous One and asked that a murderer be released to you."
o Jesus is the giver of the Spirit Acts 2:33 – "Exalted to the right hand of God, he has received from the Father the promised Holy Spirit and has poured out what you now see and hear."
- "And you know all things" is here kai oidate pantes.
o Pantes means "all"
[x] So the Greek literally says, "and you know all" or "all of you know"
o In the above text the Greek word is pantes is translated "you all".
o Other manuscripts have a different word, panta, which means "you know all things."
[x] Panta (accusative plural in "you know all things") translates as "all things":
- Panta is in the majority of the manuscripts
- In 2:27 the anointing is said to teach about all things
- oidate requires an object to "know"
- In 2:21 the readers "know truth" which would be equivalent to "knowing all things"
- It is hard to defend how panta could have been altered by scribes to pantes.
[x] Pantes (nominative plural in "you all know") meaning "all" or "you all":
- Pantes is in the earliest manuscripts:
o Coex Sinaiticus
o Codex Vaticanus
o Sahidic Coptic
- Pantes here is parallel with pantes in 2:19, "they are not all of us"
- Pantes is the more difficult reading which usually means it was original and the easier reading has been smoothed out by scribes in later manuscripts. (Normally an object would appear after the verb "you know". For example: "you know Fred", "you know cars", "you know the alphabet", etc.
- It is likely that the original was pantes but it was changed over time to panta to correlate with John 14:26: "will teach you all things"
- There are several reasons why scribes would have justified changing pantes (all) to panta (all things)
o The word "truth" is supplied from 2:21.
o Some texts have "all of you know"
o It seems the best text is written above, but the best translation would be "and you all know"
o This is referring to John's readers already knowing all the truth about the Gospel, Jesus Christ, the church, etc. The point being, John's readers do not need "more truth". They do not need to hear the new teaching and the progressive ideas of the secessionists, the antichrists.
o Translations:
[x] NIV: "But you have an anointing from the Holy One, and all of you know the truth."
[x] ESV: "But you have been anointed by the Holy One, and you all have knowledge."
[x] NAS: "But you have an anointing from the Holy One, and you all know
."
[x] KJ: "But ye have an unction from the Holy One, and ye know all things."
[x] Holman: "But you have an anointing from the Holy One, and all of you have knowledge."
[x] Young's: "And ye have an anointing from the Holy One, and have known all things."
o Comparable Verses:
[x] John 14:26: "But the Advocate, the Holy Spirit, whom the Father will send in My name, will teach you all things and will remind you of everything I have told you."
[x] 1 John 2:27: "And as for you, the anointing you received from Him remains in you, and you do not need anyone to teach you. But just as His true and genuine anointing teaches you about all things, so remain in Him as you have been taught."
[x] 1 Corinthians 2:15: "The spiritual man judges all things, but he himself is not subject to anyone's judgment."
o Textual Options from manuscripts:
- This chrisma, "anointing", or Holy Spirit from Jesus will have a noticeable effect in our thinking and our understanding (even to the place of empowering us to cognitively process concepts and knowledge that is a mystery to the natural intellect/soul/mind, Ephesians 1:17-18). Notice John's consistent references to this ministry of the Holy Spirit:
| Greek Text | English Translation |
|---|---|
| oidate pantes | “you all know” |
| kai oidate panta | “and you know all things” |
| First John | | |
|---|---|---|
| 2:11 | | They do not know where they are going, because the darkness has blinded |
| | | them. |
| 2:20 | and all of you know the truth. | |
| 2:21 | I do not write to you because you do not know the truth, but because you do know it and because no lie comes from the truth. | |
| 2:29 | If you know that he is righteous, you know that everyone who does what is right has been born of him. | |
| 3:2 | | Dear friends, now we are children of God, and what we will be has not yet been |
| | | made known. But we know that when Christ appears, we shall be like him, for |
| | | we shall see him as he is. |
| 3:5 | But you know that he appeared so that he might take away our sins. And in him is no sin. | |
| 3:14 | | We know that we have passed from death to life, because we love each other. |
| | | Anyone who does not love remains in death. |
| 3:15 | | Anyone who hates a brother or sister is a murderer, and you know that no |
| | | murderer has eternal life residing in him. |
| 5:13 | I write these things to you who believe in the name of the Son of God so that you may know that you have eternal life. | |
| | | may know that you have eternal life. |
| 5:15 | | And if we know that he hears us--whatever we ask--we know that we have what |
| | | we asked of him. |
| 5:18 | | We know that anyone born of God does not continue to sin; the One who was |
| | | born of God keeps them safe, and the evil one cannot harm them. |
| 5:19 | | We know that we are children of God, and that the whole world is under the |
| | | control of the evil one. |
| 5:20 | | We know also that the Son of God has come and has given us understanding, so |
| | | that we may know him who is true. And we are in him who is true by being in his |
| | | Son Jesus Christ. He is the true God and eternal life. |
| John (Gospel) | | |
| 4:32 | |
|---|---|
| 5:32 | |
| 5:42 | |
| 7:17 | |
| 7:28-29 | 8:14;8:19; 8:28;8:328:37;8:55 |
| 10:4-5 | 10:14,15,27,38 |
| 10:15 | |
| 12:35 | 12:50 |
| 13:7 | 13:12; 13:17-18 |
| 14:17 | 14:4, 7; 14:20, 31, |
| 15:15 | 15:18, 21 |
| 17:3 | 17:23 |
| 19:35 | |
First John 2:21 – "I write to you, not because you do not know the truth, but because you know it, and because no lie is of the truth."
- John makes it clear he is not writing a group of people who do NOT know the truth.
- John is writing not to teach them something new, but to remind them that they already know the truth!
- The truth they have been given does NOT produce lies like the ones they are hearing from the secessionist.
- The topic of the truth John is speaking about is the fact that Jesus is the Christ
- The secessionists were denying this, which revealed they were antichrists (2:22-23)
- These are not compromises, but lies. This is truth vs error. The lies are:
o 1:6
o 2:4
o 4:20
o 2:22
- Only Jesus can show us God. Only in Jesus is God revealed. Rejection of Jesus is rejection of the true God
First John 2:22 – "Who is the liar but he who denies that Jesus is the Christ? This is the antichrist, he who denies the Father and the Son."
|
PILOT AWARD APPLICATION INSTRUCTIONS
CaMPR-BASIC
Collaborative and Multidisciplinary Pilot Research Award for
Basic Science and Clinical/Translational Investigators
2016-17
With demands to bring new medical cures to the public faster and less expensively, and in light of evershrinking research funding sources, the importance of team science is now stronger than ever. In 2006, the Irving Institute for Clinical and Translational Research (Columbia's Clinical and Translational Science Award, CTSA) was charged with helping bridge basic and clinical/translational research to bring effective, efficient strategies into medical practice.
In the interest of building such research teams at CUMC, applications are being accepted for a novel pilot award initiative—the CaMPR-BASIC program. CaMPR-BASIC derives from our original CaMPR awards program, now in its tenth year, which provides funding opportunities to support the formation of newlyconfigured investigative teams from different disciplines aimed at addressing a significant health problem at the cellular, individual, or community level.
The original CaMPR program was created by the Irving Institute to: (1) support multidisciplinary research; (2) train and mentor a new generation of translational research teams; and (3) expand and optimize the utilization of CUMC's outstanding research resources.
CaMPR-BASIC takes the next step towards the development of multidisciplinary teams by offering targeted support for collaborations between researchers from non-clinical departments from either the CUMC or Morningside campus and clinical investigators on the medical campus. Now in its fourth year, examples of previous CaMPR-BASIC pilot awardees can be viewed at:
http://irvinginstitute.columbia.edu/research_ops/campr_awardees.html
Applicants to CaMPR-BASIC are required to form a NEW collaborative team consisting of two Principal Investigators at the level of Assistant Professor: one from a basic science (non-clinical) department/school and one from a clinical department. If appropriate for the research project, a consultation with the Irving Institute's Regulatory and Ethics Resource will be required. Additional information about this Resource can be found at:
http://irvinginstitute.columbia.edu/resources/ethics.html
ELIGIBILITY. The Basic Science (non-clinical) PI must hold an Assistant Professor appointment at the Columbia College of Physicians and Surgeons in one of the following departments: Biochemistry and Molecular Biophysics, Biomedical Informatics, Microbiology and Immunology, Pathology and Cell Biology, Pharmacology, Physiology and Cellular Biophysics, Genetics and Development, and Neuroscience. Assistant Professors in non-clinical departments at the Morningside Campus, e.g., Chemistry, Biology, Biomedical Engineering, etc., are also eligible.
The Basic Science (non-clinical) PI may choose a clinical investigator from any of the four CUMC schools for the role of the Clinical PI. The new collaborative team may not have produced any publications together nor shared research funding in the past.
Research focus should be on PILOT STUDIES that will lead to independent, external funding. These awards are not intended to supplement or overlap with on-going funded research, nor are they meant to support research teams already in existence. PLEASE NOTE: The project will be focused at the pre-clinical level, with relevance to a clinical problem. The goal of the program is to bring a clinical focus and experience to the pre-clinical research, i.e., to ensure that the cell or animal model is appropriate, that the
target molecule is specific, and that the pre-clinical approach has potential for significant translation to humans.
Up to two (2) pilot grants of $40,000 each will be awarded to the most promising collaborative teams whose research proposal best exemplifies the program goals by embarking in a new direction to address a common problem from both the basic and the clinical/translational research perspectives.
Award Amount: $40,000
Term of Award: One (1) Year
Funding Start Date: July 1, 2017
Eligibility: U.S. citizenship or permanent residency status is not required.
DEFINITION OF CLINICAL AND TRANSLATIONAL RESEARCH
RESEARCH DIRECTED TOWARD HUMAN DISEASES
RESEARCH SHOULD INVOLVE ONE OR MORE OF THE FOLLOWING:
* LABORATORY STUDIES OF HUMAN BODY FLUIDS, TISSUES, CELLS OR DEVICES;
* DIRECT CONTACT WITH HUMAN SUBJECTS, INCLUDING THERAPEUTIC TRIALS, STUDIES OF GROUPS OF PATIENTS OR CLINICAL OUTCOMES;
* STUDIES IN CELLS OR ANIMAL MODELS OF A DISEASE IN WHICH A THERAPEUTIC APPROACH AND/OR MECHANISM OF DISEASE IS BEING INVESTIGATED.
Evidence from each PI's Department Chair/Research Dean in support of this new research collaboration is mandatory.
FIND A COLLABORATOR. Prospective applicants are strongly encouraged to take advantage of the Irving Institute's CUSP tool (Columbia University Scientific Profiles) to seek out potential collaborators in disciplines other than their own and find CUMC investigators who share a common research interest. For example, an investigator interested in 'diabetes' can do a simple word search at:
http://irvinginstitute.columbia.edu/cusp/
APPLICATION PROCESS. CaMPR-BASIC involves a two-phase or two-step application process. Phase I consists of a Letter of Intent due on Wednesday, December 14, 2016. All submitted Phase I Letters of Intent will be reviewed, then the teams selected to move forward in the application process will be notified and required to submit a Full Application by Friday, March 10, 2017. Only the teams that are selected to apply for the Phase II Full Application will be eligible to compete for one of up to two $40,000 pilot awards. The Full Application guidelines for Phase II have been included in this document to assist in the development of a competitive Phase I Letter of Intent. Please be sure to follow the requirements outlined in the Phase I Letter of Intent section of this document.
PHASE I: LETTER OF INTENT
1) All Letters of Intent must be submitted through the web-based system, http://irvinginstitute.fluidreview.com/ by 5:00p EST, Wednesday, December 14, 2016.
2) Create a New User Account: Applicants using FluidReview for the first time should create a new user account using their Columbia University email address. Returning FluidReview users should log into the system using their username and password. Each team will need to begin a new CaMPR-BASIC Letter of Intent submission using the following format for the submission title, "PI #1 LAST NAME and PI #2 LAST NAME - 2016-17 CaMPR-BASIC LOI". Note: One PI can begin a new submission and add the other PI as a team member.
3) Fill out all parts of the web-based Letter of Intent Application Form (contact information for all team members, project title, abstract, etc.).
4) Upload the Letter of Intent PDF: The Letter of Intent will serve as Phase I of the application process. It should provide the initial basis for the review of both the scientific merit of the proposed study and feasibility of the newly-formed interdisciplinary team. It should include:
* Specific Aims, Rationale, and Brief Description of experimental approach (1-2 pages): Describe the new research collaboration and proposed work in terms of what public health challenge it addresses. In addition, describe how this new collaboration will benefit both PIs, as well as the greater CUMC community.
5) Upload NIH-style biosketches for each investigator including collaborators and/or consultants: Maximum of 5 pages per investigator (including Other Support).
6) Upload the Signatures of Approval page: Applicants are required to discuss their intent to apply to this program with their Department Chair/Research Dean well in advance of application submission. The Signatures of Approval page must contain signatures from both investigators and their respective Department Chair/Research Dean. The Signatures of Approval template page is available for download in the Resources section, located in the upper-right hand corner of this web-based application system.
7) Submit your Letter of Intent through the web-based system by 5:00p EST, Wednesday, December 14, 2016.
PHASE II: FULL APPLICATION (ONLY TO BE SUBMITTED AFTER PHASE I SELECTION IS ANNOUNCED)
1) Fill out all parts of the Phase II Full Application Form (including contact information, current funding sources, grant applications submitted or under review, 12-month budget, and budget justification.)
* Budget: This one-year, one-time award is in the sum of $40,000. Your detailed budget should directly support your protocol. Each item must be justified in the budget justification section
of the application. Expenses may include salary, equipment, computer costs, etc., but the justification must be clearly stated.
2) Upload the body of the application: The Study Protocol may not exceed five (5) single-spaced, typed pages (11 or 12 point font required; Arial typeface preferred), excluding references. The Protocol will be judged on the basis of each team's response to the following questions and should include:
* Goals: What are you planning to do?
* Rationale: Why is it worth doing? Justify the specific strengths of the investigative team (i.e. describe the specific roles of the lead investigators). How is the proposed work interdisciplinary? What is innovative about your collaboration?
* Methods: How will the study be conducted? o Include a discussion on statistical analysis, e.g., size, power, controls, analysis of data.
o We strongly encourage applicants to seek consultation with relevant Irving Institute Resources prior to submission of this proposal (e.g., Design & Biostatistics, Regulatory and Ethics, Community Engagement, Biomedical Informatics). Note that requests for Irving Institute Resources to help with grant submissions MUST be submitted at least 4 weeks prior to the proposal due date; otherwise, a request for consultation could be delayed or possibly denied. Requests must be made online at the following URL: http://irvinginstitute.columbia.edu/. Our Service Request form can be found by clicking any one of three buttons on our Web site – RESOURCES, RESEARCH or LINKS, and then selecting SERVICE REQUESTS. To access these services and log in your request, a Columbia UNI, password and eRA Commons Username are required.
o We strongly recommend that applicants familiarize themselves with the new NIH policies requiring that both male and female animals (or cells) be included in preclinical studies (See the editorial by NIH Director Frances Collins in Nature 509:282-283, 2014). For the Phase II application, applicants will need to address how the study design takes into account the impact of the sex of the animals (cells) proposed and methods for reducing/controlling any potential sex-based difference.
o Delineate needs for staff, facilities and/or services of the Irving Institute that will be requested/used/needed for carrying out the proposed work
* Future Plans: What is the next step after receiving pilot funding?
o What specific grant application(s) do you plan to submit and when? Provide a detailed plan and timeline for grant applications to the NIH, private foundations, or other external funding sources. This response will be heavily weighted.
* References: Reference page(s) do not count towards the five (5) page limit.
3) Upload NIH-style biosketches for each investigator including collaborators and/or consultants: Maximum of 5 pages per investigator (including Other Support).
5
4) Upload the Signatures of Approval page, which must contain signatures from both investigators and their respective Department Chair/Research Dean. The Signatures of Approval template page is available for download in the Resources section, located in the upper-right hand corner of this webbased application system.
5) Submit the application by selecting the "Submit Your Application" button in the web-based application system, http://irvinginstitute.fluidreview.com/ by 5:00p EST, Friday, March 10, 2017.
NOTE: IRB/IACUC approval is not required at the time of application, but must be in place, in writing, at the time of the award (July 1, 2017). In order to avoid any delays if Phase II funding is awarded, candidates are encouraged to apply and obtain IRB/IACUC approval in advance.
REVIEW PROCESS:
Reviewers will use a scoring system based on a 5-point scale and judge each application on the basis of overall fit with the eligibility criteria, multidisciplinarity, investigators' potential for independent research careers, and scientific merit.
For any questions about the application content, please contact:
Co-Director, Pilot and Collaborative Studies Resource, Irving Institute for Clinical and Translational Research email@example.com
Dr. Elaine Larson
(212) 305-0723
For any questions about the application process, please contact:
Administrative Assistant, Irving Institute for Clinical and Translational Research
Sabrina Harris firstname.lastname@example.org
u
(212) 304-5692
NON-COMPLIANCE WITH THESE INSTRUCTIONS MAY RESULT IN THE PROPOSAL BEING RETURNED WITHOUT REVIEW.
PRINCIPAL INVESTIGATORS ARE STRONGLY ADVISED TO REVIEW APPLICATIONS WITH SENIOR FACULTY MEMBERS PRIOR TO SUBMISSION. IN ADDITION, A SIGNATURE FROM BOTH PIs' DEPARTMENT CHAIR/RESEARCH DEAN MUST BE INCLUDED.
DO NOT INCLUDE APPENDICES.
PILOT AWARD WINNERS WILL BE ANNOUNCED IN JUNE 2017.
FUNDING WILL BE AVAILABLE JULY 1, 2017.
To learn more about the Irving Institute, please visit: http://irvinginstitute.columbia.edu
To access the Irving Institute's web based application system, please visit: http://irvinginstitute.fluidreview.com/
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Seeds and Growth
AS WE GATHER
"The kingdom of heaven is like . . ." Jesus used this phrase many times in His teaching and preaching, with the images of seeds and growth as one of His common metaphors. From the seemingly miraculous action of a tiny seed with tremendous growth, to what the Lord speaks in a beautiful promise of a divine planting and producing He Himself will provide for His people, we are today drawn to the Scriptures, the faith He has planted and grown in us through His Spirit, and the ultimate fulfillment found in Jesus Christ alone. May God grant seed, nurture, growth, and good fruit to each of us as we worship Him today.
PRELUDE Splendor Paternae W. Held
WELCOME – Pastor Christopher Fairbairn
RINGING OF THE BELL
FOURTH SUNDAY AFTER PENTECOST
8:30 am and 11 am June 17, 2018
11 AM Agnus Dei
913 O Holy Spirit, Enter In
(11 AM) BAPTISM OF Sullivan Dwain Park
(Lord's Prayer on page 9, Apostles Creed on page 6 )
INVOCATION
Leader:
In Holy Baptism the Lord has called us, in body and soul, as His own. The Holy Spirit was freely given to us and the gift of faith was planted within us through the water and the Word that we may call upon God’s name believing that He will hear and answer. In the name of the Father and of the Son and of the Holy Spirit.
People: Amen.
OPENING SENTENCES Based on Psalm 124:1, 4, 5, 8
Leader:
O God the Father, Creator of our bodies, planter and nurturer of all that grows,
People: we gather in Your holy name.
Leader:
O God the Son, the Seed of our salvation, planted in death embodying our sin and resurrected to life again with a glorified body,
People: we gather in Your holy name.
Leader: O God the Holy Spirit, Sower of faith and Sanctifier of our bodies,
People: we gather in Your holy name.
CONFESSION AND ABSOLUTION Ezekiel 17:24; 2 Corinthians 5:6–7, 10; Philippians 3:21
Leader:
Merciful God, as we gather as one Body yet many members, we confess that we are by nature sinful and unclean, that our thoughts words, and deeds are always impure, and we ask for Your forgiveness. As You alone “bring low the high tree, and make high the low tree, dry up the green tree, and make the dry tree flourish, ” we have at times impeded the growth You desire and have failed to trust in You.
People: We have not loved You with our whole heart, and we have not loved
our neighbors as ourselves. Forgive us, Lord.
Leader:
We have not always been confident being away from You as we are at home in the body.
People:
We have lived more by sight than by faith, trusting ourselves more than You. Forgive us, Lord.
Leader:
We have sought to increase pleasures of this body and life, without regard to building for our eternal life. We must all appear before the judgment seat of Christ, that each one may receive what is due him for the things done while in the body, whether good or bad.
People: We are sorry for our sin and come to You in true repentance.
Leader:
We live by faith, not by sight, and in confident faith we have the free gift of forgiveness through Jesus Christ. For His sake, God forgives us all our sins, in the name of the Father and of the Son and of the Holy Spirit
May He who began this good work in you bring it to completion at the day of Jesus Christ, our Lord.
People: Amen.
PRAYER OF THE DAY
Leader:
Almighty God, You alone as Creator sustain and provide for this wonderful creation and for all that we need for our body and life. Plant, nurture, and grow the seed of Your Word among us that Your kingdom may grow here within Your Church and be a blessing to our community and to the world; through Jesus Christ, Your Son, our Lord, who lives and reigns with You and the Holy Spirit, one God, now and forever.
People: Amen.
EPISTLE 2 Corinthians 5:1–10 (Our eternal dwelling)
Reader: For we know that when this earthly tent we live in is taken down (that is, when we die and leave this earthly body), we will have a house in heaven, an eternal body made for us by God himself and not by human hands.
People:
2 We grow weary in our present bodies, and we long to put on our heavenly bodies like new clothing. 3 For we will put on heavenly bodies; we will not be spirits without bodies.
Reader:
4 While we live in these earthly bodies, we groan and sigh, but it's not that we want to die and get rid of these bodies that clothe us. Rather, we want to put on our new bodies so that these dying bodies will be swallowed up by life. 5 God himself has prepared us for this, and as a guarantee he has given us his Holy Spirit.
People: 6 So we are always confident, even though we know that as long as we live in these bodies we are not at home with the Lord. 7 For we live by believing and not by seeing. 8 Yes, we are fully confident, and we would rather be away from these earthly bodies, for then we will be at home with the Lord.
Reader:
9 So whether we are here in this body or away from this body, our goal is to please him. 10 For we must all stand before Christ to be judged. We will each receive whatever we deserve for the good or evil we have done in this earthly body.
Reader:
People:
This is the Word of the Lord.
Thanks be to God!
HOLY GOSPEL Mark 4:26–34 (Jesus' parables of the growing seed)
26 Jesus also said, "The Kingdom of God is like a farmer who scatters seed on the ground. 27 Night and day, while he's asleep or awake, the seed sprouts and grows, but he does not understand how it happens. 28 The earth produces the crops on its own. First a leaf blade pushes through, then the heads of wheat are formed, and finally the grain ripens. 29 And as soon as the grain is ready, the farmer comes and harvests it with a sickle, for the harvest time has come."
Parable of the Mustard Seed
30 Jesus said, "How can I describe the Kingdom of God? What story should I use to illustrate it? 31 It is like a mustard seed planted in the ground. It is the smallest of all seeds, 32 but it becomes the largest of all garden plants; it grows long branches, and birds can make nests in its shade."
33 Jesus used many similar stories and illustrations to teach the people as much as they could understand. 34 In fact, in his public ministry he never taught without using parables; but afterward, when he was alone with his disciples, he explained everything to them.
Reader: This is the Gospel of the Lord.
People: Praise to You, O Christ.
(8:30) THE APOSTLES' CREED
I believe in God, the Father Almighty, maker of heaven and earth. And in Jesus Christ, His only Son, our Lord, who was conceived by the Holy Spirit, born of the virgin Mary, suffered under Pontius Pilate, was crucified, died and was buried. He descended into hell. The third day He rose again from the dead. He ascended into heaven and sits at the right hand of God the Father Almighty. From thence He will come to judge the living and the dead. I believe in the Holy Spirit, the Holy Christian church, the communion of saints, the forgiveness of sins, the resurrection of the body, and the life everlasting. Amen.
834 O God, O Lord of Heaven and Earth
MESSAGE – Pastor Christopher Fairbairn
What seeds have you been given by God and refuse to water and nourish? When a parent or YOU scatter Gospel seeds of hope, it is worth more than100 pastors.
PRAYER OF THE CHURCH
Leader:
Ever-gracious Lord, we come to You with thanksgiving for all the fruits of Your creation. May our tithes and offerings as a response to all You have given be blessed that many more seeds of Your Word may be planted in this community. We pray for the whole Church that the seed of God's Word, though small in comparison with what the world around us thinks is great, may grow slowly but surely, offering shade to all who seek its refreshment. With all our heart, soul, mind, and strength, let us pray to the Lord, saying: Lord, in Your mercy,
People:
Leader:
People:
Leader:
People:
hear our prayer.
Ever-protecting Lord, deliver us from every evil around us. Guide those who govern our lands, give courage to those who protect our communities and our nation, and grant wisdom to all. We pray for our enemies and those who seek to do evil upon Your creation and wish to do harm to our bodies, that we may find the strength to forgive as we have first been forgiven. Lord, in Your mercy, hear our prayer.
Ever-nurturing Lord, be present in the homes of all Your people. Grant parents and children the joy of teaching and learning Your Word, grant safety in the summer ahead for those at home and those who travel, and grant all Your people the confidence to be lights in a dark world wherever they may be that Your love may be known to all. Lord, in Your mercy, hear our prayer.
Leader:
People:
Ever-comforting Lord, while in this tent of a body, many groan, longing to be clothed with a heavenly dwelling. Many others are burdened by physical, spiritual, and emotional afflictions and seek comfort and peace as they remain in the body You have created. [We especially pray for . . . ]. Grant healing according to Your will, and give comfort and steadfast faith guaranteeing what is to come eternally. Lord, in Your mercy, hear our prayer.
Leader:
Always-forgiving Lord, though we deserve nothing but Your wrath and punishment for our sins, You have sent Your Son to die for us and for His sake have given us new life and growth. Strengthen us by this Communion, and encourage our unity of faith. Lord, in Your mercy,
People: hear our prayer.
OFFERING OF OUR TITHES AND GIFTS
We invite you to fill out our Friendship Card during the offering which is found on the back of the pew. Please pass your card to the center aisle and leave in pew.
AT THE OFFERING (8:30 AM) Our God Reigns (L.E. Smith) Choir (11 AM) My Lighthouse
8:30AM THE LORD'S PRAYER
Our Father who art in heaven hallowed be Thy name. Thy kingdom come, Thy will be done on earth as it is in heaven. Give us this day our daily bread; and forgive us our trespasses as we forgive those who trespass against us; and lead us not into temptation, but deliver us from evil. For Thine is the kingdom and the power and the glory forever and ever. Amen.
THE WORDS OF INSTITUTION
Please see our communion policy stated on the inside front cover.
THE DISTRIBUTION
COMMUNION WINE: For those who may not be able to take regular wine, we offer non-alcoholic wine. The non-alcoholic wine is the light colored wine in the center of the communion tray.
11 AM There Is a Redeemer (Sung below) Bless the Lord Oh My Soul Through it All
There Is a Redeemer
There is a Redeemer, Jesus God's own Son Precious Lamb of God Messiah Holy One.
Chorus:
Thank You, O my Father For giving us Your Son; And leaving Your Spirit 'til The work on earth is done.
Jesus, my redeemer Name above all names Precious Lamb of God, Messiah Hope for sinners slain.
Chorus:
When I stand in glory I will see His face And there I'll serve my King forever In that holy place.
Chorus:
577 Almighty God, Your Word Is Cast
821 Alleluia! Sing to Jesus
742 For Me to Live Is Jesus
BLESSING OF THE COMMUNICANTS
Leader: We give thanks to You, Lord, that as You richly and daily provide for all of our needs of this body and life, You so graciously bless us with the gift of forgiveness through this food and drink of the body and blood of Your Son, Jesus Christ, our Lord. Strengthen and grow the seeds of faith that they may flourish with trust in You and in love toward one another; through Jesus Christ, Your Son, our Lord, who lives and reigns with You and the Holy Spirit, one God, now and forever
People: Amen.
BENEDICTION
Leader: As we depart in His name and plant the seeds of the saving Gospel message, go out into the world in peace and faith. By that faith have courage, hold to what is good, return no evil for evil, strengthen the fainthearted, support the weak, help the suffering, honor all people, and love and serve the Lord, rejoicing in the power of the Holy Spirit who waters, sustains, and grows the seeds of faith that have been planted. While we remain in the body, the almighty God, the Father, the Son, and the Holy Spirit, bless you and keep you until His eternal and perfect kingdom comes
People: Amen.
THE INVITATIONS
11 AM I Will Follow
921 On What Has Now Been Sown
POSTLUDE "Darwall's 148 th
"May We Help You? Anyone who desires special private prayer with the Pastor may do so by remaining in the sanctuary until all worshippers have departed. At that time, come forward and speak with the Pastor.
Hymns Reprinted with permission license #663075
11 AM Contemporary Songs
Above all wonders the world has ever known Above all wealth and treasures of the earth There's no way to measure what you're worth
Crucified Laid behind the stone You lived to die Rejected and alone
Like a rose trampled on the ground You took the fall And thought of me Above all
Repeat All
My Lighthouse Rend Collective
In my wrestling and in my doubts In my failures You won't walk out Your great love will lead me through You are the peace in my troubled sea
Agnus Dei
Michael W. Smith
Alleluia Alleluia For our Lord God Almighty reigns Alleluia Alleluia For our Load God Almighty reigns Alleluia Holy Holy Are You Lord God Almighty Worthy is the Lamb
Repeat All
Above All Michael W. Smith
Above all powers
Above all kings Above all nature and all created things Above all wisdom and all the ways of man You were here before the world began
Above all kingdoms Above all thrones
In the silence, You won't let go In the questions, Your truth will hold Your great love will lead me through You are the peace in my troubled sea
My lighthouse, my lighthouse Shining in the darkness. I will follow You My lighthouse, my lighthouse I will trust the promise You will carry me safe to shore (oh-oh-oh-oh-oh) Safe to shore (oh-oh-oh-oh-oh) Safe to shore
I won't fear what tomorrow brings With each morning I'll rise and sing My God's love will lead me through You are the peace in my troubled sea My lighthouse, my lighthouse Shining in the darkness. I will follow You
My lighthouse, my lighthouse I will trust the promise You will carry me safe to shore (oh-oh-oh-oh-oh) Safe to shore (oh-oh-oh-oh-oh) Safe to shore
Fire before us You're the brightest You will lead us through the storms Fire before us You're the brightest You will lead us through the storms
Fire before us You're the brightest You will lead us through the storms Fire before us You're the brightest You will lead us through the storms
My lighthouse, my lighthouse I will trust the promise You will carry me safe to shore (oh-oh-oh-oh-oh) Safe to shore (oh-oh-oh-oh-oh) Safe to shore
10,000 Reasons (Bless the Lord)
Matt Redman
Bless the Lord, O my soul O my soul Worship His holy name Sing like never before O my soul I'll worship Your holy name
The sun comes up, it's a new day dawning It's time to sing Your song again Whatever may pass, and whatever lies before me Let me be singing when the evening comes.
Bless the Lord, O my soul O my soul Worship His holy name Sing like never before O my soul I'll worship Your holy name
You're rich in love, and You're slow to anger Your name is great, and Your heart is kind For all Your goodness I will keep on singing Ten thousand reasons for my heart to find.
Bless the Lord, O my soul O my soul Worship His holy name Sing like never before O my soul I'll worship Your holy name
And on that day when my strength is failing
The end draws near and my time has come
Still my soul will sing Your praise unending Ten thousand years and then forevermore. Bless the Lord, O my soul O my soul Worship His holy name Sing like never before O my soul I'll worship Your holy name [x2]
Jesus, I'll worship Your holy name Lord, I'll worship Your holy name
Through It All Hillsong Worship
You are forever in my life You see me through the seasons Cover me with Your hand And lead me in Your righteousness
And I look to You And I wait on You
I'll sing to You, Lord, a hymn of love For Your Faithfulness to me And I'm carried in everlasting arms You'll never let me go through it all
You are forever in my life You see me through the seasons Cover me with Your hand And lead me in Your righteousness
And I, I look to You, oh And I wait on You
I'll sing to You, Lord, a hymn of love For Your Faithfulness to me And I'm carried in everlasting arms You'll never let me go, I will sing
Alleluia, Alleluia 2x I'll sing to You, Lord, a hymn of love For Your Faithfulness to me And I'm carried in everlasting arms You'll never let me go, I will sing
I Will Follow
Chris Tomlin
Where you go, I'll go Where you stay, I'll stay When you move, I'll move I will follow All your ways are good All your ways are sure I will trust in you alone Higher than my side High above my life I will trust in you alone
Where you go, I'll go Where you stay, I'll stay When you move, I'll move I will follow you Who you love, I'll love How you serve I'll serve If this life I lose, I will follow you I will follow you
Light unto the world Light unto my life I will live for You alone You're the one I seek Knowing I will find All I need in You alone, in You alone
Where you go, I'll go Where you stay, I'll stay When you move, I'll move I will follow you Who you love, I'll love
How you serve I'll serve If this life I lose, I will follow you I will follow you
In You there's life everlasting In You there's freedom for my soul In You there's joy, unending joy And I will follow
Where you go, I'll go Where you stay, I'll stay When you move, I'll move I will follow you Who you love, I'll love How you serve I'll serve If this life I lose, I will follow you I will follow you
WHERE WE SERVE
Preacher/Officiant
Pastor Christopher Fairbairn
Remember Our Shut-ins Norman Kleiner 16100 N. Haggerty Rd. Plymouth, MI 48170 734-420-4000 *Sunrise of Northville
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Today's flowers are:
One vase in memory of my son Ron from his mom Bernice Baggett and his four sisters.
One vase in memory of Virginia and Norman Kleiner's wedding anniversary, it would have been 75 years.
Please arrange to pick up your flowers after the 11am Sunday Service.
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Audio recording of the sermons and bulletins (church and school calendars) are now posted online every week @stpaulnorthville.org
FREE FREE FREE – Now that I have your attention – follow the church and school on Instagram – Follow the church at stpaullutherannorthville and the school at stpaulschoolnorthville
Attendance Last week :
6/10/2018– 8:30am – 115
11:00am – 59 = 174 Bible Study Sunday 6/10/2018 - 36
Communion - 88 Men's Bible Study 6/9/2018 - 6
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Donations needed each week for Church and School – $9,808
Received week of 6/10/18 for Church and School $(Envelopes plus loose plate) $7781.25
School Income - $631.60
Rental Income - $125
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It's PICNIC and BINGO time again. We hope you may be able to join us at Allen Terrace on Wednesday, June 27, 2018. Our Elders are sponsoring the picnic at 6:00pm with the help of a Thrivent grant and BINGO will begin promptly at 7:00 pm with cookies and beverages. If you can help with prizes, cookies or beverages, please let us know by calling Sue Poole 248 904 9080 or Nancy Berg at 248 756 4031. There is a sign up on the Women in Christ bulletin board for cookies & beverages. Put all prizes in our prize box. Thank you, we hope to see you there.
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The Board of Evangelism will be organizing our church and school to walk in the 4th of July Parade on July 4th at 10:00 in downtown Northville. We gather at Northville Downs around 9:30ish. We will all be walking. We will have our church school banner, an American Flag that will be walked with at least four people one on each corner carrying it parallel to the ground and we will have candy, tattoos and possibly some pin
wheels to hand out along the route. Everyone is invited to walk with us and many are needed. We hope to have a grant from Thrivent approved so we will have those t-shirts available, I ordered a few kid sizes and adult as well, or if you have one of the white t-shirts with the Christian pledge on the back and St Paul logo on front those would be great as well. If you let me know you are planning on walking with us, I may be able to let you know where you can find our group in the line up at the downs, that was a challenge last year for some. We are collecting candy to be passed out. Please put it in the box provided. Thank you, Sue Poole, 248 904 9080.
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Summer Women's Bible Study - This summer we will be offering a bible study for women. It will begin on Monday June 25th and run for 8 weeks. We will begin at 6:00 with a light supper and begin our study at 6:30. This year we will be studying Joshua. After wandering for 40 years in the desert, Joshua had reason to be apprehensive about entering the Promised Land. But God commanded him to be strong and courageous, and the Book of Joshua shares the powerful story of how God fulfilled his promises and led the Israelites into the long-awaited land of milk and honey. This eight-session course shares lessons from Joshua on how to live a life of extraordinary faith. If you are interested or want more information, email Lisa Fairbairn at email@example.com or you can sign up on the board in hallway by canopy door. This study is free but we need to know if you are attending so that we have enough materials and for planning meals. Hope you can join us.
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Vacation Bible School is right around the corner, June 18-22, 9 am. -12 pm. This community service outreach program generally hosts about 100 children, ages 4-12. We are delighted to be able to host this program again this year. As many of you know, VBS takes many volunteers to make it a successful event. We need help with crafts, decorations, snacks, games, bible stories and supervision of the children as they rotate among the various stations. We are hopeful that you will find it in your heart to assist in some capacity. Please contact anyone on the VBS committee and let us know what area you would like to help: Jeanette Koch (coordinator), Sue Poole, Claudia Williamson, Kristen Goodman and Pat McGuigan. We gladly accept teenagers in our volunteer pool. Get ready for "Camp Moose on the Loose."
We share in the joy of HOLY BAPTISM OF Sullivan Dwain Park in the 11:00 AM worship service today. Sullivan is the infant son of Courtney Greulich and Michael Park and was born at Beaumont Health, Royal Oak, Michigan. Sullivan's sponsors are Kelly and Brock Radunske. As God writes Sullivan's name in the book of life let us all pray that this new relationship that has begun today will be lived, explored and discovered throughout Sullivan's life.
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Modelling the Rapid Chloride Permeability Test 1
2
*Peter A Claisse, Professor of Construction Materials, Coventry University, Civil Engineering 3
Group, John Laing Building, Priory Street, Coventry, CV1 5FB, UK 4
Phone +44 24 7688 8881 5
Email firstname.lastname@example.org 6
Hanaa I Elsayad, Associate Professor, Department of Civil Engineering Zagazig University, 7
Banha Branch, Egypt 8
Esmaiel Ganjian. Senior Lecturer, Coventry University, Civil Engineering Group, John Laing 9
Building, Priory Street, Coventry, CV1 5FB, UK 10
11
Abstract. 12
A computer model has been written to simulate the Rapid Chloride Permeability Test (RCPT) 13
described in ASTM C1202. The model represents the key processes of diffusion and 14
electromigration using standard equations but then maintains charge neutrality by modelling 15
changes to the voltage distribution. This method enables the model to predict current-time 16
transients similar to those recorded in experiments and it can then be used to obtain basic 17
parameters such as diffusion coefficients for tested samples by optimising to the observed data. 18
Experimental data showing a non-linear voltage distribution is presented together with model 19
results which show that the no-linearity has a significant effect on the current. Other predictions 20
from the model are compared with published data and shown to give good agreement. 21
22
1. Introduction 23
24
The Rapid Chloride Permeability Test (RCPT) was developed by Whiting (1) and has been 25
standardised as ASTM C1202-97 (2). This paper presents a computer model which is intended 26
to describe the test. The main objectives of the work are: 27
a. To make use of the shape of the current-time transient which is recorded every time the test is 28
29
carried out.
b. To enable the test to differentiate between different factors which might cause higher or lower 30
charges to be recorded. For example a sample with a low initial concentration of hydroxyl ions 31
(which might be caused by the use of a pozzolanic material in the concrete) might give a low 1
result and be confused with a sample with a low chloride diffusion coefficient. 2
3 c. To obtain the chloride diffusion coefficient from the test to permit comparison with other
tests. 4
d. To provide a scientific explanation for the results from the test. 5
6
The key phenomenon which is proposed in this work is the non-linearity of the voltage 7
distribution during the test. It is proposed that a linear voltage drop through the sample is not 8
9 maintained throughout the test and experimental observations are presented to support this
theory. 10
11
2. The Physical Processes 12
13
2.1 The transport processes. 14
The significant transport processes which take place during the test are diffusion and 15
electromigration. 16
17
In the diffusion process the dissolved ions move through the water at a rate determined by the 18
concentration gradient. The flow per second per unit cross sectional area of the solid (the Flux, J) 19
is given by Fick's law (3) which is shown in equation [1]. 20
21
J = ε D dC mol/m 2 /s 22
24
dx 23
where 25
ε is the porosity, 26
D is the intrinsic diffusion coefficient in m 2 /s and 27
C is the ionic concentration in the pore fluid in mol/m 3 . 28
x is the distance in m. 29
30
Electromigration is caused by the applied voltage. If an electric field is applied across the solid the 31
negative ions will move towards the positive electrode (3). 32
33
The flux due to electromigration is given by equation [2]: 34
[1]
2
DzECF ε
RT
= J
3 where
z is the valency of the ion 4
F is the Faraday constant = 9.65 × 10 4 Coulomb/mol 5
E is the electric field in volts/m 6
R = 8.31 J/mol/ o K 7
T is the temperature in o K 8
9
2.2. Adsorption 10
The transport processes are restricted by adsorption in which a linear isotherm is assumed, i.e. a 11
fixed proportion of the ions in any part of the barrier are adsorbed onto the matrix and will not 12
13 move. The use of a non-linear isotherm could improve the accuracy of the results but it would
require substantially more input data to define the isotherm for each type of mixture. 14
15
To describe these processes two different ionic concentrations must be defined (4): 16
17
C kg/m 3 is the concentration of ions per unit volume of liquid in the pores. These ions will pass 18
through the barrier under the influence of the physical transport processes. The concentration per 19
unit volume of the solid will be ε C where ε is the porosity. 20
21
Cs kg/m 3 is the total concentration (including adsorbed ions) per unit volume of the solid. The 22
ions which are adsorbed onto the solid will not move. The capacity factor is defined as [3] 23
24
The apparent diffusion coefficient Da, which is measured if total concentrations rather than 27
solution concentrations are measured, is related to the intrinsic diffusion coefficient by equation 28
29 [4]
mol/m
2
/s
[2]
1
Yu et al. (6) have carried out experimental measurements of ionic diffusion at an interface 2
between chloride-free and chloride-containing cementitious materials. They observed that the 3
chloride ions obeyed Fick's law but the hydroxyl ions distributed themselves to preserve charge 4
balance. This movement would have been cause by an electric field established by the chloride 5
ions and is the mechanism proposed in the present work. 6
7
2.4 Temperature Calculation 8
When the current flows it will cause Ohmic heating in the sample. This is regularly observed 9
during the experiments. The heat will be lost at a rate which is approximately proportional to the 10
temperature difference between the sample and room temperature. 11
12
3. The computer model. 13
14
3.1 Transport Calculations. 15
The model works by repeated application of equations 1 and 2 through time and space. The sizes 16
of the steps of time and space are set by continuously reducing them and checking that the solution 17
remains constant. In particular the time step is reduced sufficiently to ensure that the concentration 18
does not change by more than 10% during any time step. The calculations are carried out for ions 19
in solution and at the end of each time step they are re-distributed using the capacity factor to 20
calculate adsorption. 21
22
3.2 Voltage changes. 23
These effects are applied within the model by distorting the voltage and checked by ensuring that 24
25 charge neutrality is maintained throughout the sample at all times. This is clearly not possible if
only one ion type is being considered and all therefore of the migrating ions are considered 26
together. The initial concentrations in the sample must be equal for anions and cations and if the 27
data does not comply with this requirement the model will not run. 28
Ion generation and removal at the electrodes is represented in the model by assuming that the 29
ions being generated and removed are always hydroxyl ions. This assumption is probably most 30
accurate at the cathode where hydroxyl ions are produced together with some hydrogen gas. At 31
the anode hydroxyl ions are removed and the resulting oxygen may be used in corrosion of the 32
electrode, but checks on the sensitivity of the model have shown that this will not cause a 33
significant error. 34
3.3 Temperature 2
This effect has been included in the code with a constant of proportionality for the heat loss 3
which was determined from experimental observations of the peak temperatures. 4
5
3.4 Optimisation. 6
The model which is outlined above would be useful for calculating the current transient for a 7
sample for which all of the physical properties were known. In practice the opposite is required; 8
the current transient is observed and the properties of the sample must be calculated from them. 9
This can be done by a process of optimisation. Repeated modelling is carried out and the 10
properties are adjusted to give a transient which is as close to the experimental values as 11
possible. Unfortunately the properties cannot be considered sequentially for this. For example it 12
is not possible to optimise the chloride diffusion and then go on to optimise the hydroxyl ion 13
concentration because this will give a different minimum for the chloride diffusion. Thus the 14
different properties must be optimised together. 15
The optimisation has been the process which has delayed the use of this model. The authors 16
previously presented the basic method (7) but were unable to apply it due to the limited capacity 17
of the computers generally available at the time. With a modern standard desk-top computer 18
three properties may be optimised in a few hours. This may be seen as locating a single 19
minimum point in the three dimensional space created by these three variables. 20
21
3.5 Methods used in the work presented in this paper. 22
For the work that is presented here the migration of four ions has been considered: chloride, 23
hydroxyl, sodium and potassium. Each of these is defined by three variables, a diffusion 24
coefficient, a capacity factor and an initial concentration in the sample. It has been noted above 25
that the computers which were used were capable of optimising three of the resulting 12 26
variables which define the system. In effect nine variables must be set and the remaining three 27
are calculated. For the present work the hydroxyl and chloride diffusion and initial concentration 28
of hydroxl ions were optimised. Table 1 shows the initial values of the variables. 29
When the initial concentration of one ion in the system was increased in order to optimise the 30
solution it was necessary to balance this with a counter-ion to maintain neutrality. When the 31
chloride was increased the counter-ion was assumed to be sodium but when the hydroxyl was 32
increased an immobile anion was introduced to represent a net charge on the matrix. 33
34
4. Experimental methods. 1
2
3
Mixes were cast to the proportions shown in Table 2 and cured in water for 28 days. 4
5
The testing was carried out using apparatus which was similar to that described in ASTM but 6
with the following specific differences: 7
1. The end-volumes were larger at 0.8 litres, compared with typical volumes of 0.2 litres for the 8
9
standard apparatus.
2. The experiment was run at 40 Volts. 10
3. The samples were run for 1000 minutes (17 hours). These longer runs typically give far 11
greater changes in current during the test than are normally observed during a six hour test. 12
4. The cells were designed to give access to the top of the sample (8). For some samples this 13
was used to establish a salt bridge by drilling 4mm diameter holes in the samples and installing a 14
flexible plastic pipe containing 0.1M potassium chloride. The other end of the pipe was placed 15
in a beaker with a reference electrode. 16
The computer modelling was carried out using code written in Visual Basic running as a macro 17
in Microsoft Excel on a standard desk-top computer. 18
19
20 5. Model Validation.
21
5.1 An Analytical Solution 22
Luping and Nilsson (3) presented an integrated solution to equations 1 and 2 which gives the 23
concentration of chloride ions at different times. 24
25
where 27
and c0 is the concentration at the surface (in the reservoir). 29
30
This may be differentiated to give the current: 31
32
)]
2
3
Where:
α = ax
4 β = 2a Dt
This equation only applies to a single ion. The model was checked against the equation but this 5
6 was only possible after disabling the voltage correction, temperature change routines and
changes to the concentrations in the reservoirs which are not included in the analytical solution. 7
With these precautions exact agreement was obtained. 8
9
5.2 Fitting the Data. 10
It has been observed that optimising with three variables will normally give the model sufficient 11
degrees of freedom to calculate a good theoretical fit to experimental data sets. Figure 1 shows 12
the model fit to the data for mix A. This was obtained by optimising to the experimental results. 13
The obtained intrinsic diffusion coefficients were 7.8 × 10 -11 for hydroxyl and 2.9 × 10 -10 for 14
chloride and the initial concentration of hydroxyl ions was 245 mol/m3. It may be seen that the 15
model is able to give a good fit to the shape of the curve. Figure 1 also shows the effect of 16
modelling the system with a linear voltage drop and it may be seen that the effect is significant. 17
18
5.3 Effect of hydroxyl ion concentration. 19
Figure 2 shows the predicted effect of the hydroxyl ion concentration on the initial, final and 20
average results. Typically this concentration would be most affected by the addition of 21
pozzolanic materials that would deplete the free lime during hydration. Sugiyama (9) has 22
23 observed that the initial current is far more significantly affected by this concentration than the
final current and it may be seen that this observation is well predicted by the model. 24
25
5.4 Chloride Profiles. 26
Figure 3 shows chloride concentrations predicted by the model at different times and compares 27
them with those found experimentally by different authors. For this modelling the volume of the 28
29 input reservoir was increased to reduce predicted changes in concentration. It may be seen that
30 the model predicts a small build-up of chlorides just below the surface that has not been
observed but the shape of the main part of the curve follows the observations. 31
5.5 Salt-Bridge measurements. 2
Figure 4 shows the current-time transient for a sample of mix B. The fit to this curve was 3
obtained with intrinsic diffusion coefficients of 1.65 × 10 -11 for hydroxyl and 4 × 10 -11 for 4
chloride and the initial concentration of hydroxyl ions was 90 mol/m3. Figure 5 shows the 5
voltage distribution across the sample after 6 hours indicating the predicted values and two 6
measurements made on replicate samples. It may be seen that the deviation from a linear voltage 7
drop is small but reference to Figure 4 shows that it has a very significant effect on the current. 8
9
5.6 Effect of sample length. 10
Figure 6 shows the predicted effect of changing the sample length. It may be seen that it is non- 11
linear with a greater increase in charge passing at shorter lengths. This effect was observed by 12
Abou-Zeid (11) for all of a number of series of samples tested. 13
14
6. Discussion. 15
16
Figures 7 and 8 show the predicted relationship between the measured charge passing and the 17
diffusion coefficients for sodium and chloride. This basic relationship would be expected and 18
has been observed by Yang(12) and others. Comparing these with figure 2 it may be seen that it 19
is indicated that a high intial current shows a high hydroxl concentration, a high average current 20
(i.e. a current that increases and then falls) shows a high chloride diffusion and a more uniform 21
trend shows high sodium diffusion. For observed data these trends could be analysed using the 22
optimisation programme. 23
Figure 9 shows the predicted voltage at the mid-point of the sample at the end of the test as the 24
different variables are changed. This voltage would be 20 Volts in a linear voltage distribution. 25
It may be seen that measuring this would yield very useful data for the model to work with and 26
could separate out different phenomena. Pre-saturating the sample with chlorides is predicted to 27
have a very significant effect by reducing the resistivity across all of it except a small region near 28
the anode where the ions are depleted. The hydroxyl ion concentration may be seen to have a 29
significant effect on the mid-point voltage with a change from below 20V to above 20V as the 30
concentration increases. If a concrete sample is being tested and it gives a low Coulomb value 31
this could be caused by a low chloride diffusion coefficient but it could also be caused by the use 32
of a pozzolanic material to deplete the hydroxyl ions. Measuring the mid-point voltage could 33
differentiate between these two effects and determine whether the sample was as good as the 1
Coulomb value indicated. It is suggested that drilling a small hole and measuring this voltage 2
on a spare channel in the data-logger would not add significantly to the cost of these tests but 3
could yield very useful data for analysing the results. 4
All of the results reported here were taken over a test period of 17 hours. It is suggested that this 5
increased time adds significantly to the value of the data. Permitting the reservoirs 6
concentrations to change (by limiting their volume) will also cause the current to change more 7
during the test and give a clearer "signature" to show the properties of the sample being tested. 8
9
7. Conclusions. 10
11
1. The voltage drop across samples in the RCPT is not linear and the non-linearity has 12
significant effects on the results. 13
2. The test can be modelled to give realistic solutions using a computer simulation. 14
3. It is indicated that to obtain maximum information the test should be run for as long as 15
possible, the reservoirs should be limited and the voltage at the centre of the sample should be 16
recorded with a salt-bridge in a drilled hole. 17
4. Measuring the mid-point voltage could differentiate between samples which have low 18
Coulomb values due to low chloride diffusion and those where the low value has been caused by 19
ion depletion in a pozzolanic reaction. 20
21
8. References 22
1. Whiting D, Rapid determination of the chloride permeability of concrete, Report No. 23
FHWA/RD-81/119, Washington DC, 1981. 24
2. ASTM C1202-97 "Standard Test Method for Electrical Indication of Concrete's Ability to 25
Resist Chloride Ion Penetration" ASTM International West Conshohocken Pa 1997 pp.620-625. 26
3. Luping T and Nilsson L-O, ACI Materials Journal, Volume 89, No 1, pp 49-53, 1992. 27
4. Atkinson A and Nickerson A K, "The Diffusion of Ions through Water-Saturated Cement", 28
J.Mater Sci 19, 1984, 3068-3078 29
5. Bleaney B I and Bleaney B, Electricity and Magnetism, Oxford University Press 1965. 30
6. Yu S W, Sergi G and Page C L, Ion Diffusion across an interface between Chloride-Free and 1
Chloride-Containing Cementitious Materials, Magazine of Concrete Research, 1993, Vol 45 2
No.165 p.257-261. 3
7. P A Claisse and T Beresford, Getting more from the electrical chloride test, American Concrete 4
Institute Special Publication SP170. Proc. CANMET/ACI conference on the durability of concrete. 5
Sydney, August 17-22 1997 6
8. Beresford T, The development of a model for the transport of chlorides in concrete containing 7
pulverized ful ash. MPhil Thesis, Coventry University UK 2001. 8
9. Sugiyama T, Tsuji Y and Bremner T W, Relationship between coulomb migration coefficient of 9
chloride ions for concrete in a steady-state chloride migration test, Magazine of Concrete Research, 10
2001, Vol 53, No.01 pp.13-24 11
10 Tritthart J, Ion transport in cement paste during electrochemical cholride removal, Advances 12
in Cement Research, 199, 11, N0.4 pp.149-160. 13
11. Abou-Zeid M N, Meggers D and McCabe S L, Parameters affecting the Rapid Chloride 14
Permeability Test, Concrete International, November 2003, pp.61-66. 15
12. Yang C-C, Relationship between Migration Coefficient of Chloride Ions and Charge Passed 16
in Steady State, ACI Materials Journal, March-April 2004 pp.124-129. 17
2
3 Table 1. Values for variables at start of run in base case prior to optimisation to fit experimental
data. 4
5
| Ion | Valence z | Intrinsic Diffusion Coefficient D m2/s | Concentration C mol/m3 (in liquid) | | | Capacity Factor |
|---|---|---|---|---|---|---|
| | | | negative reservoir | in sample | positive reservoir | |
| hydroxyl | -1 | 1.65E-10 | 0 | 275 | 300 | 0.2 |
| chloride | -1 | 6.00E-10 | 500 | 0 | 0 | 2 |
| sodium | 1 | 4.00E-10 | 500 | 138 | 300 | 0.2 |
| potassium | 1 | 9.00E-11 | 0 | 137 | 0 | 0.2 |
| anion | 1 | 0 | 0 | 0 | 0 | 0.1 |
6
7
Table 2: Mixes used for experimental work 8
9
10
11
12
| Mix | GGBS/cement | Water/cementitious | Sand/cementitious |
|---|---|---|---|
| A | - | 0.7 | 1.5 |
| B | 0.25 | 0.3 | 2.6 |
2
3
4
4
5
6
7
8
2
3
4
5
6
7
8
9
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Chapter 8
THE INTERNATIONAL ARCHITECTURE
INTRODUCTION
The implication of our analysis is that the interests of developing countries are best served by tailoring their intellectual property regimes to their particular economic and social circumstances. Just as developed countries currently exhibit significant variations in how they apply IPRs, and did so to an even greater extent in the past, so should developing countries be free to proceed accordingly. Indeed, it is perhaps more important for developing countries because costly errors of policy will be harder to bear. A crucial question, however, is how this objective can be accommodated within the complex international architecture of multilateral, regional and bilateral IP rules and standards which impose unprecedented limits on the freedom of countries to act as they see fit in this field. (See Box 8.1 for an overview).
This question arises not only in the context of the existing regulations but may also be asked of the future regulations currently under discussion. As we discuss in Chapter 6, the current debate about more comprehensive international harmonisation of patent systems in WIPO raises in acute form the issue of how developing countries' interests can appropriately be protected and furthered in the international system. More generally, our conclusions place a responsibility on the international community to assess whether the mechanisms in place for negotiating intellectual property standards, both multilaterally and bilaterally, take sufficient account of the interests of developing countries and poor people. We consider that the institutional framework is not optimally suited to this task and needs to display considerably greater sensitivity to these issues.
The central questions, which we address below, are as follows:
* Do the key international institutions, in particular WTO and WIPO, provide adequate advice and analysis based on an understanding of the particular needs of developing countries, and poor people?
* In their bilateral relations with developing countries, do developed countries take sufficient account of the impact of IPRs on developing countries and in particular poor people in them?
* Are developing countries themselves sufficiently aware of where their own interests lie, and do they have the capacity to secure those interests in bilateral and multilateral negotiations?
In order to answer these questions, it is necessary to gain some understanding of the international architecture for IP, how rules are formulated at that level and how the institutions help in embedding them into national law.
Box 8.1 The International IP Architecture: Multilateral, Regional and Bilateral Rules
The architecture of the global IPR regime has become increasingly complex, and includes a diversity of multilateral agreements, international organizations, regional conventions and bilateral arrangements.
Multilateral treaties
Most of these agreements are administered by WIPO, and are of three types:
i. Standard setting treaties, which define agreed basic standards of protection. These include the Paris Convention, the Berne Convention and the Rome Convention. Important non-WIPO treaties of this kind include the International Convention for the Protection of New Varieties of Plants (UPOV) and TRIPS.
ii. Global protection system treaties, which facilitate filing or registering of IPRs in more than one country. These include the Patent Cooperation Treaty (PCT), and the Madrid Agreement Concerning the International Registration of Marks.
iii. Classification treaties, which organise information concerning inventions, trademarks and industrial designs into indexed, manageable structures for ease of retrieval. One example is the Strasbourg Agreement Concerning the International Patent Classification.
Other international agreements with an IPR content include the International Treaty on Plant Genetic Resources for Food and Agriculture and the Convention on Biological Diversity.
Regional treaties or instruments
Examples of these kinds of agreement include the European Patent Convention, the Harare Protocol on Patent and Industrial Designs within the Framework of ARIPO, and the Andean Community Common Regime on Industrial Property.
Regional trade agreements
Regional trade agreements normally have sections governing IP standards. For example, the North American Free Trade Association, the proposed Free Trade Area of the Americas, the EU/ACP Cotonou Agreement.
Bilateral agreements
Specifically, these include those bilateral agreements that deal with IPRs as perhaps one of several issues covered. A recent example is the 2000 Free Trade Agreement between the US and Jordan, but there are many others (see Table 8.1).
Source: UNCTAD/ICTSD (2002).
INTERNATIONAL STANDARD SETTING: WIPO AND WTO
There are several international institutions involved in standard setting for intellectual property. WIPO is the principal international institution responsible for organising the negotiation of IP Treaties and their administration. With the inclusion of TRIPS in the Uruguay Round, intellectual property has also come under the aegis of the WTO, the successor to GATT, and some would argue that WIPO's influence has thereby diminished. A special Council for TRIPS was created within the WTO structure to administer the TRIPS Agreement.
The secretariats of both WIPO and WTO serve organisations which are governed by members. National governments determine policy and decide the outcome of negotiations. In reality, as in any bureaucracy where governance has a dispersed structure, the secretariat and its leadership play a greater or lesser role in defining the important issues, and determining the range of possible solutions. WIPO and the WTO also respond to a range of external influences, outside the formal structure of governance, including from member states, some of which have greater influence than others, and external pressure groups including industry, industry associations and NGOs.
Governments and others perceive that the WTO is particularly important as an institution for establishing trade rules which are binding. This is because of the generality of its scope and the fact that it has the power to impose sanctions that may significantly affect national policy. This is why the developed countries chose GATT/WTO, rather than WIPO, as the appropriate mechanism for the globalisation of IP protection through TRIPS. It is also why, for instance, so much attention was focused on the Doha Declaration on TRIPS and Public Health by industry, governments and NGOs. The importance of the WTO in the context of IP rule-making is not so much due to its particular competence in international standard setting for IP (although it has a high quality intellectual property division), but because its mechanism for dispute settlement is a potent tool, which members can use to enforce the TRIPS obligations of their trading partners, backed by the threat of trade sanctions. To date, there have been 24 cases of dispute settlement cases concerning TRIPS in the WTO, the vast majority having been brought by the US and the EU. 2
In contrast, WIPO has a greater depth of expertise in the field of intellectual property. But it is a very different type of organisation for two reasons. First, about 90% of its funding comes not from member governments (as in WTO or other UN agencies) but from the private sector by way of fees paid by patent applicants under the PCT - effectively from the community of patentees. 3 Secondly WIPO is, by its founding charter, solely concerned with the promotion of IPRs. Its objectives and functions do not include a development objective. 4
As might be expected from WIPO's interpretation of its mission (see Box 8.2), the organisation is a firm advocate of stronger IP protection in developing countries. Indeed, the analyses in WIPO's various published policy documents pay little attention to the possible adverse consequences of such protection. IP rights are, in the main, presented as unequivocally beneficial. For instance, a publication on WIPO's website entitled "Intellectual Property – Power Tool for Economic Growth" states that ideas that:
"…patents are not relevant to developing nations, or that they are incompatible with the economic objectives of the developing nations - are pernicious myths. The reason why these notions are pernicious is because they give the impression that it is possible to simply opt {out} of the international patent system, and yet still achieve economic development. This is an error as patents are an essential component of economic strategy, regardless of whether the country is developed or in the process of economic development." 5
We do not read too much into any individual statement such as this but it is, we believe, indicative of a particular perspective which prevails at WIPO. As is evident from this report, it is beyond question that there is a rather more complex link between intellectual property protection and development than such statements suggest. We recognise that WIPO has a role to play in promoting IPRs. However, we believe that it needs to do so in a much more nuanced way that is fully consistent with the economic and social goals to which the UN, and the international community are committed. A more balanced approach to the analysis of IPRs, and, in consequence WIPO programmes, would be beneficial to both the organisation and the developing world, which forms the majority of its membership.
WIPO should give more explicit recognition to the fact that IP protection has both benefits and costs, and give greater emphasis to the need for IP regimes to be appropriately tailored to the individual circumstances of developing countries. This would, we believe, certainly involve greater
Box 8.2 The World Intellectual Property Organisation (WIPO)
WIPO began life in 1893 as BIRPI (the French acronym for the United International Bureaux for the Protection of Industrial Property). This was a body established principally to administer service the Paris and Berne Conventions on industrial property and copyright. It was only restructured and reconstituted as a UN agency as recently as 1974.
WIPO's objectives, as set out in the Convention establishing it, are to "promote the protection of intellectual property throughout the world". In the light of that objective, its first function is to "promote the development of measures designed to facilitate the efficient protection of intellectual property throughout the world and to harmonize national legislation in this field." 6 It is "convinced of the need to ensure that developing countries…are fully integrated into the international intellectual property system." It believes that "harmonization of national policies on the establishment of intellectual property rights should be sought, with the aim of protection at the global level." 7 This is the perspective in which it manages its cooperation and technical assistance activities with developing countries.
Today, the main functions of WIPO are to serve as a forum for negotiation of international IP treaties; to administer such treaties and operate the systems of global protection such as the Patent Cooperation Treaty (PCT) and the Madrid system; and to provide technical assistance and training to developing countries and countries in transition.
The PCT aims to simplify and reduce the cost of obtaining international patent protection. By filing one international patent application under the PCT, an applicant can simultaneously seek protection for an invention in over one hundred countries. Recent PCT applications are published in the PCT Gazette to facilitate public access to technical information.
WIPONET is a global digital information network, providing network infrastructure and services for improved information exchange, to enable the integration of IP information resources, processes and systems of the worldwide IP communities, particularly the IP offices of member States. WIPONET will also provide a portal for other WIPO-provided systems, such as the Intellectual Property Digital Libraries (IPDLs), and eventually to on-line filing under the PCT.
The Internet Corporation for Assigned Names and Numbers (ICANN) administers a system for resolving domain name disputes involving trademarks, and a system of best practices for domain name registration authorities, designed to avoid such conflicts.
The WIPO Worldwide Academy is an institution which provides teaching, training, advisory, and research services in intellectual property.
Source: http://www.wipo.int
sensitivity in providing assistance to developing countries in implementing TRIPS and appropriate other measures to ensure that IP rights operate in the public interest.
As a means to this end, we also believe that WIPO would benefit from drawing a wider group of constituencies with an interest in the IP system into its policy-making process, such as consumer organisations. WIPO has always been responsive to the needs of the industrial sectors which make intensive use of IP. We are less persuaded that it is as responsive to the interests of consumers or users of IP-protected products. It is of crucial importance in this respect that WIPO is not perceived as being receptive primarily to those organisations which have an interest in stronger IP protection. 8
Quite recently, WIPO set up two advisory bodies: a Policy Advisory Commission (PAC) and an Industry Advisory Commission (IAC). We welcome the establishment of these groups whose role is to provide expert advice to WIPO. We also welcome the recognition, noted below, of the need for a wider range of views to be represented in policy making. But we think that the membership of these bodies should reflect more systematically those diverse interests in society that have an interest in IP, both as producers of it or users. Thus representatives from industry, scientists, consumer groups and other civil society organisations, as well as IP experts and government representatives would enable WIPO to play a more effective role in facilitating dialogue with its broad constituency of stakeholders. This greater involvement with a wider representation of users and interest groups could usefully be complemented by closer co-operation with other relevant international organisations, such as the WHO (particularly for implementing the Doha Declaration), FAO, UNCTAD and the World Bank. 9
WIPO should act to integrate development objectives into its approach to the promotion of IP protection in developing countries. It should give explicit recognition to both the benefits and costs of IP protection and the corresponding need to adjust domestic regimes in developing countries to ensure that the costs do not outweigh the benefits. It is for WIPO to determine what substantive steps are necessary to achieve this aim but it should as a minimum ensure that its advisory committees include representatives from a wide range of constituencies and, in addition, seek closer cooperation with other relevant international organisations.
If WIPO adopts the approach we suggest, a question arises as to whether its current articles will permit it to do so legitimately. The objectives laid down for many international organisations are broad and multi-faceted, and allow for considerable flexibility in interpretation if member states wish to change the activities of the organisation in response to changing circumstances. Unlike many of these organisations, WIPO has a very specific mandate in its constitution - to promote the protection of intellectual property throughout the world, including the harmonisation of national legislation. We are not sure that this mandate can be interpreted to allow WIPO to adjust its approach in developing countries to reflect the economic need to balance the benefits and costs of IP protection.
Unless they are clearly able to integrate the required balance into their operations by means of appropriate reinterpretation of their articles, WIPO member states should revise the WIPO articles to allow them to do so.
THE TRIPS AGREEMENT
There has been much debate about whether the subject matter of the TRIPS agreement belongs in WTO. Some commentators have taken the view that the WTO is essentially a free trade organisation and the global enforcement of IP standards, among nations at very different levels of social and economic development, should not fall within its terms of reference. They argue that intellectual property is not a matter concerned with trade, and further, that as TRIPS will principally benefit the developed countries, the credibility of the WTO as an instrument to promote free trade in the interests of all countries is weakened. A leading exponent of this view is Jagdish Bhagwati:
"TRIPS does not involve mutual gain; rather, it positions the WTO primarily as a collector of intellectual property-related rents on behalf of multinational corporations (MNCs). This is a bad image for the WTO and in the view of many, especially the non-governmental organizations, reflects the "capture" of the WTO by the MNCs." 10
Others counter this argument by stating that IP protection has always been integral to trade and commercial diplomacy. On this view, TRIPS was produced as a result of bargaining between sovereign states as part of a larger package of trade-offs in which there were supposed to be gains for all. Whilst not all developing countries participated in the TRIPS negotiations, they were free to do so and leading developing countries, most notably India and Brazil, did participate actively.
It appears to us that, despite the history of the Uruguay Round negotiations and the asymmetries in negotiating capacity and power between the developed and developing countries, TRIPS is likely to remain an integral part of the WTO framework. While we have reservations about the extension of TRIPS standards to all developing countries, we recognise that it is most unlikely that any WTO members would be keen to renegotiate the agreement. Many members fear that in seeking particular amendments they would be obliged to compromise elsewhere in ways that may not bring a net benefit to them. The TRIPS Agreement, like others in the WTO, is subject to periodic review and genuine proposals for improving TRIPS provisions to benefit developing countries must be given proper consideration. But beyond these general points, we wish to draw two other specific conclusions from the evidence and our consultations about TRIPS.
Assisting Developing Countries to Implement TRIPS
First, it is of prime importance that WTO members complete their work in clarifying the flexibilities within TRIPS regarding public health and that developing countries are enabled to utilise these and other flexibilities in the Agreement. Much new IP legislation has been introduced in developing countries since 1995 and some commentators 11 have expressed concern that the flexibilities available under TRIPS have not been fully utilised to reflect local needs. Our investigations of the current or draft IP laws of about around 70 developing countries and LDCs found, for example, that only around a quarter of these countries specifically excluded plants and animals from patent protection, less than half provided for international exhaustion of patent rights and less than a fifth specifically provided a so-called "Bolar" exception to patent rights. 12 Of course, there may be good reasons why a developing country might not wish to make use of these flexibilities, having made an informed decision not to do so. Their freedom to manoeuvre may also be constrained by other commitments, such as bilateral agreements.
But it might also be because those in charge of the legislative process are unaware of the options available, or the full implications of these options. As we note in Chapter 7, developing countries receive technical assistance in the IP field from a wide range of national and international institutions, such as the EPO, the USPTO, and the IP authorities of developed countries. But WIPO, as the international institution responsible for the promotion of IP, has a pivotal role in the setting of standards in this area, through its model laws and the nature of the technical assistance it provides. Our comments on this subject are therefore appropriately directed at WIPO, but they apply as well to all the other bodies involved in advising developing countries on IP matters.
We found that while some, particularly in developing country IP offices, highly value WIPO's technical assistance, substantial concerns have been raised by a number of individuals and organisations, about whether the assistance provided by WIPO has always been appropriately tailored to the circumstances of the developing country concerned. 13 Hitherto, the confidential nature of the consultations between WIPO officials and a developing country, together with the absence of a formal WIPO policy statement on the nature of its technical assistance made it difficult to assess whether there was substance to in these concerns. In addition, WIPO did not publicise its model IP laws and annotations which would have indicated the extent to which it was providing advice consistent with all the flexibilities under TRIPS. There is also evidence that, in cases where WIPO's assistance has been acknowledged, the result has not incorporated all TRIPS flexibilities. For instance, the revised Bangui Agreement for the OAPI countries, where WIPO's assistance is acknowledged, has been criticised in various quarters for going further than TRIPS. It obliges LDC members (the majority of OAPI members) who ratify it to apply TRIPS in advance of need; it restricts the issuance of compulsory licences to a greater extent than required by TRIPS; it does not explicitly allow parallel imports; it incorporates the elements of UPOV 1991 in the agreement and it provides for a copyright term of 70 years after the death of the author.
However, very recently WIPO has introduced a page on its website which describes the legislative assistance it provides in relation to TRIPS and the Doha Declaration. This serves to allay some of these concerns. In addition to making available the model IP laws it uses, WIPO also notes that:
"WIPO's advice takes into account all the flexibilities that are open to members under the TRIPS Agreement including those confirmed in the Doha Ministerial Declaration on the TRIPS Agreement and Public Health ("the Doha Ministerial Declaration"). WIPO's advice takes into account the unique situation of each country, given that Member States have different legal systems and different political and cultural structures. WIPO follows up its written legal advice with an interactive process between the Organization and major stakeholders in the Member State concerned. To strengthen the TRIPS implementation process during the last four years, WIPO has promoted the interaction among stakeholders at the national level to include, for example, officials of Law Reform Commissions, Chambers of Commerce and Federation of Industries, Research and Development institutions, Parliamentarians, high-level officials of Ministries of Trade, Agriculture, Health, Science and Technology, Culture, Justice, Environment, among others." 14
We welcome this statement of WIPO's commitment to provide advice to developing countries which takes account of the flexibilities in TRIPS, and the particular circumstances of each country. In addition we attach importance, as we note in the previous chapter, to a wide-ranging consultative process in the development and evolution of each country's IP legislation. Such consultation is essential if IP laws are to be devised in line with development objectives in agriculture, health and industry. Nevertheless, we think that this is the beginning of the process required to make WIPO truly responsive to the specific needs of developing countries. For example, WIPO's current model law on patents requires further work in our view if it is to provide the best guidance on how developing countries can utilise the flexibilities in TRIPS. 15 Other organisational and procedural changes may also be necessary to embed these new policies operationally. Other providers of IP technical assistance need also to consider their policies in the same light.
WIPO should take action to make effective its stated policy of being more responsive to the need to adapt its IP advice to the specific circumstances of the particular developing country it is assisting. We also recommend that it, and the government concerned, involve a wider range of stakeholders in the preparation of IP laws both within government and outside, and both potential producers and users of IP. Other providers of technical assistance to developing countries should take equivalent steps.
Timetable for Implementing TRIPS
Our second conclusion regarding TRIPS is that, consistent with the overall analysis of this report, we are not persuaded by the arguments that developing countries at very different stages of development should be required to adopt a specific date (January 2000 for developing countries, January 2006 for LDCs) when they will provide the TRIPS standards of protection within their domestic IP regimes, regardless of their progress in creating a viable technological base. On the contrary, we believe there are strong arguments for greater flexibility in setting an optimum time to strengthen IP protection, taking into account the nation's level of economic, social and technological development.
In TRIPS there are provisions made for the extension of the transitional period for LDCs by the TRIPS Council, although the logic of our argument applies to a wider range of low income developing countries. 16 We think that TRIPS would be improved by utilising these provisions to take greater account of the special needs of LDCs. These countries need longer to devise appropriate IP regimes and to establish the necessary administrative and institutional infrastructure, as well as the required regulatory frameworks, including complementary legislation such as competition law. The challenges are formidable and developing countries will incur significant costs if they rush to establish an IP regime that is inappropriate to their level of development. And, quite obviously, the governments of many LDCs, particularly in sub-Saharan Africa are facing much more immediate demands in critically important areas such as health, education and food security.
We do not think that granting LDCs the option of a longer transition period for TRIPS will materially damage the interests of developed nations. The Doha Declaration began this process by agreeing on the extension of the transition period for LDCs to provide patent protection to pharmaceuticals to at least 2016. It seems logical that the extension of that transition period should now be broadened to cover the implementation of TRIPS as a whole. It could be readily implemented by the TRIPS Council in complete conformity with the existing provisions of Article 66.1 of the Agreement. Furthermore, we think the TRIPS Council should also consider introducing criteria to decide the basis on which LDCs should enforce TRIPS obligations after 2016. These criteria could include indicators of economic development and scientific and technological capability, related to the criterion specified in the Article of "the need for flexibility to create a viable technological base." 17
LDCs should be granted an extended transition period for implementation of TRIPS until at least 2016. The TRIPS Council should consider introducing criteria based on indicators of economic and technological development for deciding the basis of further extensions after this deadline. LDCs that have already adopted TRIPS standards of IP protection should be free to amend their legislation if they so desire within this extended transition period.
IP IN BILATERAL AND REGIONAL AGREEMENTS
Developed countries, the US and the EU in particular, have sought to encourage developing countries to comply with international IP treaties, or to adopt higher standards of IP protection. In the past, trade concessions have been withheld and trade sanctions implemented against certain developing countries whose IP regimes have not met the expectations of their trading partners in the developed world. 18 More recently, there has been a trend for developed countries to seek commitments on IP standards from an increasing number of developing countries in bilateral or regional trade and investment agreements that go beyond TRIPS. 19 Table 8.1 below, provides some examples. 20
We accept that to a degree, developed countries have a legitimate interest in the IP standards of their trading partners. In our judgement, regional and bilateral agreements are much less preferable to the setting of multilateral standards, where the negotiating capabilities of developed and developing countries although remaining asymmetrical, are counterbalanced by numerical advantage and the ability to build alliances. Moreover, there is a risk that regional/bilateral agreements could undermine the multilateral system by limiting more generally the use by developing countries of the flexibilities and exceptions in TRIPS. In particular the Most Favoured Nation Principle means that terms agreed bilaterally or regionally must be offered to all other WTO members on the same basis.
It is unrealistic to think that IP standard setting will disappear altogether from bilateral and regional commercial diplomacy. The imperative, then, is for developed countries to ensure that their policy objectives for IP standards in regional/bilateral trade agreements are demonstrably consistent with their broader objectives for promoting international development and poverty reduction. To that end we would encourage developed countries, rather like developing countries (see Chapter 7), to incorporate a wider range of stakeholders, within government and without, in their policymaking on IP. IP policy too must integrate development considerations and that should be done as much by developed countries as by developing. Developing countries should not have to accept IP rights imposed by the developed world, outside their existing commitments to international agreements. Negotiators for developed countries need to take account of the costs to developing countries of higher IP standards, as well as the benefits to their own industries.
Table 8.1. Examples of Bilateral Agreements Requiring TRIPS-plus Standards 20
| Agreement | Date |
|---|---|
| US-Jordan Free Trade Agreement | 2000 |
| US-Cambodia Agreement on Trade Relations and IPRs | 1996 |
| US-Vietnam Agreement on Trade Relations | 2000 |
To the extent that development objectives have been given a higher priority in the policy framework of developed countries (as seemed to be demonstrated at Doha and Monterrey), then it would be unwise to let IP policy be influenced principally by domestic industrial and commercial interest groups in developed countries, whose view of what is appropriate for developing countries is very much coloured by their perception of their own interest. Governments from developed countries need to form their own view, in the light of all the evidence, as to how the interests of development in developing countries and their own commercial interests can best be reconciled. Ultimately, this should not be a zero sum game. In our view, most developed countries take insufficient account of development objectives when formulating their policies on IP internationally. More specifically, we believe that developed countries should discontinue the practice of using regional/bilateral agreements as a means of creating TRIPS-plus IP regimes in developing countries as a matter of course. 21 Developing countries should be free to choose, within the confines of TRIPS, where to pitch their IP regimes.
Though developing countries have the right to opt for accelerated compliance with or the adoption of standards beyond TRIPS, if they think it is in their interests to do so, developed countries should review their policies in regional/bilateral commercial diplomacy with developing countries so as to ensure that they do not impose on developing countries standards or timetables beyond TRIPS.
PARTICIPATION BY DEVELOPING COUNTRIES
Active participation by developing countries is essential to ensure the legitimacy of standard setting and its appropriateness and relevance to nations at very different levels of development. The achievement of the Doha declaration, in part, reflected the fact that developing countries were able to present carefully developed, specific proposals that could be accommodated in WTO rulemaking. One clear implication of this, and a theme which emerged from much of our fieldwork, is that developing countries need the capacity to participate much more effectively in international IP negotiations, and on a regular rather than an exceptional basis.
To participate effectively, developing countries require a combination of four factors. These are permanent representation in Geneva; appropriately staffed expert delegations able to attend meetings and negotiations; adequate technical support for policy analysis; and functional mechanisms for policy co-ordination and discussion in capitals. In Chapter 7, we dealt with the issue of the need for more "joined-up" policymaking in developing countries, and the crucial requirement to develop expertise in policymaking in IP in their national institutions. We deal here with the other two issues.
Permanent Representation in Geneva
Permanent representation in Geneva is important for ensuring good information flows back to capitals; participation in informal consultations and negotiations; alliance building with likeminded countries; eligibility for chairing meetings; and to enable better access to the services and assistance available from the secretariats. A recent study commissioned by the Commonwealth Secretariat 22 found that there are 36 developing countries, either WTO members or in the process of accession, who do not have any permanent representation in Geneva because they cannot afford the high costs of setting up and running a mission. 23 Our own analysis shows that 20 of the 45 LDCs who are members of either WIPO or WTO, or are in the process of WTO accession, are currently without permanent representation in Geneva. Where developing countries do have permanent representation, they are on average only half the size of those of developed countries. 24 There is a duality amongst developing countries in their capacity to participate. Some 30-35 developing countries, including Brazil, Egypt, India and some LDCs like Bangladesh, are effective and active participants at WTO and WIPO and accordingly exert an influence on the rule-making processes in these organisations. The rest of the developing countries, including many of the LDCs, are currently little more than spectators in WTO and WIPO, if they are present at all.
Expert Delegations
Developing countries should ideally send expert delegations from their capitals to attend international negotiations and meetings on different IP subjects. For most developing countries, a fundamental constraint is the lack of financial resources for travel costs, notwithstanding the schemes for financial assistance available from WIPO. 25 Even when delegations from the capitals do attend, their expertise may be limited to IPR administration as opposed to knowledge of IP as a tool of development policy. It would be helpful, we believe, if more developing countries were able to include expertise in economics, health, environment and agriculture in their delegations at relevant IP meetings and negotiations.
We believe that this is an important issue, which may have undesirable consequences and needs to be addressed. Some donors are supporting important, project-based initiatives. 26 And a number of developing countries are making important progress (for example, Botswana opened a mission in Geneva in 2001 and now regularly attends TRIPS Council meetings). But more needs to be done before we are likely to see any major improvement for a significant number of developing countries.
We offer two recommendations below aimed at significantly increasing participation by developing countries in international IP standard setting. The first recommendation is aimed at ensuring that the poorer developing countries, particularly LDCs, have the opportunity of sending representatives from capitals to the important meetings in WIPO and the WTO TRIPS Council. We propose that this could be achieved, with relative ease and without excessive cost, by an expansion of the existing subsidy scheme operated by WIPO for certain meetings. The new scheme should be mainly targeted at LDCs, as they are the least well represented in Geneva and face the most severe financial constraints in sending delegations to international IP negotiations and meetings. But it should also be open to all low income developing countries.
WIPO should expand its existing schemes for financing representatives from developing countries so that developing countries can be effectively represented at all important WIPO and WTO meetings which affect their interests. It would be for WIPO and its member states to consider how this might most effectively be done and financed from WIPO's own budgetary resources.
The second recommendation we make aims at ways to improve the quality of participation by developing countries whose representatives may lack expertise and experience in international IP standard setting and in the examination of the relationship between IP and national interests, and who may be unfamiliar with some of the technical subjects being discussed in WIPO and the TRIPS Council. To address this issue, we propose that two full time posts for IP Advisers (one for industrial property, the other for copyright, traditional knowledge and other IP subjects) are established at UNCTAD in Geneva. After careful consideration, we conclude that UNCTAD is best placed to fulfil this role because it has a broad mandate to undertake technical assistance and research not just on IP but across the spectrum of trade and development issues. Importantly, it also appears to us that UNCTAD has the confidence of the developing countries that are likely to be the main clients for such a service. Indeed, there is a clear precedent for this measure as UNCTAD recently established a similar post to developing countries on the WTO Trade in Services negotiations, with funding from DFID.
UNCTAD should establish two new posts for Intellectual Property Advisers to provide advice to developing countries in international IP negotiations. DFID should consider the initial funding of these posts as a follow-up to its current TRIPS-related project funding to UNCTAD.
We emphasize that these measures are in no way intended to substitute for the strengthening of IPrelated administrative and analytical capacities within national institutions in developing countries. In fact, it is our intention that these recommendations should support those made in Chapter 7.
THE ROLE OF CIVIL SOCIETY
We have been struck by the recent extent and influence of NGOs' activity in IP. We believe that NGOs have made, and can continue to make in the future, a positive contribution to the promotion of the concerns of developing countries. Campaigns to raise awareness by development and health NGOs were important factors in the supporting developing countries in the negotiations of the Ministerial Declaration at Doha. In the fields of agriculture, genetic resources and traditional knowledge, certain NGO groups play an important role in highlighting and analysing issues of concern to developing countries.
Of course, there is a very wide diversity within the NGO community in terms of the interests they represent, the balance of activities between advocacy and research, and how vocal they are in representing their interests. Legitimate questions have been asked about whom exactly NGOs represent and to whom they are accountable. On occasion, we believe that a more reflective approach to some of the issues is called for. But the fact is that NGOs have helped to raise the profile of IP issues, and that some have access to more expertise in this field than many officials in developing countries. The crucial issues are to ensure that the role played by NGOs is constructive in relation to a proper appreciation of the interests of developing country interests, and that they are accorded an appropriate role in relation to international dialogue on these issues.
There is also concern about the perceived problem of certain NGOs acting as "proxy representatives" for the governments of developing country governments in international dialogue. But others point out that developing countries are, or should be, selective in seeking assistance from NGOs. Whatever forms such support may take, it is important that developing countries are enabled and assisted to identify and put forward their own interests. We think that developing countries will be best served by having a diversity of resources on which they can draw to assist them in making IP policy and participating in negotiations.
NGOs are certainly one source of such assistance, but the role they currently fulfil reflects the fact that they are to some extent filling a gap. We consider, as noted above, that it is imperative that other sources of such assistance, particularly the concerned international institutions, such as WHO or FAO, recognise how they might make their policy advice and technical assistance more attuned to the needs of developing countries in the IP area. But at the same time, a more constructive role for NGOs, along with other civil society groups, might be achieved by giving them greater opportunities to participate in proceedings.
WTO and WIPO should increase the opportunities for civil society organisations to play their legitimate roles as constructively as possible. For instance, this could be done by inviting NGOs and other concerned civil society groups to sit on, or observe, appropriate advisory committees and by organising regular public dialogues on current topics in which NGOs could participate.
DEEPENING UNDERSTANDING ABOUT IP AND DEVELOPMENT
International rules on IP are developing very rapidly. As we note in Chapter 5, a year or so after TRIPS was agreed, WIPO completed two new international treaties concerning copyright and the Internet. The Intergovernmental Committee on Intellectual Property and Genetic Resources, Traditional Knowledge and Folklore is dealing with these complex issues at WIPO. And, more recently, WIPO members have started to focus on the future of the patent system at the international level. As the rules evolve, it is important that their actual and potential impact be properly understood if policymaking is to be more firmly based on evidence, and less on preconceptions of the value or otherwise of these rules to developing countries.
This challenge has two aspects. First, as we have noted, there is a need for more evidence on the effect of introducing stronger IP protection in developing countries, particularly those with low incomes, which lack a viable technological base. Secondly, the range of emerging issues where the relationship between IP protection and development needs to be analysed and understood is very broad. For instance, a sample list of just some of subjects on the future agenda over the coming five to ten years might include:
* The consequences of full implementation of TRIPS on the developing world, including the provisions relating to enforcement.
* The implications of the movement towards harmonisation and integration of patent systems at the international level.
* Impacts of patents and other IPRs in new or rapidly advancing fields of technology, such as biotechnology and software.
* The impact on access to information crucial for development on the Internet, including technological protection by publishers and other content providers, and of anti-circumvention legislation. In addition, there will be issues of how to respond when nations attempt to take legal jurisdiction over foreign servers in order to affect the way these servers distribute information over the Internet.
* Alternative models of IPR protection suitable for developing countries.
* How best to build capacity for IP policymaking, administration and enforcement in developing countries – and how donors can provide support more effectively.
Currently, research work on IP is sponsored and undertaken by a variety of public and private sector organisations – universities, NGOs, industry associations, IP institutes, and development agencies. WIPO does commission studies on particular topics (for example, it has completed a very useful programme of case studies in the field of traditional knowledge) and occasional research papers, but we are surprised that it does not support a more substantial and extensive research programme directed at the emerging issues in its field. The WIPO Worldwide Academy currently focuses principally on training, but research is a part of its mandate. We see value in WIPO building up the research work of the Academy as a means of better informing itself, and its members, about the impact of IP on developing countries at different stages of development. As we have already noted, too little research work is focused on low income developing countries; even less is undertaken by developing country organisations themselves as part of national level programmes.
We believe that the system will only improve from a development perspective if we can develop a deeper understanding of the relationships between IP and development. It is important, therefore, for the community of research sponsors and practitioners around the world to meet this challenge. More research and collation of country case studies are certainly needed on subjects such as those we have listed above. But this is by no means a definitive list. Beyond these questions of resources and research priorities, however, we believe there would also be benefits from greater collaboration and co-ordination in this field between research sponsors and practitioners in developed and developing countries.
We have in mind an international network and partnership initiative which would bring together development agencies, developing country governments, IP researchers and NGOs. The aims would be to identify priorities and promote co-ordination of research programmes; improve knowledge sharing amongst partners; and facilitate wider dissemination of findings through sponsorship of publications, conferences and Internet-based resources. A steering committee could oversee the initiative's operations and working groups could be formed on particular subjects. The initiative would probably require a small secretariat to be most effective, but ideally it would be housed within one of the partner organisations.
Research sponsors, including WIPO, should provide funds to support additional research on the relationships between IP and development in the subject areas we have identified in our report. The establishment of an international network and an initiative for partnership amongst research sponsors, developing country governments, development agencies and academic organisations in the IP field could help by identifying and co-ordinating research priorities, sharing knowledge and facilitating wider dissemination of findings. In the first instance we recommend that DFID, in collaboration with others, take forward the definition of such an initiative.
1 UNCTAD/ICTSD (2001), "Intellectual Property Rights and Development", UNCTAD, Geneva, pp.57-62. Source: http://www.ictsd.org/unctad-ictsd/outputs/policypaper.htm
2 See Box O.1 in Overview on TRIPS.
3
WIPO (2001)
"Revised Draft Program and Budget 2002-2003",WIPO, Geneva.
Source: http://www.wipo.org/eng/document/govbody/budget/2002_03/rev/pdf/introduction.pdf
5 At WIPO website. Source: http://www.wipo.int/about-wipo/en/dgo/abstract_ip_pub.htm
4 Convention Establishing the World Intellectual Property Organization, as amended in 1979, Articles 3 and 4. Source: http://www.wipo.int/clea/docs/en/wo/wo029en.htm
6 See Article 4 of Convention.
7 Quotations from World Intellectual Property Declaration, WIPO (2000).
Source: http://www.wipo.int/about-wipo/en/
8 For instance, international NGO Observers at the WIPO Assemblies are mainly industry groups. See WIPO Document No. A/36/INF/3 (October 3, 2001).
Source: http://www.wipo.int/news/en/index.html?wipo_content_frame=/news/en/conferences.html
10 Bhagwati, J. (2000) "What It Will Take to Get Developing Countries into a New Round of Multilateral Trade Negotiations", Columbia University, New York, p.21. Source: http://www.dfait-maeci.gc.ca/eet/02-e.pdf
9 This is also the view of WHO and the EU, who issued a joint statement following a meeting in Brussels on 6 June 2002 saying: "WHO will also seek to co-operate closely, where appropriate, with WTO and WIPO on technical assistance to developing countries implementing the TRIPS Agreement along the lines of the Doha Declaration". Source: http://www.who.int/inf/en/pr-2002-45.html
11 For example, Correa, C. (2000) "Intellectual Property Rights, the WTO and Developing Countries: the TRIPS Agreement and Policy Options", Zed Books, New York & Third World Network, Penang.
13 Conference organised by MSF, CPTech, HAI and Oxfam, "Implementation of the Doha Declaration on the TRIPS Agreement and Public Health: Technical Assistance – How to get it right", 28 March 2002, Geneva.
12 See Thorpe, P. (2002) "The Implementation of the TRIPS Agreement by Developing Countries", Commission on Intellectual Property Rights Background Paper 7, Commission on Intellectual Property Rights, London. Source: http://www.iprcommission.org
Source: http://www.haiweb.org/campaign/access/ReportPostDoha.pdf
15 The updated model law, whilst certainly an improvement on the previous version we saw, still does not specifically address in either the text or the accompanying commentary certain key issues. These include the patentability of computer programmes, or biological material such as genes or other material preexisting in nature. We would suggest, for example, that the law should highlight, at least in the accompanying commentary, the different positions taken also on other issues such as farmer's rights, rights in respect of the progeny of patented material and other exceptions to patent rights such as for educational uses. The various grounds on which some countries provide for compulsory licences could also be discussed, subject of course to any necessary qualification regarding possible incompatibility with international agreements. Other issues that could also be more openly addressed would include the possible interpretations of novelty, inventive step and industrial applicability (see chapter 6) and the disclosure of the origin of biological material (chapter 4).
14 Source: http://www.wipo.int/cfdiplaw/en/trips/index.htm
16 Article 66.1 of TRIPS.
18 Drahos, P. (2001) "Developing Countries and International Intellectual Property Standard-Setting", Commission on Intellectual Property Rights Background Paper 8, Commission on Intellectual Property Rights, London. Source: http://www.iprcommission.org
17 See Lall, S. & Albaladejo, M. (2001) "Indicators of the Relative Importance of IPRs in Developing Countries", UNCTAD/ICTSD, Geneva. Source: http://www.ictsd.org/unctad-ictsd/docs/Lall2001.pdf. This report sets out various measures of scientific and technical capacity in developing countries.
19 The Trade Act of 2002 (fast-track authority), HR3009, states: "The principal negotiating objectives of the United States regarding trade-related intellectual property are:
(A) to further promote adequate and effective protection of intellectual property rights, including through
(i) (I) ensuring accelerated and full implementation of the Agreement on Trade-Related Aspects of Intellectual Property Rights referred to in section 101(d)(15) of the Uruguay Round Agreements Act (19 U.S.C. 11 3511(d)(15)), particularly with respect to meeting enforcement obligations under that agreement; and
(II) ensuring that the provisions of any multilateral or bilateral trade agreement governing intellectual property rights that is entered into by the United States reflect a standard of protection similar to that found in United States law;
(ii) providing strong protection for new and emerging technologies and new methods of transmitting and distributing products embodying intellectual property;
(iii) preventing or eliminating discrimination with respect to matters affecting the availability, acquisition, scope, maintenance, use, and enforcement of intellectual property rights;
(iv) ensuring that standards of protection and enforcement keep pace with technological developments, and in particular ensuring that rightholders have the legal and technological means to control the use of their works through the Internet and other global communication media, and to prevent the unauthorized use of their works; and
(v) providing strong enforcement of intellectual property rights, including through accessible, expeditious, and effective civil administrative, and criminal enforcement mechanisms;
(B) to secure fair, equitable, and non-discriminatory market access opportunities for United States persons that rely upon intellectual property protection; and
(C) to respect the Declaration on the TRIPS Agreement and Public Health, adopted by the World Trade Organization at the Fourth Ministerial Conference at Doha, Qatar on November 14, 2001.
Source: http://waysandmeans.house.gov/
20 Agreement Between The United States Of America And The Kingdom Of Cambodia On Trade Relations And Intellectual Property Rights Protection
(Source: http://184.108.40.206/tcc/data/commerce_html/tcc_documents/cambodiatrade.html); US-Jordan Free Trade Agreement (Source: http://www.ustr.gov/regions/eu-med/middleeast/textagr.pdf); US-Vietnam Agreement on Trade Relations (Source: http://www.ustr.gov/regions/asia-pacific/text.pdf).
22 Weekes, J. et al (2001) "A Study on Assistance and Representation of the Developing Countries without WTO Permanent Representation in Geneva", Commonwealth Secretariat, London.
21 This is the current policy of the US Trade Representative, as reflected in the 2002 Trade Act.
23 The Commonwealth Secretariat study estimated the total cost of setting up and running a 3 to 4 person mission in Geneva to be approximately $340,000 per year.
25 The Assemblies of the Unions established under the PCT and the Madrid Agreement, two WIPOadministered treaties, have agreed to finance the travel and subsistence expenses of one government official from each Member State to their meetings in ordinary or extraordinary session. In addition, following a decision by the Assemblies of WIPO Member States in 1999, WIPO sponsors the participation of 26 government officials from different developing countries and transition countries (five each from Africa, Asia, Latin America and the Caribbean, the Arab countries, certain countries in Asia and Europe plus one from China) in meetings of a selected number of committees (dealing with patents, trademarks, copyright and traditional knowledge). See Leesti, M. & Pengelly, T. (2002) "Institutional Issues for Developing Countries in Intellectual Property Policymaking, Administration and Enforcement", Commission on Intellectual Property Rights Background Paper 9, Commission on Intellectual Property Rights, London, footnote 17. Source: http://www.iprcommission.org
24 Michalopoulos, C. (2001) "Developing countries in the WTO", Palgrave, London.
26 For example, UNCTAD, in collaboration with the International Centre for Trade and Sustainable Development, is currently implementing a project to provide developing countries with a handbook on implementation of TRIPS and on the upcoming reviews of the Agreement. The project is financed by the UK Department for International Development.
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Rising Sun-Ohio County
Rising Sun-Ohio County Schools has partnered with Edmentum's EdOptions Academy and Pearson's GradPoint to provide Durham PublicRising Sun-Ohio County Schools students both a Full full time online option and a part time online option. The following provides the policies and procedures regarding this program.
Scope and Delivery of the Durham PublicRising SunOhio County Virtual SchoolSchool
The Durham Public VirtualRising Sun-Ohio County Virtual School will offer over 280 300 semesters of virtual courses available to all students grade 6 – 12. To be a full time student, a student must meet specific requirements but students who do not meet those requirements may still be eligible to take virtual courses on a part time basis. The courses made available through a partnership with Edmentum's EdOptions Academy and Pearson will include core, elective, AP, Global Language, and Career and Technical Education courses. Courses approved in the district curriculum guide will be offered.
The Durham PublicRising Sun-Ohio County Virtual School has two (2) types of enrollments for students. Full-time students are enrolled at Durham PublicRising Sun-Ohio County Virtual School taking all required courses through complete virtual program supported by physical lab. All state accountability assessments are administered for all full time virtual students and the resulting data is attached to the Rising Sun-Ohio County Virtual School. Part-time students are enrolled at their high school in Rising Sun-Ohio County, but they are taking one (1) or more courses via the Rising Sun-Ohio County Virtual School with all accountability data residing at the students' full-time enrolled school.
Rising Sun-Ohio County Virtual School Policies
Student Eligibility
Full time Students: A full time student is a student who takes at least 5 courses a year through the Rising Sun-Ohio County Virtual School. Only students who have maintained a 3.0 GPA and have had no failing grades the year before entry may apply to be a full time online student. Parental permission is also needed. Once in the program students must maintain a 2.5 GPA, must have no failing semester grades, and complete all courses within the time frame provided under the course length described below. If a student fails to meet these requirements they will be on probation for one semester. If the student comes back into compliance they may continue in the program and will no longer be on probation. If a student does not come back into compliance they shall be removed from the full time program and be placed back in their home school. Guidance and parental approval required.
Home School Students from year before: All homeschool students must complete the application process in order to qualify for virtual schooling. After application a transcript evaluation will be done to access the students starting point and part time/full time status.
Part time Students: A part time student is a student who still takes a majority of their courses at their home school but takes at least one course online as a part of their schedule. A part time student may also be a home schooled student who takes less than a full time schedule in the virtual program. There are no requirements to be eligible for the part time program. It is based on need (credit recovery) or on a volunteer basis for students who want to take an online course. In both cases a student will need permission from a guidance counselor for enrollment in an online course.
Lab Eligibility: A lab is available to any student at the principals discretion based on supervisory coverage and availability. All virtual students must check in at the main office before going to any class.
Note: All students must sign a Student Code of Conduct before Enrollment (See copy of the Student Code of Conduct below)
Requirements for Testing
All students will be required to take all mandatory testing. The Rising Sun-Ohio County Virtual School administration will work with the home school of each full time student to provide the students with all the information the student needs to attend each testing session at the home school site. Full time students must comply with all Rising Sun-Ohio County Schools Student Testing guidelines listed in the code of conduct.
Course Length
Students are given a maximum of 18 weeks to complete a one-half credit course during 18 week semester. Courses can be completed prior to the 18 weeks. During a Summer School session, students have a maximum of 4 weeks to complete a one-half credit course. Courses can be completed anytime within the 4-week period. Class content is not condensed; instead time expectations per day are increased to accommodate the condensed timeframe.
Withdrawal Policy
Students have 20 days from the time of enrollment in the course to withdraw with no penalty. Students who withdraw after the 20-day grace period can reenter the course at the point where they left off if the request for reenrollment happens within 30 days of withdrawal. All requests for re-enrollment after 30 days will require the student to start the course from the beginning. All withdrawals after the 20-day grace period will be shown as WF.
Withdrawal Policy from Virtual Program: Official WD Notice
Course Content
All semester-based courses are one-half credit. Courses consist of a blend of self-paced and guided instruction that includes tutorials, mastery tests, dropbox activities, and discussions. Each course has a required final exam, which must be proctored.
Proctoring of Final Exams
Students will be required to have all final examinations proctored at an agreed upon location. Testing locations will be determined and information shared with student and parents.
Add School Lab addresses
Course Types
All courses are offered in Full Course or Pre-assessment. Full time students will take courses only in the full course mode. Part time students can take a pre-assessment course but only if taking the course for credit recovery.
Attendance
Students are required to work consistently and to follow the pacing provided in the EdOptions Academy Student
Information System (SIS). Students may complete more than what the pacing suggests each week and are encouraged to do so. Another important part of attendance is regular communication with EdOptions Academy online teachers and Academy staff. Students are expected to respond within 24 hours to any emails they receive. In addition to submitting work according to the suggested pace, students will also have at least one synchronous contact with their virtual instructor. This contact can be a monthly phone call, attendance at a Live Lesson or Webinar, an Instant Message, or a text message.
Earning Credit and Grading Policy
In order to receive credit in a course, students must meet two requirements:
1. The student will need an overall average of 60%.
2. Students must take the EOS (End of Semester) Exam and complete all assignments to earn credit in the course.
Note: Students will be allowed to retake the End of Semester test (EOS) once, regardless of the first score made. Students will also be able to go back and resubmit any work in the course for a higher grade as long as the student has time left in their enrollment. Once a student has taken the EOS, The student will be allowed time to review their grades and resubmit any assignments they might have scored below expectations to improve their mastery of the content.
Grading Scale
90-100 A
80-89 B
70-79 C
60-69 D
0-59 F
Student Advancement and Graduation
Students must meet all already established requirements to advance to the next grade level or to graduate with a Rising Sun-Ohio County Schools Diploma. Please see graduation requirements in Rising Sun-Ohio County Schools Student Handbook.
Transcripts and Grade Reports
Students and parents may access a student's unofficial transcript in the EdOptions Academy Student Information System (SIS) by selecting the Transcript option from the main menu. Grade reports will be issued at the same time all other Rising Sun-Ohio County students receive their grade reports. Parents can request grade reports from the following:
- Virtual School Teachers
- Guidance Counselor
- Virtual School Administrator
Right to Privacy Policy
Rising Sun-Ohio County Schools and EdOptions Academy respects a student's right to privacy by following the guidelines set forth in the Family Educational Rights and Privacy Act (FERPA). This law protects the privacy of a student's education records. Rising Sun-Ohio County Schools and EdOptions Academy must have written permission from the student/legal guardian in order to release information from that student's education record.
Rising Sun-Ohio County Schools Student Code of Conduct
Rising Sun-Ohio County Schools and EdOptions Academy adheres to set policies to maintain the academic integrity of its curriculum, students, and staff. The policies address the consequences for noncompliance, as noted below. All students must read and sign the Student Code of Conduct in order to proceed with the enrollment process.
Note: Though students will face consequences from EdOptions Academy, all matters of misconduct will also be handled through Rising Sun-Ohio County Schools Administration and the Rising Sun-Ohio County Student Code of Conduct. Please refer to the Student/Parent Resource Guide section on Code of Conduct for further actions that could take place. The following policies are specific the EdOptions Academy. To view Rising Sun-Ohio County's Student Code of Conduct please refer to the Rising Sun-Ohio County Schools Student Handbook.
Academic Misconduct
Academic Misconduct, in any form, is not tolerated. Academic misconduct includes, but is not limited to, cheating, plagiarism, copying another student's work or allowing another student to copy your work. If academic misconduct is found, the following consequences will result:
- First offense: zero on the assignment, a written warning, and a note added to the records of the students involved
- Second offense: zero on the assignment and a referral to the administration for possible withdrawal
Defiance of Authority/Insubordination
Disobedience or noncompliance toward any staff member of the EdOptions Academy or Rising Sun-Ohio County Schools is considered insubordination. That includes refusal to maintain communication with EdOptions Academy staff. An act of insubordination may occur in any situation or communication, including, but not limited to, in an email, during a phone conversation, or in person.
If defiance of authority or insubordination is found, the following consequences will result:
- First offense: referral to a guidance counselor
- Second offense: referral to administration for possible withdrawal
Computer Misuse
Any student who attempts to access the secure information of EdOptions Academy or PLATO Learning, Inc. or its affiliates in an improper manner, uses another student's or staff member's log-in information to gain access to information, intentionally attempts to obtain access to areas or information not open to normal access, or engages in any act similar to the above, has committed a computer misuse. If computer misuse is found, the following consequences will result:
- First offense: Depending on the nature of the offense, the consequences can include a written warning, referral to a guidance counselor, suspended access to PLATO courseware, or administrative referral possible withdrawal.
- Second offense: Referral to the administration for possible withdrawal
Deviation from the above consequences: Notwithstanding anything in this Policy to the contrary, the EdOptions Academy reserves the right to modify the consequences or action taken against a student violating this Policy in the EdOptions Academy's sole discretion for reasons including, but not limited to, the severity of or damages caused by the violation or to ensure compliance with applicable law.
Anti-Bullying Policy
Cyber bullying, or bullying in any form, is not acceptable behavior for any student enrolled in classes at the Rising Sun-Ohio County Virtual School / EdOptions Academy. Any student found to be involved in these activities will immediately be withdrawn from the Academy.
EdOptions Academy uses this definition of cyber bullying:
Cyber bullying is the use of the Internet and related technologies (cell phones, smart phones, etc.) to harass, hurt, embarrass, or humiliate other people. Using these technologies to act or speak in a deliberate, repeated, and hostile manner with the intent to harm others is also cyber bullying or cyber stalking
Internet Acceptable Use Policy
The internet is a compilation of many networks that supports the open exchange of information for research and educational purposes. The internet can be accessible to anyone, anywhere, anytime.
Students must understand that by using the network, their actions can be monitored at any time by a teacher or administrator.
Internet–Terms and Conditions of Use
- Users will not be abusive in EdOptions Academy messages to others. They will not use offensive, obscene, or harassing language when using any EdOptions Academy or PLATO Learning, Inc., or its affiliates' systems or software.
- Users will not reveal personal addresses or phone numbers of other users.
- Users will not post information if it violates the policy of others, jeopardizes the health and safety of students, plagiarizes the work of others, is a commercial advertisement, or is not approved by the teacher or school administrator. Users will accept responsibility for all materials they link to or upload.
- Users shall promptly report any inappropriate material they receive.
- Users will not attempt to log in to the network using any other user's name and password.
- Users accept and acknowledge that additional documents and paperwork may be required, including but not limited to documents requiring agreement and signature upon the request of EdOptions Academy administration.
- Any and all student-produced Web pages will be subject to the approval of the teacher or school administrator.
- Vandalism will result in the cancellation of privileges. Vandalism is defined as any malicious attempt to harm or destroy the data of another user, agency, or PLATO. This includes, but is not limited to, the uploading or creation of computer viruses.
- In the event of a virtual field trip, all users will conduct themselves in accordance with the Policy or agreement applicable to the field trip.
Academic Integrity Student Agreement
1. I will do my own work.
2. I will not copy another person's work, in whole or in part, and turn it in as my own.
3. I will not consult unauthorized material or information during tests unless my teacher gives me permission.
4. I will not plagiarize.
5. I will not copy text, graphics, mathematics solutions, artistic layouts or presentations, or any ideas in any form from another source without proper citation.
6. I will not communicate exam information or answers during or following an exam.
7. I will not provide unwarranted access to materials or information so that credit may be wrongly claimed by others.
8. I will not turn in an original paper or project more than once for different classes or assignments.
9. I will not, in lab situations, falsify or fabricate data or observations, including computer output
A signed agreement is provided below that all students, full or part time, must sign before beginning any course provided by the Rising Sun-Ohio County Virtual Program and EdOptions Academy.
About Our Partner: EdOptions Academy Accreditation and Approvals
EdOptions Academy is fully accredited through AdvancED which includes SACS (Southern Association of Schools and Colleges). This means that any credit earned from EdOptions Academy carries the same weight as a credit from any accredited institution such as all other Rising Sun-Ohio County Schools.
Beginning with the 2014-2015 school year, EdOptions Academy is an approved provider by the NCAA for non-traditional courses. Here are a few very important factors about NCAA Approval:
1. The NCAA only reviews core courses used for Graduation (4 English, 3 Math, 2 Social Studies, 2 years of Natural/Physical Science, 1 year of additional English, Math or Natural/Physical Science, 4 additional credits from any above, Foreign Language, or Comparative Religion or Philosophy). All other elective are not subject to NCAA review.
2. Only the full course counts, Students who are potential NCAA athletes in Division I or II may not take the pre-assessment mode of any course.
3. Students must have direct communication with EdOptions Academy teachers for the purpose of instruction either by phone, text, or instant messenger.
4. Rising Sun-Ohio County Schools must use the Final Grade given by EdOptions Academy and the student's transcript must reflect that the student took the course through EdOptions Academy.
***EdOptions Academy must know in advance any student who may be a NCAA Scholarship Athlete.
Student Code of Conduct Contract
Directions: All students must read and sign this Code of Conduct policy (hereinafter referred to as the "Policy") in advance of proceeding with taking an EdOptions Academy course. EdOptions Academy leverages this Policy to maintain the academic integrity of the EdOptions Academy, its curriculum, students, and staff, and to address the consequences of noncompliance. By signing this Policy, you agree to adhere to the Policy and the other standards and requirements of the EdOptions Academy and Rising Sun-Ohio County Virtual School .
Academic Misconduct: Academic misconduct, in any form, is not tolerated. Academic misconduct includes, but is not limited to, cheating, plagiarism, copying another student's work, or allowing another student to copy your work. If academic misconduct is found, the following consequences will result: First offense: Zero on assignment, written warning, and a note added to the records of the students involved
Second offense: Zero on assignment and referral to the administration for possible withdrawal
Defiance of Authority/Insubordination: Disobedience or noncompliance toward any staff member of the EdOptions Academy is considered insubordination. This includes refusal to maintain communication with PLATO staff. An act of insubordination may occur in any situation or communication, including, but not limited to, in an email, during a phone conversation, or in person. If defiance of authority or insubordination is found, the following consequences will result:
First offense: Referral to a guidance counselor
Second offense: Referral to the administration for possible withdrawal
Computer Misuse: Any student who attempts to access the secure information of EdOptions Academy or Edmentum® or its affiliates in an improper manner, uses another student's or staff member's log-in information to gain access to information, intentionally attempts to obtain access to areas or information not open to normal access, or engages in any act similar to the above, has committed a computer misuse. If computer misuse is found, the following consequences will result: First offense: Depending on the nature of the offense, the consequences can include a written warning, referral to a guidance counselor, suspended access to PLATO courseware, or administrative referral for possible withdrawal.
Second offense: Referral to the administration for possible withdrawal
Anti-Bullying Policy: Cyber bullying, or bullying in any form, is not acceptable behavior for any student enrolled in classes at EdOptions Academy. Any student found to be involved in these activities will immediately be withdrawn from the Academy.
EdOptions Academy uses this definition of cyber bullying:
Cyber bullying, or bullying in any form, is not acceptable behavior for any student enrolled in classes at EdOptions Academy. Any student found to be involved in these activities will immediately be withdrawn from the Academy.
Deviation from the above consequences: Notwithstanding anything in this Policy to the contrary, the EdOptions Academy reserves the right to modify the consequences or actions taken against a student who violates this Policy at the EdOptions Academy's sole discretion for reasons including, but not limited, to, the severity of or damages caused by the violation or to ensure compliance with applicable law.
Internet Terms and Conditions of Use
1. Users will not be abusive in EdOptions Academy messages to others. They will not use offensive, obscene, or harassing language when using any EdOptions Academy or Edmentum, or its affiliates' systems or software.
2. Users will not reveal personal addresses or phone numbers of other users.
3. Users will not post information if it violates the policy of others, jeopardizes the health and safety of students, plagiarizes the work of others, is a commercial advertisement, or is not approved by the teacher or school administrator. Users will accept responsibility for all materials they link to or upload.
4. Users will promptly report any inappropriate material they receive.
5. Users will not attempt to log in to the network using any other user's name and password.
6. Users accept and acknowledge that additional documents and paperwork may be required, including but not limited to documents requiring agreement and signature upon the request of EdOptions Academy administration.
7. Any and all student-produced Web pages will be subject to approval by the teacher or school administrator.
8. Vandalism will result in the cancellation of privileges. Vandalism is defined as any malicious attempt to harm or destroy the data of another user, agency, or Edmentum. That includes, but is not limited to, the uploading or creation of computer viruses.
9. In the event of a virtual field trip, all users will conduct themselves in accordance to Policy or agreement applicable to such field trip.
Academic Integrity Policy
1. I will do my own work.
2. I will not copy another person's work, in whole or in part, and turn it in as my own.
3. I will not consult unauthorized material or information during tests unless my teacher gives me permission.
4. I will not plagiarize.
5. I will not copy text, graphics, mathematics solutions, artistic layouts or presentations, or any ideas in any form from another source without proper citation.
6. I will not communicate exam information or answers during or following an exam.
7. I will not provide unwarranted access to materials or information so that credit may be wrongly claimed by others.
8. I will not turn in an original paper or project more than once for different classes or assignments.
9. I will not, in laboratory situations, falsify or fabricate data or observations, including computer output.
By signing below, I agree to adhere to this Policy and refrain from committing any of the violations identified in the Policy. I understand that any violation of this Policy could result in the loss of credit and revocation of access to all instructional materials provided by EdOptions Academy, in addition to the other consequences identified herein.
________________________________ ________________________ __________________
Student's Name
Student's Signature
Date
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PHONE: 011 659 8041/2
Email: firstname.lastname@example.org
WEBSITE: www.pleysier.co.za
THE ARTIFICIAL INCUBATION OF EGGS FOR BEGINNERS:
It is your fault if the perfect egg does not hatch in an incubator where the temperature, humidity, turning method and airflow was correct.
PERFECT EGGS:
What is a perfect egg?
A perfect egg is an egg that was laid by unrelated parents, without diseases; the correct breeding food was given and the appropriate nesting conditions.
Most exotic birds in South Africa have been bred from imported parent stock, and are all very much related, the result is that you get weak chicks that die either in the shell, or shortly after hatching, that is not the fault of the machine.
If the parent stock is diseased, this disease can be carried through and infect the eggs, this is also not a fault of the machine.
THE CORRECT FOOD:
You have to work with nature.
There are four seasons in nature; there are seasons of plenty and seasons of many insects, and seasons of no insects. Just before the breeding season, there is an increase of insects that means by that time, you have to increase the protein content and mineral content of the normal food that you are feeding. Add "stress pack" with your normal rations.
After the breeding season, the parent stock should loose weight, feed them just the maintenance food.
You must de-worm them properly and the youngsters that you are raising make sure that you are giving them the correct food.
Also check that during the breeding season you are not throwing the food on the same spot in the camp all the time, because it could be full of droppings, fungus, and old rotten food.
TEMPERATURE:
Make sure that you know what the correct temperature is for incubation for different types of eggs.
For ostriches and emus the temperature is about 1 degree lower than for chicken eggs. This temperature is 36, 2°c for ostriches and emus.
The temperature for chicken eggs is 37, 3°c.
The temperature is higher for smaller eggs, like for instance budgies and finches; their incubation temperature is 37, 7°c.
Make sure that the temperature inside your incubator is the same as what it showed on your test thermometer, your digital thermostat, or the little dial that you bought at the hardware shop.
PHONE: 011 659 8041/2
Email: email@example.com
WEBSITE: www.pleysier.co.za
Temperature continue-
Very, very often you get the result that the eggs don't hatch in the incubator, because the inside temperature is two degrees or three degrees higher or lower than the actual temperature that you want.
Digital incubators have to be calibrated, that means it can show a temperature of 40°c inside as 37, 3°c on the outside, no eggs will hatch in that machine and it is your fault for not calibrating it.
The best way to check the temperature in your machine is to buy four "clinical thermometers"; these are the little thermometers they put under your tongue when you are not feeling well.
It is no use putting them directly into a machine without covering the mercury bulb with plasticine clay or putty, because if you don't cover it with plasticine clay or putty it will only show you the spikes and the highest temperature that might be in your machine for a few seconds.
That is not correct; you want an average temperature that is why you put a ball of 20 mm putty around the mercury bulb of the clinical thermometer. You leave that in between your eggs for approximately one day for the whole machine to stabilize out, then you take them out and you measure or you read that temperature, that temperature is usually correct.
After that, you can see by how many degrees or points of a degree your digital thermostat is incorrect or your alcohol thermometer is incorrect, you can adjust accordingly.
In case your incubator is using mercury contact thermostats, which is still one of the best thermostats ever invented, you are responsible for checking that it hasn't split and stop and switches on and off at a higher temperature that what is necessary.
Digital thermostats can be out by as much as 9°c above and 9°c below the actual temperature inside the machine.
Alcohol, glass and plastic thermometers can be up to 1°c out.
WHAT NEXT?
Now there are problems!
The glass thermometer is wrong.
The digital thermometer can be 9°c out.
The analog thermostat has been set against the wrong testing thermometer.
The contact thermostat has been bumped and works to high, this is exactly when you start blaming the incubator manufacturer, and you say that his incubator is no good.
That is not so. It is entirely your fault. You have to check the temperature inside the machine, go and buy at least four clinical thermometers and test the temperature inside the machine.
PHONE: 011 659 8041/2
Email: firstname.lastname@example.org
WEBSITE: www.pleysier.co.za
HUMIDITY:
There is a large variation in humidity settings for various different types of birds. However, they all have one thing in common, that is a 15% weight loss during the incubation time before the bird pips.
So, if you increase the humidity the egg will loose less weight because it cannot get rid of its water, and the end result would be a bird that is fat and plump and does not hatch. It hasn't got the strength to pip. Or it drowns in the egg shell.
The other problem is if the humidity is to low, some of the chicks are stuck in the egg shell because there is not enough humidity to have the membranes soft so that it can turn around. Then it also dies.
How to check the humidity;
In our brochures all the instructions of our machines have the humidity's for various types of birds in hatchers.
THE WET BULB METHOD:
You must first know what a wet bulb thermometer is.
It is a normal thermometer that has been pushed into a "wick" or cotton wick or otherwise a shoe lace that is emerged in water, so that the water evaporates on the bulb, when water evaporates; the temperature is colder than inside the machine.
The wet bulb thermometer reading is not the relative humidity.
A wet bulb thermometer reading of 29, 5 degree centigrade is 55 percent relative humidity.
A wet bulb reading for 24 degree centigrade to 26 degree centigrade is a wet bulb reading for a humidity of between 30 and 40 percent.
Do not confuse the temperature of the wet bulb with the percentage humidity.
We have charts in every instruction manual that goes with the machine.
DIGITAL HUMIDITY CONTROLLERS:
Digital humidity controllers must also be calibrated, they are not correct when you get them from the factory.
The factory assumes that you are intelligent enough to know that.
Most people unfortunately assume that it is correct, and they are not correct, you have to calibrate them against a wet bulb thermometer.
Usually, it is not always the case, usually in a "Hatcher", which is not the same machine as an incubator or a setter, in a Hatcher the humidity is 10% higher and the ruling temperature is 0.8 degrees lower than the incubation temperature.
TURNING METHODS:
All eggs can be incubated successfully in a rolling method.
However, in machines you have to watch out that they don't end up with the sharp end pointing up because then you will have bridged chicks.
But, not all eggs can be incubated in a tilting method, most eggs can, however you can roll most eggs in a tilting machine if you pack them with their sharp ends and their blunt ends parallel to the tilting axes. That means in the length of the tilting tray. Then you have the same as a 90 degree tilting action.
For old, primitive type eggs like Emus and ostrich a 90 degree tilting action is absolutely sufficient and should have between 80 and 84% hatch rate.
However, if you do it in a laboratory and you are doing one egg per time and watching the percentage weight loss as well as the rolling temperature and you monitor one egg at a time individually, then you can get up to 90% hatch rate. The other 10% is where the chicks would have died in nature anyway.
Emu eggs hatch perfectly in a tilting incubator.
However they have to be packed parallel and flat to the turning axes.
The reason for this is that the blunt edge and the sharp end of an Emus egg, the difference is not very visible, and very often people put them upside down in the machine then the air sack is at the bottom and this Emu chick will drown in the last week.
That is not the fault of the machine, it is your fault.
An easy way to see whether Emu eggs are definitely alive on round about the 40th or 50th day is if you float them in a bowl of water which is at approximately 33 to 34 degrees centigrade. These eggs will then dance or jump around, but those that do not dance or jump around is not to say that they have died, it is just that they are not moving yet.
Do not throw them away.
CORRECT AIRFLOW:
There is a difference in airflow requirements in machines that are hatching or incubating Emu eggs, duck eggs, geese eggs and finch eggs.
With small eggs they take a short while in the machine, so a reasonable amount of oxygen and airflow through the machine is sufficient.
However, with big eggs like Emu eggs and ostrich eggs these eggs take far longer to hatch and at the end of the hatching period they need more oxygen because the chick is starting to breathe inside the egg even though it hasn't piped yet.
With all our machines we put in an additional airflow so that more oxygen is absorbed in the latter stages of incubation.
PHONE: 011 659 8041/2
Email: email@example.com
WEBSITE: www.pleysier.co.za
COOLING-OFF PHASE:
A Cooling-off phase is important only with certain eggs.
Most important with geese, Emus and a few other geese type wild water fowl, what they normally do is they take the egg out of the Hatcher and let it cool off for approximately 20 minutes, in the middle of the day so there is no shock to the egg itself. What happens in a cooling-off phase is that the egg shrinks, the air sack shrinks and sucks in more oxygen , the chick can then absorbs more oxygen.
It is also the time that a chick can get rid of his excess heat.
Some eggs will not hatch unless you give them a cooling-off phase, and some machines have got a cooling off phase built in with a timer.
THE INCUBATION ROOM;
1. You have to see that there is enough fresh air going through the room, not a Draft, just enough fresh air. Do not close all the windows because you will take all the oxygen out of the air.
2. You have to see to it that a temperature of between 26°c to 33°c in the incubator Room. The machines cannot tolerate a temperature lower than 26°c and not a higher temperature than 33°c.
3. There must be no direct sunlight on the machine.
4. There must be no draught on one side of the machine.
5. Make sure there is only pure new air through the incubator room and not old air that comes from another incubator room or from where you are rearing chicks that can infect the eggs inside the incubator.
6. It must be fresh, clean sterile air.
DISINFECTING YOUR EGGS:
1. The fumigation of eggs with formalin and candies crystals:
You use 40% formalin solution and you poor approximately 25 ml into a whisky Glass. You take the whisky glass and you put it on top of a saucer, then you put the whisky glass and the saucer inside the incubator on the base. You then pour 1 teaspoon of condies crystals into the whisky glass, it will start bubbling and release a most poisonous gas that can make you blind. Close your incubator and close all holes and keep it on. If there are no eggs in the machine you can do this for approximately an hour and a half, do it outside the house however if there is no ventilation through the incubator room, because if you continuously look at it you will go blind and that is not my fault.
PHONE: 011 659 8041/2
Email: firstname.lastname@example.org
WEBSITE: www.pleysier.co.za
PHONE: 011 659 8041/2
Email: email@example.com
WEBSITE: www.pleysier.co.za
Disinfecting your eggs continue;
However when you are fumigating the incubator with eggs inside the machine, you must fumigate for only 10 to 15 minutes. This will not harm the eggs, and then you have to put a fan in your incubator room and open the incubator and make sure that all the fumigation gasses are extracted.
2. Sterilizing your eggs with Vero Kill: only use a 1% solution and not 10%, you will then kill your eggs.
A FEW REASONS WHY EGGS HAVE NOT HATCHED IN OUR MACHINES:
Nine out of ten people blame the machine for eggs that don't hatch.
The actual statistic is that nine out of ten people do it correctly and the other one out of ten doesn't know what he is doing and blame the machine.
A few examples;
1. We had a chap in the Free State that went and bought a thousand eggs, he put it in our machine and nothing hatched. After long discussions and ducking and diving, because it was all blamed on us, we found out that he had bought the eggs at a supermarket, these eggs were previously frozen, they came from batteries and there are no roosters with those hens, so the eggs are not fertilized.
My machines can not fertilize your eggs.
2. We had a man up in TZANEEN who bought one of our machines and repeatedly he couldn't hatch an egg out of it, no eggs would hatch.
He then goes sheepishly and asks the president of their poultry club what is the problem? They took twenty of his eggs and put them in another machine, also one of my machines, yet again in that machine nothing hatched, then after a week of the eggs not hatching on time, these eggs were broken open and the president of the poultry club realized that they weren't fertilized.
He said well, I better go and have a look at this mans, hens and roosters to see what the problem is. Upon arriving at his farm he said, but were are your roosters? Noticing there are no roosters in the camp. He says,"no, the hens are laying eggs anyway; they don't need roosters, what for?" Well needles to say I cannot comment on that.
3. In the Emu industry there are a whole lot of fallacies because it is a new industry and every body has his own ideas of what to do.
For instance; storing Emu eggs for 6 months, this is not possible. You must load an Emu egg as soon as you can, the longer you delay loading the egg, and the more chance there is for infection.
The egg must also not be 'handled", it must be picked up immediately and placed into a machine. You can store the eggs in a fridge at a temperature of 12 degrees, for not more than a week because thereafter some of your embryos will not hatch.
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ISSN (Online): 2455 - 4200
(www.rdmodernresearch.com) Volume I, Issue I, 2016
THE CHANGING PERSPECTIVES OF MANAGEMENT, IT AND SOCIAL SCIENCES IN THE CONTEMPORARY ENVIRONMENT: IMPACT OF ELEARNING ON HIGHER EDUCATION IN INDIAN UNIVERSITIES
Panchajanyeswari M Achar
Abstract:
Srinivas Institute of Management Studies, Mangalore, Karnataka
E-learning, one of the tools emerged from information technology, has been integrated in many university programs. The E-Learning market is still small, but rapidly growing in all segments and geographies if one trusts the forecasts. There are several factors that need to be considered while developing or implementing university curriculums that offer e-learning based courses. The educational market landscape has developed several models to produce and deliver educational products. Some have their roots in the academic sector, some in the business sector. There is a thin line between academic education and corporate training. There is a need to bridge the gap between the academic learning environment and the corporate training environment. The traditional universities are in the transformation process focusing on implementing the new learning paradigm and new ways of delivering education. The emerging universities are under the new banner like "virtual universities", corporate universities" creating a change in the education system. This paper aims at discussing the various aspects of change brought about by implementing e-learning strategy in Indian Universities. It focuses on the impact of e-learning in different perspectives i.e. the teachers' perspective, the learners' perspective and the university perspective.
Key Words: E-Learning, Information Technology, Corporate Training & Virtual Universities
1. Introduction:
Innovations in educational system include improvements in the quality of education and quality of graduates [1-2]. The quality of education can be improved by changing delivery methods and delivery channels depending on changes in students' perception and changes in technology respectively. Several studies on innovations and quality in higher education including Strategic Planning in Higher Education Institutions [3], Innovations and Best Practices can Transform Higher Education Institutions [4], quality in higher education [5-6], Internal Quality Assurance Cell and its Contribution [7], Enhancement of Graduate attributes in Higher Education Institutions through Stage Models [8], Quality Enhancement in Higher Education Institutions [9], Effective Leadership and Governance [10], Strategy Development and Deployment in Higher Education Institutions [11], Faculty Empowerment Strategies in Higher Education Institutions [12], Unique & Successful Model in Integrated Development [13], Applying SWOC Analysis to an Institution of Higher Education [14], Techniques for Electric Energy Auditing in Education System [15], Societal Expectation And Institutional Accountability in Higher Education [16], Methods and Approaches for Employability Skill Generation in Higher Educational Institutions [17], Quality Enhancement in Higher Education Institutions through Best Practices in Library [18], Analysis of Academic Administrative System Implemented in Higher educational institution [19], Learning through Team Centric Exercise & Key Point Pedagogy - An effective Learning Model for Slow Learners in Higher Education Training [20],
(www.rdmodernresearch.com) Volume I, Issue I, 2016
Opportunities and Challenges for Private Universities [21], Innovations in Private Universities [22], Creating Innovators through setting up organizational Vision, Mission and Core Values : a Strategic Model in Higher Education [23], Comparative Study on MBA Programmes in Private & Public Universities [24], Impact of On-line Education on Higher Education System [25], Innovations in Higher Education - A new model implemented in MCA degree programme [26], Environmental Consciousness in Higher Educational Institutions [27], Analysis of Choice Based Credit System in Higher Education [28], Innovations in Student Centric Learning – A Study of Top Business Schools [29], Innovations in Experimental Learning – A Study of World Top Business Schools [30], How to Increase Research Productivity in Higher Educational Institutions [31], Academic Support through Information System [32], and Quality Teaching and Learning as Practice Within Different Disciplinary Discourses [33], Innovative Education Model to realize Ideal Education System [34], ABCD analysis of Stage Model in Higher Education [35], ) Analysis of NAAC Accreditation System using ABCD framework [36], Application of ABCD Analysis Framework on Private University System [37], The Study of New National Institutional Ranking System using ABCD Framework [38], Innovations in Experimental Learning – A Study of World Top Business Schools [39], Academic Support through Information System [40], Changing Approaches in Campus Placements - A new futuristic Model [41], Information Technology Innovations in Library Management [42], Teaching - Learning Process in Higher Education Institutions [43], Maintaining Teacher Quality in Higher Education Institutions [44], Student performance and Learning Outcomes in Higher Education Institutions [45], Catering Student Enrollment and Retaining Diversity in Higher Education Institutions [46], Student Evaluation and Reforms in Higher Education Institutions [47] are studied and published. Various learning procedures and channels are used to increase the effectiveness of learning. E-learning is one of such delivery channel which uses information communication technology as service medium.
Problem solving tools
E-leaning focuses on usage of technology in the field of education and learning. E learning refers to the use of advanced technology of information communication in the learning process where the advanced technology comprises of electronic media. Computers play a big role not only in learning but education as such. The role of computers in supporting the cause of education varies greatly. Information technology is used both as medium and tool in education. The tools that are used in e-learning can be categorized as follows:
Text processing tools
Guided discovery tools
Teaching and learning tools
Drill and practice tools
Tutorial software tools
2. Teachers' Perspective:
In the traditional teaching methods, it is a face-to-face session, through which the teacher delivers course material to students in the same place and at the same time. The learning method is teacher centred, where the teacher focuses on providing the learning information to the students. Assessments depend on study notes given to students by the teacher, limiting the learner's knowledge acquisition boundary. However, it is suggested that students must do more than just listen to what is said in class, such as read, write, discuss, or be engaged in solving problems constructively.
E-learning makes use of ICTs to support the process of learning. E-Learning can be defined as the acquisition and use of knowledge which is distributed and facilitated primarily by electronic means. Such electronic means may include internet, intranet, extranet, CD-ROM, video tape, DVD, TV, and personal organizers. E-Learning can be carried out in several ways which include computer based, asynchronous, and synchronous learning. This facilitates an environment where the learners take ownership of their learning.
Blended learning makes use of a combination of various learning methods that include face-to-face classroom activities, live e-Learning, and self-paced learning [48]. This learning method encompasses a variety of tools for simulating and maximizing the learner's learning potential. The blended learning process is equipped with a variety of methods, through which learners can acquire knowledge and improve their learning potentials. Hence, this has resulted in the adoption of this learning method in various higher education institutions of learning.
Mobile learning is defined as learning or delivery of content that is facilitated by the use of portable technologies such as mobile phone, PDAs, or iPods. The global penetration and the use of mobile technologies have created new avenues and enhancements in teaching and learning activities in higher education [49]. Currently, mobile learning presents vast benefits that facilitate and enhance e-Learning. The advancements in technology have led to a paradigm shift from traditional to personalized learning methods with varied implementation strategies and we will explore the e-Learning state-of-the-art over the past decade. The teachers should be well equipped to manage all the technology available to deliver the course content effectively to the learner.
3. Learners' Perspective:
There are basically two types of e-learning: synchronous and asynchronous. Synchronous, means "at the same time," involves interaction of participants with an instructor via the Web in real time. Asynchronous, which means "not at the same time," allows the participant to complete the Web Based Training (WBT) at his own pace, without live interaction with the instructor. A new form of learning known as blended learning is emerging. Blended learning combines e-learning tools with traditional classroom training to ensure maximum effectiveness. Students can prepare for, consolidate and recall classroom experiences online, while gaining the benefits of interaction with teachers and students via an actual or virtual classroom. Student learning and retention rates improve without sacrificing the convenience, costeffectiveness and customization of self-paced Web-based coursework. Blended learning offers:
In the current scenario, education is becoming increasingly vital in the knowledge society, resulting in new ideas within the area of learning and teaching. Furthermore, general developments in higher education, resulting from societal demands as well as an increased need for students to become autonomous, have increased the need for academics to understand the learning process [50].
Social benefits from classroom training, focusing on learning that gains the most from face-to-face interaction.
Cost savings through minimizing the time away from the job and travel/classroom/instructor expenses.
Individualization benefits of self-paced, online learning for content that requires minimum interaction.
It is apparent that the amount of knowledge learners possess has a substantial impact on their learning processes and learning styles. Students learn in different ways and the manner in which information is presented to them affects their ability to learn. Consequently, the learning style must be differentiated. In this regard, we can identify three learning styles to support students in their learning process:
Auditory learners learn best by hearing things through verbal lectures, discussions, talking things through and listening to what others have to say
Visual learners learn best through seeing things such as images, demonstrations, facial expressions, and body language of the instructor to fully understand the content of the lesson
Tactile learners learn best through experiencing, reflecting, interacting, and doing things. These learners prefer to actively explore the physical world around them and would benefit from manipulating real objects and/or acting on them in a simulated environment.
4. University's Perspective:
However, learners need to utilize the different learning styles interchangeably during the learning process in order for them to have an effective learning experience.
E-learning has made significant changes in the higher education process. The structural changes in higher education institutions over the past decade have mainly been attributed to the introduction of technology initiatives. E-Learning has created flexible approaches to learning for learners who in the past lacked opportunities due to factors such as employment, families, lack of money, distance, and time. To this effect, technology in general has not only improved knowledge storing methods and learning techniques but has also acted as a catalyst to combat the barriers of inflexible organisational structures [51]. As a result, many higher education institutions have adopted e-Learning in their curricula.
The drive to join the knowledge society and knowledge based economy;
E-Learning has transformed the traditional teaching and learning models and strategies. Inevitably, the competitiveness created by e-Learning within the higher education context implies that institutions that have not joined this education venture risk losing out [52]. The current transformations of the higher education processes have been mainly attributed to:
The opportunities presented by the advances in ICTs to meet the increasing student needs at a reduced cost
The growing demand for knowledgeable and skilled personnel in the labour market;
Increasing numbers of on-campus students, off-campus students, and life-long learners and the "on-the-move" personnel who seek to continue with education in the workplace;
The growing demand for alternative learning methods and availability of electronic learning resources;
Collaborative research opportunities.
On the other hand, the adoption of e-Learning has created new educational issues for lecturers, such as the changing work patterns and in some cases the reluctant integration of technology [53]. This has been mainly attributed to the perceived
There is a paradigm shift of learning from teacher centeredness to learner centeredness that has greatly influenced the higher education learning process. Here, the teacher takes on a facilitator role while the students take ownership of their learning and personal development.
increasing workload and the lack of skills to develop and manage an online course. Hence, teaching techniques used by lecturers in traditional courses may also have to be reviewed and modified, as they do not always prove to be effective or necessarily transferable into e-Learning environments.
There are several issues that need to be addressed for successful implementation of e-Learning in higher education despite the advancements in technology. Some of the issues are
5. E-Learning issues in the context of Indian Universities:
Identify pedagogy for online courses – For successful implementation of eLearning we need a two-tier training approach. The 'learning' which refers to pedagogical aspects, through which an individual learns, acquires and retains skills and information to facilitate knowledge development. The 'e' refers to technologies which communicates information to be learnt. This implies that the use of technology in itself does not cause or improve the quality of learning.
Improve ICT skills for teachers and learners – The level of ICT skills for both teachers and learners affects the effective use of technology to support online instruction. The confidence and comfort of both the teacher and learner in using ICT reduces barriers to social interaction, administration, learner motivation, and time. Therefore, the lack of relevant skills interferes with the learning process and often causes problems for both teachers and learners.
Use of technology – the arguments against online learning often focus on what is viewed as negative impacts from not having face-to-face contacts and anxiety caused by the nature and quantity of information transmitted through technology [54]. In this regard, reluctance of teachers in adopting e-Learning relates to their being too traditional in their teaching style, unwillingness to adopt change, or perceived increased teacher work load
6. Conclusion:
Support of Management – e-Learning initiatives require full commitment and support from management for their operation and sustainability. Successful transitions to more flexible modes of delivery require significant buy-in from senior management and a long-term commitment to support, foster, and monitor strategic change.
There is a strong need for identifying suitable strategies for effective e-Learning implementation and a general overview of various theories for learning processes and methods were discussed here. Some recent e-Learning implementation trends and discussed e-Learning implementation aspects have been analysed. The impact of Elearning in three different viewpoints was discussed. From the emerging issues of eLearning implementation within the higher education context, two problems emanate: 1) the limited uptake of technology as an instruction delivery method; and 2) the ineffective use of technology to support learning. In respect to this, future research should therefore seek to further investigate these aspects and to explore suitable approaches for effective implementation of e-Learning to support learning in Indian Universities.
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(www.rdmodernresearch.com) Volume I, Issue I, 2016
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15. Aithal P. S. and Sridhar Acharya P., Techniques for Electric Energy Auditing in Education System. International Journal of Management, IT and Engineering (IJMIE), Vol. 5, Issue 7, pp. 318-325, July 2015.
17. Aithal P. S., Suresh Kumar P. M. and Pavithra Kumari, Methods and Approaches for Employability Skill Generation in Higher Educational Institutions. International Journal of Management, IT and Engineering (IJMIE), Vol. 5, Issue 7, pp. 390-410, July 2015.
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24. Aithal, P.S., Comparative Study on MBA Programmes in Private & Public Universities - A case study of MBA programme plan of Srinivas University, International Journal of Management Sciences and Business Research (IJMSBR), Vol. 4, Issue 12, pp. 106-122, 2015.
26. Aithal P. S. & Jeevan Pinto, Innovations in Higher Education - A new model implemented in MCA degree programme of Srinivas University, International Journal of Scientific Research and Modern Education (IJSRME), Vol. I, Issue I, pp. 275-289, 2016.
28. Aithal P. S., and Suresh Kumar P.M., Analysis of Choice Based Credit System in Higher Education, International Journal of Engineering Research and Modern Education (IJERME), Vol. I, Issue I, pp. 278-284, 2016.
27. Sridhar Acharya P. and Aithal P. S., Environmental Consciousness in Higher Educational Institutions : A case of SIMS, International Journal of Current Research and Modern Education (IJCRME), Vol. I, Issue I, pp. 273-284, 2016.
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38. Aithal P. S., Shailashree V.T., & Suresh Kumar P.M., The Study of New National Institutional Ranking System using ABCD Framework, International Journal of Current Research and Modern Education (IJCRME),Vol. I, Issue I, pp. 389 – 402, 2016.
40. Aithal P. S. & Suresh Kumar P. M., Academic Support through Information System: Srinivas Integrated Model, International Journal of Scientific Research and Modern Education (IJSRME), Vol. I, Issue I, 2016, pp.376-384, 2016.
39. Aithal P.S., Innovations in Experimental Learning – A Study of World Top Business Schools, International Journal of Scientific Research and Modern Education (IJSRME), Vol. I, Issue I, pp.360-375, 2016,
41. Varun Shenoy and Aithal P. S., Changing Approaches in Campus Placements - A new futuristic Model, International Journal of Scientific Research and Modern Education (IJSRME), Vol. I, Issue I, pp. 766 – 776, June 2016.
43. Aithal P.S., Suresh Kumar P.M., Teaching - Learning Process in Higher Education Institutions, International Journal of Multidisciplinary Research and Modern Education (IJMRME), Vol. II, Issue I, June, 2016. pp. 662-676.
42. Harischandra P., Shylesh S, Aithal P.S., Information Technology Innovations in Library Management: A Case of SIMS, International Journal of Current Research and Modern Education (IJCRME), Vol. I, Issue I, pp. 657-676, June 2016.
44. Aithal P.S., Suresh Kumar P.M., Maintaining Teacher Quality in Higher Education Institutions, International Journal of Current Research and Modern Education (IJCRME) Vol. I, Issue I, pp. 701-711, June 2016.
46. Aithal P.S., and Suresh Kumar P.M., Catering Student Enrollment and Retaining Diversity in Higher Education Institutions, International Journal of Engineering Research and Modern Education (IJERME), Vol. I, Issue I, pp. 565 - 577, June 2016.
45. Aithal P.S., and Suresh Kumar P.M.. Student performance and Learning Outcomes in Higher Education Institutions, International Journal of Scientific Research and Modern Education (IJSRME), Vol. I, Issue I, pp. 674 – 684, June 2016.
47. Aithal P.S., and Suresh Kumar P.M., Student Evaluation and Reforms in Higher Education Institutions, International Journal of Multidisciplinary Research and Modern Education (IJMRME), Vol. II, Issue I, pp. 652-661, June, 2016.
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